Havacılıkta emniyet yönetimi ile ilgili icao mevzuatı ve Türkiye'deki uygulaması
Icao aviation safety management provisions and their implementation in Turkey
Yazar: ERDAL YEŞİLBAŞ
Danışman: PROF. DR. İBRAHİM OZKOL
İstanbul Teknik Üniversitesi / Fen Bilimleri Enstitüsü / Uçak ve Uzay Mühendisliği Ana Bilim Dalı / Uçak ve Uzay Mühendisliği Bilim Dalı
Derece: Yüksek Lisans, 2020
Konu: Havacılık Mühendisliği = Aeronautical Engineering ; Sivil Havacılık = Civil Aviation ; Uçak Mühendisliği = Aircraft Engineering
Dizin: Değişim yönetimi = Change management ; Emniyetli yönetim = Safety management ; Hava trafik yönetimi = Air traffic management ; Sivil havacılık = Civil aviation ; Sivil havacılık işletmeleri = Civil aviation companies ; Ticari havacılık = Commercial aviation

Özet:
Uluslararası Sivil Havacılık Örgütü (ICAO) standartları ve tavsiye edilen uygulamalarının (SARPs) ülkeler tarafından yeknesak bir şekilde uygulanması, Uluslararası Sivil Havacılık Sözleşmesi'nin (Şikago Konvansiyonu) temel ilkesidir ve emniyetli bir küresel havacılık sisteminin temelini oluşturur. 
ICAO'nun yönettiği uluslararası havacılık standartlarını içeren ve Şikago Konvansiyonu'nun eki olan 19 adet dokümanın en yenisi 2013 yılında kabul edilen 19 numaralı Ek olup, Emniyet Yönetimi adını taşımaktadır. Ek 19 - Emniyet Yönetimi (Annex 19 – Safety Management), Devletlerin havacılık emniyet risklerini kendi hizmet sağlayıcıları ile koordinasyon içerisinde yönetebilmelerinde ICAO tarafından kendilerine destek olmak amacıyla yayınlanmıştır.
ICAO'nun emniyet yönetimi ile ilgili söz konusu gereklilikleri, havacılık emniyet performansını küresel olarak artırmak için proaktif bir stratejinin sürekli gelişimini desteklemektedir. Bu proaktif emniyet stratejisinin temeli, emniyet risklerini sistematik olarak ele alan Devlet düzeyinde bir Devlet Emniyet Programı (SSP – State Safety Programme) ile hizmet sağlayıcılar düzeyinde ise Emniyet Yönetim Sistemleri (SMS – Safety Management Systems) kurulmasına ve uygulanmasına dayanmaktadır.
Bu kapsamda, bu tezde ilk olarak emniyet yönetiminin ne olduğu, emniyet yönetimi yaklaşımının nasıl ortaya çıktığı ve hangi gelişim süreçlerinden geçtiği, emniyet yönetiminin neden gerekli olduğu, emniyet yönetim sistemlerinin diğer yönetim sistemleriyle etkileşimi ile emniyet kültürü gibi havacılıkta emniyet yönetimiyle ilgili temel bilgiler verilmiştir. 
Daha sonra havacılık ekosisteminin unsurları ana bileşenleriyle tanıtılarak, havacılık camiasının ulusal, bölgesel ve uluslararası düzeydeki hem kamu hem de sektör paydaşlarına değinilmiştir. Böylece, havacılık camiasındaki büyük resmin görülmesi ve otorite veya hizmet sağlayıcı tüm paydaşların bu resimde nerede yer aldıklarının anlaşılması amaçlanmıştır.    
Takip eden bölümde ise ICAO tarafından emniyet yönetimi kapsamında gerçekleştirilen faaliyetler detaylı olarak açıklanmıştır. Bu bölümde, ICAO emniyet yönetimi politikaları, bu politikalar doğrultusunda geliştirilen ICAO standartları ile söz konusu politika ve standartların uygulamaya geçirilmesi sırasında hem Devletlere hem de hizmet sağlayıcılara sağlanan rehberliklerden bahsedilmiştir. Bunun yanında, ICAO emniyet yönetimi standartlarının tarihsel gelişimi ile birlikte bu standartların yerleşmesi ve uygulanması konusunda ICAO tarafından gerçekleştirilmekte olan gözetim ve raporlama faaliyetleri hakkında da bilgiler paylaşılmıştır. 
