生物多样性 ›› 2010, Vol. 18 ›› Issue (1): 90-99. DOI: 10.3724/SP.J.1003.2010.090
权佳, 欧阳志云*(
), 徐卫华, 苗鸿
收稿日期:2009-03-02
接受日期:2009-08-23
出版日期:2010-01-20
发布日期:2010-01-20
通讯作者:
欧阳志云
作者简介:* E-mail: zyouyang@rcees.ac.cn基金资助:
Jia Quan, Zhiyun Ouyang*(), Weihua Xu, Hong Miao
Received:2009-03-02
Accepted:2009-08-23
Online:2010-01-20
Published:2010-01-20
Contact:
Zhiyun Ouyang
摘要：
建立自然保护区是保护生物多样性的最重要的途径之一,开展自然保护区管理有效性评价是了解自然保护区管理状况、提升保护区管理水平、实现保护区管理目标的有效途径。在国际自然保护联盟世界保护区委员会(WCPA)提出的保护区管理有效性评价框架的基础上, 世界上很多国家和组织机构根据本国的实际情况开发了更为详细的评价方法。这些方法可以归为4类, 包括基于证据的深入评价法、基于同行评定的综合评价法、基于专家知识的快速记分评价法, 以及基于假设的分类评价法。本文比较了这4类方法的应用范围、对象、目的、形式, 以及各类方法的优缺点及其适用条件, 总结了8种主要方法的评价指标的构成及其应用现状。在此基础上, 分析了自然保护区管理有效性评价方法在中国自然保护区中的应用及存在的问题, 并提出了适用于中国自然保护区管理有效性评价的方法及其评价指标构成。
权佳, 欧阳志云, 徐卫华, 苗鸿 (2010) 自然保护区管理有效性评价方法的比较与应用. 生物多样性, 18, 90-99. DOI: 10.3724/SP.J.1003.2010.090.
Jia Quan, Zhiyun Ouyang, Weihua Xu, Hong Miao (2010) Comparison and applications of methodologies for management effectiveness assessment of protected areas. Biodiversity Science, 18, 90-99. DOI: 10.3724/SP.J.1003.2010.090.
| 关注问题 Focus | 管理要素 Elements | 评价标准 Criteria |
|---|---|---|
| 设计问题 Design issue | 背景 Context | 重要性; 威胁; 脆弱性; 国家背景 Significance; threats; vulnerability; national context |
| 规划 Planning | 保护区立法和政策; 保护区系统设计; 保护区设计; 管理计划 Protected area legislation and policy; protected area system design; reserve design; management planning | |
| 管理系统和过程的适宜性 Appropriateness of management systems and processes | 投入 Input | 管理机构的资源; 区内资源; 合作者 Resourcing of agency; resourcing of site; partners |
| 管理过程 Process | 管理过程是否恰当 Suitability of management processes | |
| 保护区目标的传达 Delivery of protected area objectives | 管理结果 Outputs | 管理行动的结果; 服务和产品 Results of management actions; services and products |
| 效果 Outcomes | 影响: 与目标相关的管理工作的效果 Impacts: effects of management in relation to objectives |
表1 世界保护区委员会(WCPA)保护区管理有效性的评价框架
Table 1 Framework of World Commission on Protected Areas for assessing management effectiveness of protected areas
| 关注问题 Focus | 管理要素 Elements | 评价标准 Criteria |
|---|---|---|
| 设计问题 Design issue | 背景 Context | 重要性; 威胁; 脆弱性; 国家背景 Significance; threats; vulnerability; national context |
| 规划 Planning | 保护区立法和政策; 保护区系统设计; 保护区设计; 管理计划 Protected area legislation and policy; protected area system design; reserve design; management planning | |
| 管理系统和过程的适宜性 Appropriateness of management systems and processes | 投入 Input | 管理机构的资源; 区内资源; 合作者 Resourcing of agency; resourcing of site; partners |
| 管理过程 Process | 管理过程是否恰当 Suitability of management processes | |
| 保护区目标的传达 Delivery of protected area objectives | 管理结果 Outputs | 管理行动的结果; 服务和产品 Results of management actions; services and products |
| 效果 Outcomes | 影响: 与目标相关的管理工作的效果 Impacts: effects of management in relation to objectives |
| 方法Methodology | 应用范围 Scale | 对象 Target | 评价目的 Assessment objective | 评价形式 Assessment form |
|---|---|---|---|---|
| I | 单个保护区 Site-level | 保护区管理者 Manager | 评价管理活动达到预期管理目标的程度, 以提高监测水平 Assessing the degree to which management actions achieve specified management objectives and improving monitoring. | 由保护区管理者实行, 衡量具有详细评价标准的主要预期成果的变化情况 The assessment that is operated by protected area manager is designed to measure changes in key desired outcomes with a detailed baseline. |
| II | 特定保护区系统内的所有保护区 Each protected area within a given protected area system | 政策制定者 Policy-maker | 明确保护区系统面临的威胁、保护优先性及后续措施 Identifying the threats, conservation priority and follow-up steps. | 通过召开参与式的座谈会, 依据调查问卷进行讨论评分 The assessment would hold an interactive workshop to evaluate the protected area effectiveness according to a questionnaire. |
| III | 单个保护区 Site-level | 保护区管理者及相关人员 Manager and related people | 快速了解保护区的管理过程, 报告管理效果的进展 Providing a quick overview of the management steps and reporting progress on management effectiveness. | 通过记分卡或者结构性问卷, 通常在每个保护区以访谈或者调查的形式进行 The assessment involves a scorecard or structured questionnaire and is generally applied to each protected area through an individual interview or survey. |
| IV | 保护区系统 System-level | 政策制定者 Policy-maker | 对整个保护区系统的概括认知 Providing general information about an entire system but little or no information about variation within that system. | 运用已有文献数据及专家意见对采集的数据进行分类评价 The assessment data are collected regarding an entire category or categories, based primarily on literature review and expert opinion. |
表2 自然保护区管理有效性评价方法的分类比较
Table 2 Comparison of four types of methodologies for assessing management effectiveness of protected area
| 方法Methodology | 应用范围 Scale | 对象 Target | 评价目的 Assessment objective | 评价形式 Assessment form |
|---|---|---|---|---|