Bir sonraki bölümde, ICAO tarafından konulmuş olan emniyet yönetimi gereklilikleri hem Devlet hem de hizmet sağlayıcılar düzeyinde ayrıntılı olarak verilmiştir. Bu bağlamda, Devlet Emniyet Programının (SSP) temel bileşenleri alt unsurlarıyla ele alınmakla birlikte hizmet sağlayıcılar düzeyinde kurulması gereken Emniyet Yönetim Sistemleri (SMS) çerçevesi de tüm bileşen ve alt unsurlarıyla ele alınmıştır. Bu bölümde ayrıca, hem SSP hem de SMS'in etkinliği için kritik bir önemde olan emniyet verisi ve emniyet bilgileri toplama, analiz, koruma, paylaşım ve değişimi konusunda da bilgiler paylaşılmış ve söz konusu alandaki ICAO hükümleri de ayrıntılı olarak verilmiştir. 
Daha sonra, ICAO tarafından konulan emniyet standartlarının Türkiye'deki uygulaması irdelenmiş ve havacılık emniyet yönetimindeki mevcut ulusal mekanizmalar hakkında emniyet yönetimi ulusal mevzuatı, uygulama konusundaki rehberlik, denetim mekanizmaları ve SSP kurulum ve uygulama çalışmaları özelinde ayrıntılı bilgiler verilmiştir. 
Son bölümde ise, bu çalışma sırasında elde edilen bilgiler ışığında Türkiye'deki ulusal emniyet yönetimi yapılanması hakkında değerlendirmeler yapılarak elde edilen sonuçlar paylaşılmış ve Devlet düzeyinde etkin bir SSP ve hizmet sağlayıcılar düzeyinde de etkin SMS'lerin kurulum ve uygulanmasına ilişkin önerilerde bulunulmuştur.

Abstract:
Aviation is one of the leading industries in globalization in terms of linking people, cultures and economies. Beginning with the first successful flight on December 17, 1903, recorded by Orville Wright at a height of 20 feet (about 6.1 meters) for 12 seconds and a distance of 120 feet (about 36.6 meters), the man's flying adventure has gone through many phases and has now reached an impressive level.  
Air transportation has been an indispensable method of transportation with its performance doubling in volume every 15 years despite the crises and distress periods it has undergone. In 2018, airlines worldwide transported 4.3 billion passengers and 58 million tons of cargo annually. In other words, more than 100,000 flights took place around the world every day, carrying 12 million passengers and around 18 billion US Dollars.
As can be seen, the civil aviation industry has made a great progress in comparison with the Wright brothers' first flight, in terms of both distance covered and the payload transported. This progress is undoubtedly the result of a collective success that spans more than 100 years and is constantly evolving. Behind this collective success, there are the members of the civil aviation community including the both regulatory bodies and industry stakeholders. It is essential that all national and international stakeholders work together to maximize the benefits of air transport and to support the sustainable growth of aviation.
The sustainability of the increase in air traffic and the continuous growth of improved air transport connectivity is only possible with a globally harmonized legislation infrastructure. The modern aviation system is built on the foundations of the International Convention on Civil Aviation (Chicago Convention), which was signed in 1944 and pioneered the establishment of the International Civil Aviation Organization (ICAO) by defining the principles of international air transport. Since its inception, ICAO's task has been to provide all states with the assistance they need to achieve the highest possible level of compliance in terms of civil aviation standards, policies and procedures.
Today, ICAO manages more than 12000 global standards and recommended practices (SARPs) with the existing 19 Annexes of the Chicago Convention. Countries that follow these global standards and structure their national legislation accordingly not only ensure the safety and security of aviation, but also contribute to the efficient and effective execution of aviation operations. 