| I | 单个保护区 Site-level | 保护区管理者 Manager | 评价管理活动达到预期管理目标的程度, 以提高监测水平 Assessing the degree to which management actions achieve specified management objectives and improving monitoring. | 由保护区管理者实行, 衡量具有详细评价标准的主要预期成果的变化情况 The assessment that is operated by protected area manager is designed to measure changes in key desired outcomes with a detailed baseline. |
| II | 特定保护区系统内的所有保护区 Each protected area within a given protected area system | 政策制定者 Policy-maker | 明确保护区系统面临的威胁、保护优先性及后续措施 Identifying the threats, conservation priority and follow-up steps. | 通过召开参与式的座谈会, 依据调查问卷进行讨论评分 The assessment would hold an interactive workshop to evaluate the protected area effectiveness according to a questionnaire. |
| III | 单个保护区 Site-level | 保护区管理者及相关人员 Manager and related people | 快速了解保护区的管理过程, 报告管理效果的进展 Providing a quick overview of the management steps and reporting progress on management effectiveness. | 通过记分卡或者结构性问卷, 通常在每个保护区以访谈或者调查的形式进行 The assessment involves a scorecard or structured questionnaire and is generally applied to each protected area through an individual interview or survey. |
| IV | 保护区系统 System-level | 政策制定者 Policy-maker | 对整个保护区系统的概括认知 Providing general information about an entire system but little or no information about variation within that system. | 运用已有文献数据及专家意见对采集的数据进行分类评价 The assessment data are collected regarding an entire category or categories, based primarily on literature review and expert opinion. |
| 方法Methodology | 优点 Advantages | 缺点 Disadvantages | 总体评价 General assessment |
|---|---|---|---|
| I | 结果的可信度很高; 保护区人员及利益相关者的互动性很高; 提供可靠的和可重复的指标 Very high degree of confidence in results; very high levels of interaction with all levels of protected area staff and stakeholders; measurable and repeatable indicators. | 需要投入大量的人力和资源, 耗费时间长 Very high investment of staffing and resources and long time required. | 最适用制定特定的阈值与基准以提高监测水平 Best for developing specific thresholds and benchmarks for monitoring improvement. |
| II | 结果的可信度较高; 可以为以后的评价工作提供基础; 在系统层次上分析保护区的威胁、薄弱环节和优先性 High degree of confidence in results; basis of future assessment; system-level analysis of threats, weaknesses and priorities. | 缺乏生态完整性和保护区水平的具体指标, 通常不能为以后监测管理行为提供可度量的阈值 Lack of detailed index for ecological integrity and protected area management; does not generally result in measurable thresholds for monitoring future performance. | 最适用于确定系统范围内面临的威胁, 需要优先保护的地理位置与策略及政策干预 Best for identifying system wide threats, weaknesses, geographic and strategic priorities and policy-level interventions. |
| III | 较小的人力、资源投入; 耗时短 Low investment of staffing and resources and little time required. | 非同行评定, 不适用于对保护区系统内不同保护区之间进行比较 Not peer-based assessment; is not well suited for comparisons across a protected area system. | 最适用于对保护区管理有一个快速的了解, 跟踪多个保护区的总体进展情况 Best for developing a snapshot in performance and for tracking the overall general progress of many sites over time. |
| IV | 人力和资源投入很少 Very low investment of staffing and resources. | 缺乏野外工作人员的参与; 结果的可信度很低; 评价结果不能区分出同一类型的保护区在管理效果上的差异 Very low levels of interaction with field staff; very low degree of confidence in results; does not differentiate between different levels of management effectiveness within a single category. | 最适用于在项目水平上确定优先投资的生物类群和区域, 应与其他评价方法结合运用 Best for prioritizing broad categories and geographies for investment at a programmatic level; best when used with other assessment types |
表3 自然保护区管理有效性评价方法优缺点的分类比较
Table 3 Advantages and disadvantages of four types of methodologies for assessing management effectiveness of protected area
| 方法Methodology | 优点 Advantages | 缺点 Disadvantages | 总体评价 General assessment |
|---|---|---|---|
| I | 结果的可信度很高; 保护区人员及利益相关者的互动性很高; 提供可靠的和可重复的指标 Very high degree of confidence in results; very high levels of interaction with all levels of protected area staff and stakeholders; measurable and repeatable indicators. | 需要投入大量的人力和资源, 耗费时间长 Very high investment of staffing and resources and long time required. | 最适用制定特定的阈值与基准以提高监测水平 Best for developing specific thresholds and benchmarks for monitoring improvement. |
| II | 结果的可信度较高; 可以为以后的评价工作提供基础; 在系统层次上分析保护区的威胁、薄弱环节和优先性 High degree of confidence in results; basis of future assessment; system-level analysis of threats, weaknesses and priorities. | 缺乏生态完整性和保护区水平的具体指标, 通常不能为以后监测管理行为提供可度量的阈值 Lack of detailed index for ecological integrity and protected area management; does not generally result in measurable thresholds for monitoring future performance. | 最适用于确定系统范围内面临的威胁, 需要优先保护的地理位置与策略及政策干预 Best for identifying system wide threats, weaknesses, geographic and strategic priorities and policy-level interventions. |
| III | 较小的人力、资源投入; 耗时短 Low investment of staffing and resources and little time required. | 非同行评定, 不适用于对保护区系统内不同保护区之间进行比较 Not peer-based assessment; is not well suited for comparisons across a protected area system. | 最适用于对保护区管理有一个快速的了解, 跟踪多个保护区的总体进展情况 Best for developing a snapshot in performance and for tracking the overall general progress of many sites over time. |