The uniform implementation of the International Civil Aviation Organization (ICAO) standards and recommended practices (SARPs) by ICAO member States is the fundamental principle of the International Civil Aviation Convention (Chicago Convention) and forms the basis of a safe global aviation system.
The most recent of the Annexes included in ICAO's international aviation standards framework and attached to the Chicago Convention is Appendix 19, adopted in 2013, and is called Safety Management. Annex 19 - Safety Management was formed by ICAO to help States manage aviation safety risks in coordination with their service providers. Due to the increasing complexity of the global air transport system and its associated aviation activities, it is essential to ensure safe operation of aircraft by various rules and standards. At this point, ICAO safety management requirements support the continuous development of aviation safety performance through a proactive strategy. This proactive strategy is based on a State Safety Programme (SSP), which systematically manages aviation safety risks in the State level, and safety management systems (SMS - Safety Management System) to be implemented by the service providers in coordination with the State and in accordance with State Safety Programme.   
As the reports of the Directorate General of Civil Aviation (DGCA) are examined, it is observed that Turkish civil aviation sector has increased approximately 5 times in passenger numbers, 3 times in air traffic numbers and 3 times in total freight amount since 2003, when liberalization in aviation started. Besides, in the last decade, the number of direct and indirect international connections of Turkey has exponentially increased and Turkey has been the country most enlarging its flight network in Europe. 
In all of the projections carried out, the world civil aviation sector is anticipated to be doubled in terms of both volume and activity in next twenty years. One of the countries that largest increase is expected to be Turkey. In order for this increase to take place in a safe and sustainable manner, the national legislative system requires a high level of compliance with international standards and even a level above them when necessary. Due to the increasing volumes and the complexity of the activities carried out, a systematic approach is inevitable, especially for the aviation safety management both at the State and service provider levels. In this systematic approach, ICAO safety management policies and standards specify the responsibilities of States in detail and thus all of the States are expected to regulate their national aviation systems in line with these principles. 
Due to the reasons mentioned above, the main purpose of this study is to have a deep look into the existing ICAO aviation safety management provisions, and examine the current status of their implementation in Turkey. In the light of the results obtained from the study, it is aimed to explore ways of continuous improvement towards having a well structured and effective aviation safety management framework at the highest level possible in Turkey in terms of both regulatory and industrial aspects.
In this context, first of all, the fundamental information about aviation safety management such as what safety management is, how safety management approach emerged and its evolution, why safety management is necessary, interaction of safety management systems with other management systems and safety culture are given as part of these study. 
Then, the main elements of the aviation ecosystem are described and both regulatory and industrial stakeholders of the aviation community at national, regional and international levels are introduced. By this way, it is aimed to show the big picture of the aviation ecosystem and to provide the opportunity to understand where all these stakeholders including the authority and service providers locate in this picture.
In the following section, the activities carried out by ICAO within the scope of safety management are explained in details. In this section, ICAO safety management policies, ICAO standards developed in line with these policies and guidance provided to both States and service providers during the implementation of these policies and standards are mentioned. In addition, information on the historical development of ICAO safety management provisions as well as the monitoring and reporting activities carried out by ICAO on the establishment and implementation of these standards are also shared.
In the next section, the safety management requirements laid down by ICAO are detailed at both the State and service providers level. In this context, the main components of the State Safety Program (SSP) are given and the Safety Management Systems (SMS) framework, which should be established at the service providers level, is also covered with all components and elements. This section also provides ICAO provisions and detailed information regarding the collection, analysis, protection, sharing and exchange of safety data and safety information which are critical to the effectiveness of both SSP and SMS.
Then the application of the ICAO safety standards in Turkey is shared via the specific information regarding the national legislation on the aviation safety management, existing national mechanisms, guidance on implementation, monitoring mechanisms and the SSP development and implementation activities. 
In the last chapter, in the light of the information obtained during this study, the national aviation safety management mechanisms of Turkey are evaluated and the results of this evaluation is shared. Using these results, the proposals for an effective safety management both at the State and service provider levels via developing and implementing SSPs and SMSs are made.