| IV | 人力和资源投入很少 Very low investment of staffing and resources. | 缺乏野外工作人员的参与; 结果的可信度很低; 评价结果不能区分出同一类型的保护区在管理效果上的差异 Very low levels of interaction with field staff; very low degree of confidence in results; does not differentiate between different levels of management effectiveness within a single category. | 最适用于在项目水平上确定优先投资的生物类群和区域, 应与其他评价方法结合运用 Best for prioritizing broad categories and geographies for investment at a programmatic level; best when used with other assessment types |
| 方法 Methodology | 主要方法 Main methodology | 应用 Application | 参考文献 Referrences |
|---|---|---|---|
| I | UNESCO/IUCN的“增加我们的遗产价值—世界自然遗产地成效的监测与管理”项目开发的评价方法。 Assessment tool developed by the “Enhancing Our Heritage—Monitoring and Managing for success in Natural World Heritage Sites”UNESCO/IUCN project | 此方法已在非洲、南亚和拉丁美洲的9个世界自然遗产地实施, 测试评价工具、资助监测活动和适宜的管理行动 The project tested assessment tools and funded monitoring activities and adaptive management interventions in nine natural World Heritage Sites in Africa, South Asia and Latin America. | |
| II | 世界自然基金会编制的自然保护区管理快速评估和优先性确定方法 Assessment tool developed by “Rapid Assessment and Prioritization of Protected Area Management (RAPPAM) Methodology” WWF project | 已应用到45个国家的1,500多个保护区 The methodology has been applied in over 1,500 protected areas across 45 countries. | |
| III | 由“受威胁的公园项目”建立的评价方法 Assessment tool developed by “Parks in Peril Program” project | 为拉丁美洲和加勒比海地区17个国家、面积超过2,700万公顷地方的保护及长期管理工作提供了支持 The program has supported protection and long-term management of more than 27 million hectares in 17 countries across Latin America and the Caribbean. | |
| 由“中美洲地区环境项目”建立的评价方法 Assessment tool developed by “Proyecto Ambiental Regional de Centro America, PROARCA” program | 应用于中美洲的巴拿马、洪都拉斯、萨尔瓦多、尼加拉瓜、危地马拉、哥斯达黎加 The program has been applied in Panama, Honduras, Salvador, Nicaragua, Guatemala, Costa Rica across Central America. | ||
| WWF中美洲办公室和热带农业调查和教育中心合作发展的保护区管理的评价方法 Assessment tool developed by “WWF/ The Agricultural Center of Tropical Investigation and Teaching (CATIE)” project | 该系统已在巴西、哥斯达黎加、厄瓜多尔和危地马拉得到检验 The methodology has been tested in Brazil, Costa Rica, Ecuador and Guatemala. | ||
| 世界银行/世界自然基金会跟踪工具 World Bank (WB) /WWF “Tracking Tool” | 欧洲、亚洲、非洲和拉丁美洲51个国家的331个自然保护区; Ramsar公约保护下的8个湿地; 总面积超过5,000万公顷 Tracking Tool have been implemented at 331 sites in 51 countries within Africa, Asia, Europe, and Latin America, and 8 wetlands protected by Ramsar Convention, covering a total area of over 50 million hectares. | ||
| II | 大自然保护区协会分类评估方法 The Nature Conservancy “Categorical Assessment” | 南美大陆所有保护区 The methodology has been used in all protected areas across the South American continent. | |
| 空缺法 Gap Plus | 对科罗拉多州各类公共和私有土地的管理效果打分 The methodology has been used to establish a score of management effectiveness of various types of public and private land management within Colorado. |
表4 自然保护区管理有效性评价的主要方法及其应用
Table 4 Applications of main methodologies for assessing management effectiveness of protected area
| 方法 Methodology | 主要方法 Main methodology | 应用 Application | 参考文献 Referrences |
|---|---|---|---|
| I | UNESCO/IUCN的“增加我们的遗产价值—世界自然遗产地成效的监测与管理”项目开发的评价方法。 Assessment tool developed by the “Enhancing Our Heritage—Monitoring and Managing for success in Natural World Heritage Sites”UNESCO/IUCN project | 此方法已在非洲、南亚和拉丁美洲的9个世界自然遗产地实施, 测试评价工具、资助监测活动和适宜的管理行动 The project tested assessment tools and funded monitoring activities and adaptive management interventions in nine natural World Heritage Sites in Africa, South Asia and Latin America. | |
| II | 世界自然基金会编制的自然保护区管理快速评估和优先性确定方法 Assessment tool developed by “Rapid Assessment and Prioritization of Protected Area Management (RAPPAM) Methodology” WWF project | 已应用到45个国家的1,500多个保护区 The methodology has been applied in over 1,500 protected areas across 45 countries. | |
| III | 由“受威胁的公园项目”建立的评价方法 Assessment tool developed by “Parks in Peril Program” project | 为拉丁美洲和加勒比海地区17个国家、面积超过2,700万公顷地方的保护及长期管理工作提供了支持 The program has supported protection and long-term management of more than 27 million hectares in 17 countries across Latin America and the Caribbean. | |
| 由“中美洲地区环境项目”建立的评价方法 Assessment tool developed by “Proyecto Ambiental Regional de Centro America, PROARCA” program | 应用于中美洲的巴拿马、洪都拉斯、萨尔瓦多、尼加拉瓜、危地马拉、哥斯达黎加 The program has been applied in Panama, Honduras, Salvador, Nicaragua, Guatemala, Costa Rica across Central America. | ||
| WWF中美洲办公室和热带农业调查和教育中心合作发展的保护区管理的评价方法 Assessment tool developed by “WWF/ The Agricultural Center of Tropical Investigation and Teaching (CATIE)” project | 该系统已在巴西、哥斯达黎加、厄瓜多尔和危地马拉得到检验 The methodology has been tested in Brazil, Costa Rica, Ecuador and Guatemala. | ||
| 世界银行/世界自然基金会跟踪工具 World Bank (WB) /WWF “Tracking Tool” | 欧洲、亚洲、非洲和拉丁美洲51个国家的331个自然保护区; Ramsar公约保护下的8个湿地; 总面积超过5,000万公顷 Tracking Tool have been implemented at 331 sites in 51 countries within Africa, Asia, Europe, and Latin America, and 8 wetlands protected by Ramsar Convention, covering a total area of over 50 million hectares. | ||
| II | 大自然保护区协会分类评估方法 The Nature Conservancy “Categorical Assessment” | 南美大陆所有保护区 The methodology has been used in all protected areas across the South American continent. | |
| 空缺法 Gap Plus | 对科罗拉多州各类公共和私有土地的管理效果打分 The methodology has been used to establish a score of management effectiveness of various types of public and private land management within Colorado. |
| 方法 Methodology | 评价指标 Assessment indicators | 参考文献 References |
|---|---|---|
| Enhancing Our Heritage | (1)背景: 明确区域的保护价值和威胁, 利益相关者的关系, 国家背景资料评估; (2)规划: 管理规划评价, 设计评价; (3)投入: 管理需求和投入评价; (4)管理过程: 管理过程持续改进评价; (5)管理结果: 管理计划实施评价; (6)成果: 生态完整性, 主要目标的达成程度。 (1) Context: identifying site values and threats, engagement of stakeholders, review of national context; (2) Planning: assessment of management planning, design issues; (3) Inputs: assessing management needs and inputs; (4) Management process: assessing continuous improvement of management processes; (5) Management outputs: management plan implementation; (6) Outcomes: Ecological integrity assessment, achievement of main objectives. | |
| RAPPAM Methodology | (1)背景: 威胁, 生物学重要性, 社会经济重要性, 脆弱性, 保护区政策, 政策环境; (2)保护区设计与规划: 目标, 法律保障, 保护区设计与规划, 保护区系统设计; (3)投入: 人员, 通讯和信息, 基础设施, 资金; (4)管理过程: 管理规划, 管理措施, 研究、监测和评价; (5)管理成果: 威胁/预防, 区域恢复, 野生动植物管理, 社区服务, 游客管理, 基础设施建设, 规划实施, 监测, 培训, 科研; (6)成果: 压力 (1) Context: threats, biological importance, socio-economic importance, vulnerability, PA policies, policy environment; (2) PA design and planning: PA objectives, legal security, site design and planning, PA system design; (3) Inputs: staff, communication and information, infrastructure, finance; (4) Management processes: management planning, management practices, research, monitoring and evaluation; (5) Management outputs: threats prevention, site restoration, wildlife management, community outreach, visitor management, infrastructure outputs, planning outputs, monitoring, training, research; (6) Outcomes: pressures. | |
| Parks in Peril Program | (1)基础保护行动: 物质基础设施, 现场人员, 培训, 土地权属问题, 威胁分析, 保护区官方地位; (2)长期管理: 功能区划和缓冲区管理, 区域长期管理计划, 监测计划的发展与实施; (3)长期经费支持: 非政府组织自给计划, 受威胁公园长期经费计划; (4)地方支撑: 具广泛代表性的管理委员会/技术咨询委员会, 社区参与协调资源的使用, 在国家/区域/地区水平上的政策议程进展, 环境宣教项目。 (1) Basic protection activities: physical infrastructure, on-site personnel, training, land tenure issues, threats analysis, official PA status; (2) Long-term management: zoning and buffer zone management, site-based long-term management plan, monitoring plan development and implementation; (3) Long-term financing: NGO self-sufficiency plan, Parks in Peril site long-term financial plan; (4) Site constituency: broad-based management committee/technical advisory committee, community involvement in compatible resource use, development of policy agenda at national/regional/local levels, environmental education programs. | |
| PROARCA program | (1)社会: 交流, 参与, 宣教, 土地权属; (2)行政管理: 基础设施, 人员, 规划; (3)自然与文化资源: 利用, 保护, 知识, 环境监测; (4)政治—法律: 法律框架, 机构框架; (5)经济/财政: 自身可持续性, 产品和服务的产出, 收益。 (1) Social: communications, participation, education, land tenure; (2) Administrative: infrastructure, personnel, planning; (3) Natural and cultural resources: use, protection, knowledge, environmental monitoring; (4) Political-legal: legal framework, institutional framework; (5) Economic/financial: self sustainability, production of goods and services, benefits. | |
| CATIE | (1)管理: 人员, 经费, 组织机构, 基础设施; (2)政策: 社区支持与参与, 内部制度支撑, 外部支撑; (3)法律: 土地权属, 一般法律和法规, 保护区法规; (4)规划: 保护区管理计划, 管理计划与其他计划和组织的协调性, 年度工作计划, 规划的层次、功能区划、边界; (5)信息: 社会经济信息, 生物物理信息, 地理信息, 法律信息, 研究, 监测与反馈, 传统知识; (6)管理项目: 研究, 环境教育, 环境宣传, 保护, 维护, 影响社区; (7)非法利用: 伐木, 不可更新自然资源的利用, 动植物资源和文化资源的开发, 盗猎, 农业和畜牧业, 渔业, 娱乐与旅游, 设施建设; (8)合法利用: 伐木, 矿产资源的利用, 动植物资源的利用, 占用, 狩猎, 农业和畜牧业, 渔业, 娱乐与旅游, 宣教, 房屋建设; (9)生物地理特征: 形式, 大小, 隔离性, 脆弱性; (10)威胁: 游客影响, 污染, 火灾、人类居住区的扩展, 外来物种, 引入生物, 自然灾害, 基础设施建设, 破坏活动和暴力冲突, 贩毒。 (1) Administrative: personnel, financing, organization, infrastructure; (2) Policies: community support and participation, inner-institutional support, external support; (3) Legal: land tenure, general laws and regulations, law establishing PA; (4) Planning: PA management plan, compatibility of management plan with other plans and organizations, annual operating plan, level of planning, zoning, boudaries; (5) Information: socio- economic information, biophysical information, cartographic information, legal information, research, monitoring and feedback, traditional knowledge; (6) Management programs: research, environmental education, environmental interpretation, protection, maintenance, outreach to the communities; (7) Illegal uses: extraction of timber, extraction of non-renewable natural resources, extraction of flora and fauna, extraction of cultural resources, squatting, poaching, agriculture and cattle ranching, fishing, recreation and tourism, building of infrastructure; (8) Legal uses: timber extraction, extraction of mineral resources, extraction of flora and fauna, hunting, agriculture and cattle ranching, fishing, recreation and tourism, education, building construction; (9) Biogeographical characteristics: form, size, isolation, vulnerability; (10) Threats: visitor impact, pollution, fires, advancing human settlements, immigration, introduced organisms, natural disasters, development infrastructure, subversive movements and violent conflict, narco-trafficking. | |
| 方法 Methodology | 评价指标 Assessment indicators | 参考文献 References |
| Tracking Tool | (1)背景: 法律地位; (2)规划: 保护区条例, 保护区目标, 保护区设计, 管理计划, 日常工作计划, 土地和水资源利用规划, 监测与评价; (3)投入: 法律实施, 资源调查, 员工数量, 人员培训, 本期预算, 预算的可靠性, 设备, 费用; (4)过程: 保护区边界的确定, 保护体系, 研究, 资源管理, 人员培训, 预算管理, 设备的维护, 宣教项目, 政府及商业伙伴, 原住民, 当地社区, 监测与评价, 旅行社, 门票和罚款收入; (5)结果: 日常工作计划, 旅游服务设施, 收入对保护区管理的帮助程度; (6)效果: 保护体系, 经济收益评估, 价值现状评估。 (1) Context: legal status; (2) Planning: PA regulations, PA objectives, PA design, management plan, regular work plan, planning for land and water use, monitoring and evaluation; (3) Input: law enforcement, resource inventory, staff numbers, staff training, current budget, security of budget, equipment, fees; (4) Process: PA boundary demarcation, protection systems, research, resource management, staff training, management of budget, maintenance of equipment, education and awareness, state and commercial neighbors, indigenous people, local communities, monitoring and evaluation, commercial tourism operators, fees; (5) Outputs: regular work plan, visitor facilities, fees; (6) Outcome: protection systems, economic benefit assessment, condition of values. | |
| Categorical Assessment | (1)生物学重要性: 具生态代表性的保护区网络, 植被覆盖率, 片断化程度; (2)资金可持续性: 财务计划及机制, 有经验的职工; (3)法律地位: 土地权属, 社会参与性, 法律/机构状况; (4)管理/监测: 管理计划, 监测计划, 野外工作人员; (5)政策: 保护区与国家和地方规划过程之间的联系, 系统内土地所有权类型, 所有权的社会承认; (6)能力: 国家级保护地管理机构的能力, 保护地管理, 国家层面上的能力建设计划。 (1) Biological relevance: ecologically representative network of PAs, vegetation cover, level of fragmentation; (2) Financial sustainability: financial plans and mechanisms, skilled staff; (3) Legal: land tenure, social participation, legal/institutional aspects; (4) Management/monitoring: management plans, monitoring plans, field staff; (5) Policy: relation of PAs with national and sub-national planning processes, types of land ownership within the PA system, social recognition of tenure; (6)Capacity: capacity of the National PA Agency, site management, national capacity building plan. | |
| Gap plus | (1)背景: 社会背景, 地理背景, 生物多样性损失的类型、程度和持续时间; (2)法律框架: 生物多样性保护的法律持续性, 土地所有权和使用权, 生物多样性管理与其他目标的协调; (3)生物多样性规划: 管理计划, 资源本底调查协议, 与生物多样性管理相关人员的参与; (4)管理资源: 达成生物多样性管理相关目标所需人力、财力和基础建设资源; (5)监测: 确定生物多样性相关研究需求的能力, 对生物多样性状况的了解, 将监测与管理决策结合; (6)资源利用: 使娱乐、旅游、资源开发与生物多样性保护目标统一, 充足的生物多样性保护用地; (7)关键管理行为的实施: 法律实施, 威胁监测和预防, 充分的保护和恢复生物多样性的措施。 (1) Context: social context, geographic context, type, magnitude and duration of impairments to biodiversity; (2) Legal framework: legal permanency of biodiversity protection, land tenure and use rights, compatibility of biodiversity management with other objectives; (3) Planning for biodiversity: management plan, biological resource inventory protocols, stakeholder participation in relation to biodiversity management; (4) Management resources: human resources, financial resources and infrastructural resources sufficient to achieve biodiversity related management objectives; (5) Monitoring: capacity to identify biodiversity-related research needs, awareness of biodiversity condition/viability, incorporation of monitoring into management decisions; (6) Resource use: recreation and visitor use and resource harvesting activities consistent with biodiversity related objective, adequacy of land use zones in protection biodiversity related resources; (7) Implementation of critical management activities: law enforcement, biodiversity related threat detection, mitigation and prevention, adequacy of critical conservation actions in maintain and restoring biodiversity. |
表5 自然保护区管理有效性主要评价方法的评价指标
Table 5 Assessment indicators of main methodologies for assessing management effectiveness of protected area
| 方法 Methodology | 评价指标 Assessment indicators | 参考文献 References |
|---|---|---|
| Enhancing Our Heritage | (1)背景: 明确区域的保护价值和威胁, 利益相关者的关系, 国家背景资料评估; (2)规划: 管理规划评价, 设计评价; (3)投入: 管理需求和投入评价; (4)管理过程: 管理过程持续改进评价; (5)管理结果: 管理计划实施评价; (6)成果: 生态完整性, 主要目标的达成程度。 (1) Context: identifying site values and threats, engagement of stakeholders, review of national context; (2) Planning: assessment of management planning, design issues; (3) Inputs: assessing management needs and inputs; (4) Management process: assessing continuous improvement of management processes; (5) Management outputs: management plan implementation; (6) Outcomes: Ecological integrity assessment, achievement of main objectives. | |
| RAPPAM Methodology | (1)背景: 威胁, 生物学重要性, 社会经济重要性, 脆弱性, 保护区政策, 政策环境; (2)保护区设计与规划: 目标, 法律保障, 保护区设计与规划, 保护区系统设计; (3)投入: 人员, 通讯和信息, 基础设施, 资金; (4)管理过程: 管理规划, 管理措施, 研究、监测和评价; (5)管理成果: 威胁/预防, 区域恢复, 野生动植物管理, 社区服务, 游客管理, 基础设施建设, 规划实施, 监测, 培训, 科研; (6)成果: 压力 (1) Context: threats, biological importance, socio-economic importance, vulnerability, PA policies, policy environment; (2) PA design and planning: PA objectives, legal security, site design and planning, PA system design; (3) Inputs: staff, communication and information, infrastructure, finance; (4) Management processes: management planning, management practices, research, monitoring and evaluation; (5) Management outputs: threats prevention, site restoration, wildlife management, community outreach, visitor management, infrastructure outputs, planning outputs, monitoring, training, research; (6) Outcomes: pressures. | |
| Parks in Peril Program | (1)基础保护行动: 物质基础设施, 现场人员, 培训, 土地权属问题, 威胁分析, 保护区官方地位; (2)长期管理: 功能区划和缓冲区管理, 区域长期管理计划, 监测计划的发展与实施; (3)长期经费支持: 非政府组织自给计划, 受威胁公园长期经费计划; (4)地方支撑: 具广泛代表性的管理委员会/技术咨询委员会, 社区参与协调资源的使用, 在国家/区域/地区水平上的政策议程进展, 环境宣教项目。 (1) Basic protection activities: physical infrastructure, on-site personnel, training, land tenure issues, threats analysis, official PA status; (2) Long-term management: zoning and buffer zone management, site-based long-term management plan, monitoring plan development and implementation; (3) Long-term financing: NGO self-sufficiency plan, Parks in Peril site long-term financial plan; (4) Site constituency: broad-based management committee/technical advisory committee, community involvement in compatible resource use, development of policy agenda at national/regional/local levels, environmental education programs. | |
| PROARCA program | (1)社会: 交流, 参与, 宣教, 土地权属; (2)行政管理: 基础设施, 人员, 规划; (3)自然与文化资源: 利用, 保护, 知识, 环境监测; (4)政治—法律: 法律框架, 机构框架; (5)经济/财政: 自身可持续性, 产品和服务的产出, 收益。 (1) Social: communications, participation, education, land tenure; (2) Administrative: infrastructure, personnel, planning; (3) Natural and cultural resources: use, protection, knowledge, environmental monitoring; (4) Political-legal: legal framework, institutional framework; (5) Economic/financial: self sustainability, production of goods and services, benefits. | |
| CATIE | (1)管理: 人员, 经费, 组织机构, 基础设施; (2)政策: 社区支持与参与, 内部制度支撑, 外部支撑; (3)法律: 土地权属, 一般法律和法规, 保护区法规; (4)规划: 保护区管理计划, 管理计划与其他计划和组织的协调性, 年度工作计划, 规划的层次、功能区划、边界; (5)信息: 社会经济信息, 生物物理信息, 地理信息, 法律信息, 研究, 监测与反馈, 传统知识; (6)管理项目: 研究, 环境教育, 环境宣传, 保护, 维护, 影响社区; (7)非法利用: 伐木, 不可更新自然资源的利用, 动植物资源和文化资源的开发, 盗猎, 农业和畜牧业, 渔业, 娱乐与旅游, 设施建设; (8)合法利用: 伐木, 矿产资源的利用, 动植物资源的利用, 占用, 狩猎, 农业和畜牧业, 渔业, 娱乐与旅游, 宣教, 房屋建设; (9)生物地理特征: 形式, 大小, 隔离性, 脆弱性; (10)威胁: 游客影响, 污染, 火灾、人类居住区的扩展, 外来物种, 引入生物, 自然灾害, 基础设施建设, 破坏活动和暴力冲突, 贩毒。 (1) Administrative: personnel, financing, organization, infrastructure; (2) Policies: community support and participation, inner-institutional support, external support; (3) Legal: land tenure, general laws and regulations, law establishing PA; (4) Planning: PA management plan, compatibility of management plan with other plans and organizations, annual operating plan, level of planning, zoning, boudaries; (5) Information: socio- economic information, biophysical information, cartographic information, legal information, research, monitoring and feedback, traditional knowledge; (6) Management programs: research, environmental education, environmental interpretation, protection, maintenance, outreach to the communities; (7) Illegal uses: extraction of timber, extraction of non-renewable natural resources, extraction of flora and fauna, extraction of cultural resources, squatting, poaching, agriculture and cattle ranching, fishing, recreation and tourism, building of infrastructure; (8) Legal uses: timber extraction, extraction of mineral resources, extraction of flora and fauna, hunting, agriculture and cattle ranching, fishing, recreation and tourism, education, building construction; (9) Biogeographical characteristics: form, size, isolation, vulnerability; (10) Threats: visitor impact, pollution, fires, advancing human settlements, immigration, introduced organisms, natural disasters, development infrastructure, subversive movements and violent conflict, narco-trafficking. | |
| 方法 Methodology | 评价指标 Assessment indicators | 参考文献 References |
| Tracking Tool | (1)背景: 法律地位; (2)规划: 保护区条例, 保护区目标, 保护区设计, 管理计划, 日常工作计划, 土地和水资源利用规划, 监测与评价; (3)投入: 法律实施, 资源调查, 员工数量, 人员培训, 本期预算, 预算的可靠性, 设备, 费用; (4)过程: 保护区边界的确定, 保护体系, 研究, 资源管理, 人员培训, 预算管理, 设备的维护, 宣教项目, 政府及商业伙伴, 原住民, 当地社区, 监测与评价, 旅行社, 门票和罚款收入; (5)结果: 日常工作计划, 旅游服务设施, 收入对保护区管理的帮助程度; (6)效果: 保护体系, 经济收益评估, 价值现状评估。 (1) Context: legal status; (2) Planning: PA regulations, PA objectives, PA design, management plan, regular work plan, planning for land and water use, monitoring and evaluation; (3) Input: law enforcement, resource inventory, staff numbers, staff training, current budget, security of budget, equipment, fees; (4) Process: PA boundary demarcation, protection systems, research, resource management, staff training, management of budget, maintenance of equipment, education and awareness, state and commercial neighbors, indigenous people, local communities, monitoring and evaluation, commercial tourism operators, fees; (5) Outputs: regular work plan, visitor facilities, fees; (6) Outcome: protection systems, economic benefit assessment, condition of values. | |
| Categorical Assessment | (1)生物学重要性: 具生态代表性的保护区网络, 植被覆盖率, 片断化程度; (2)资金可持续性: 财务计划及机制, 有经验的职工; (3)法律地位: 土地权属, 社会参与性, 法律/机构状况; (4)管理/监测: 管理计划, 监测计划, 野外工作人员; (5)政策: 保护区与国家和地方规划过程之间的联系, 系统内土地所有权类型, 所有权的社会承认; (6)能力: 国家级保护地管理机构的能力, 保护地管理, 国家层面上的能力建设计划。 (1) Biological relevance: ecologically representative network of PAs, vegetation cover, level of fragmentation; (2) Financial sustainability: financial plans and mechanisms, skilled staff; (3) Legal: land tenure, social participation, legal/institutional aspects; (4) Management/monitoring: management plans, monitoring plans, field staff; (5) Policy: relation of PAs with national and sub-national planning processes, types of land ownership within the PA system, social recognition of tenure; (6)Capacity: capacity of the National PA Agency, site management, national capacity building plan. | |
| Gap plus | (1)背景: 社会背景, 地理背景, 生物多样性损失的类型、程度和持续时间; (2)法律框架: 生物多样性保护的法律持续性, 土地所有权和使用权, 生物多样性管理与其他目标的协调; (3)生物多样性规划: 管理计划, 资源本底调查协议, 与生物多样性管理相关人员的参与; (4)管理资源: 达成生物多样性管理相关目标所需人力、财力和基础建设资源; (5)监测: 确定生物多样性相关研究需求的能力, 对生物多样性状况的了解, 将监测与管理决策结合; (6)资源利用: 使娱乐、旅游、资源开发与生物多样性保护目标统一, 充足的生物多样性保护用地; (7)关键管理行为的实施: 法律实施, 威胁监测和预防, 充分的保护和恢复生物多样性的措施。 (1) Context: social context, geographic context, type, magnitude and duration of impairments to biodiversity; (2) Legal framework: legal permanency of biodiversity protection, land tenure and use rights, compatibility of biodiversity management with other objectives; (3) Planning for biodiversity: management plan, biological resource inventory protocols, stakeholder participation in relation to biodiversity management; (4) Management resources: human resources, financial resources and infrastructural resources sufficient to achieve biodiversity related management objectives; (5) Monitoring: capacity to identify biodiversity-related research needs, awareness of biodiversity condition/viability, incorporation of monitoring into management decisions; (6) Resource use: recreation and visitor use and resource harvesting activities consistent with biodiversity related objective, adequacy of land use zones in protection biodiversity related resources; (7) Implementation of critical management activities: law enforcement, biodiversity related threat detection, mitigation and prevention, adequacy of critical conservation actions in maintain and restoring biodiversity. |
| 评价方面 Assessment aspect | 评价项目 Assessment indicators | 评价内容 Content |
|---|---|---|
| 管理基础(管理能力) Management base (management capacity) | 保护区机构、公安机构建设、保护区边界、员工数量、工资与福利、事业费、基础设施。 Management agency, police agency, reserve boundary, staff number, salary and other benefits, budget sources for protection activities, and infrastructure | 保护区在机构、职工、经费、设备与设施等方面的条件与状况。 Focusing on the condition and status of agencies, staffs, budget, equipment, and facilities in a reserve. |
| 管理机制 Management mechanism | 管理体制(附加项目: 保护区纳入生态公益林补偿和天然林保护项目)、土地/林权、保护区管理办法、行政执法权、人事管理、社区参与、管理计划、监测和评价。 Management system (Additional points: reserve is a part of the “Ecological Public-welfare Forest Compensation and Natural Forest Protection Project”), land/forest authorities, regulations, administrative law-enforcing authorization, personnel management, community involvement, management plan, monitoring and evaluation. | 保护区在管理条例、管理计划、管理目标确定、收费的分配机制、与当地居民、周边居民和社区及其他相关机构、部门、企业等的协调方式与机制。 Focusing on the determination of management regulations, management plans and management objectives and the allocation of charges in a reserve, and on the coordinative manner and mechanism between the reserve and local residents, neighboring residents and communities and other relevant agencies, departments and enterprises, etc. |
| 管理行为 Management behavior | 保护对象的管理、总体规划(附加项目: 保护区与社区没有土地/林权纠纷)、资源调查、科研(附加项目: 独立主持过科研项目, 并且目前有在研项目)、资源管理、资源监测(附加项目: 过去3年没有发生火灾; 没有引进外来物种; 过去3年没有发生盗伐与偷猎保护对象的案件)、职工培训、经费管理、设备使用和维护、宣传教育(附加项目: 过去3年内执行过国际交流合作项目)、社区共管、 旅游管理(附加项目: 保护区内旅游宾馆、饭店等设施齐全, 游客食宿方便)、保护区巡护。 Management of protection targets, master plan (additional points: without any land and forest conflicts between reserve and local communities), resource and biodiversity investigation, research (additional points: reserve has presided over research projects independently; moreover, some are in process now), resource management, resource monitoring (additional points: there is no forest / grassland fires in last 3 years in the reserve. No species are introduced into the reserve. No illegal logging, hunting and other damage events to protection targets in last 3 years in the reserve), staff training, budget expending and management, use and maintenance of equipment, education and awareness (additional points: there are international exchange projects during last 3 years), community co-management, tourism management (additional points: there are complete facilities in the reserve such as travel hotels and restaurants that provide tourists with convenience), patrol in reserve. | 关注保护区员工为实现保护目标和保护区功能所采取的活动, 例如保护区规划, 边界确定, 巡护, 员工培训, 资源调查, 科研与监测等。 Focusing on the activities launched by reserve staffs to realize protective objectives and reserve functions, e.g. reserve planning, boundary determination, patrol, staff training, resource survey and working status of scientific researches and monitoring, etc. |
| 管理效果 Management effectiveness | 保护状况(附加项目: 在保护区或保护区缓冲带的退化地区有积极的生态恢复项目)、保护区控制、保护区与社区的协调发展。 Condition assessment (additional points: there are active programs for restoration of degraded areas within the protected area and/or the protected area buffer zone), reserve control, coordinative development between reserve and community. | 评价保护对象的状况, 保护区资源管理与保护状况, 对周边社区与区域经济发展的影响等。 Focusing on the status of protection targets, the status of resource management and protection in a reserve and the impact on neighborhood and regional development in economy, etc. |
表6 中国自然保护区管理能力与效果调查评分表
Table 6 Scorecard for investigating management capacity and effectiveness of nature reserves in China
| 评价方面 Assessment aspect | 评价项目 Assessment indicators | 评价内容 Content |
|---|---|---|
| 管理基础(管理能力) Management base (management capacity) | 保护区机构、公安机构建设、保护区边界、员工数量、工资与福利、事业费、基础设施。 Management agency, police agency, reserve boundary, staff number, salary and other benefits, budget sources for protection activities, and infrastructure | 保护区在机构、职工、经费、设备与设施等方面的条件与状况。 Focusing on the condition and status of agencies, staffs, budget, equipment, and facilities in a reserve. |
| 管理机制 Management mechanism | 管理体制(附加项目: 保护区纳入生态公益林补偿和天然林保护项目)、土地/林权、保护区管理办法、行政执法权、人事管理、社区参与、管理计划、监测和评价。 Management system (Additional points: reserve is a part of the “Ecological Public-welfare Forest Compensation and Natural Forest Protection Project”), land/forest authorities, regulations, administrative law-enforcing authorization, personnel management, community involvement, management plan, monitoring and evaluation. | 保护区在管理条例、管理计划、管理目标确定、收费的分配机制、与当地居民、周边居民和社区及其他相关机构、部门、企业等的协调方式与机制。 Focusing on the determination of management regulations, management plans and management objectives and the allocation of charges in a reserve, and on the coordinative manner and mechanism between the reserve and local residents, neighboring residents and communities and other relevant agencies, departments and enterprises, etc. |
| 管理行为 Management behavior | 保护对象的管理、总体规划(附加项目: 保护区与社区没有土地/林权纠纷)、资源调查、科研(附加项目: 独立主持过科研项目, 并且目前有在研项目)、资源管理、资源监测(附加项目: 过去3年没有发生火灾; 没有引进外来物种; 过去3年没有发生盗伐与偷猎保护对象的案件)、职工培训、经费管理、设备使用和维护、宣传教育(附加项目: 过去3年内执行过国际交流合作项目)、社区共管、 旅游管理(附加项目: 保护区内旅游宾馆、饭店等设施齐全, 游客食宿方便)、保护区巡护。 Management of protection targets, master plan (additional points: without any land and forest conflicts between reserve and local communities), resource and biodiversity investigation, research (additional points: reserve has presided over research projects independently; moreover, some are in process now), resource management, resource monitoring (additional points: there is no forest / grassland fires in last 3 years in the reserve. No species are introduced into the reserve. No illegal logging, hunting and other damage events to protection targets in last 3 years in the reserve), staff training, budget expending and management, use and maintenance of equipment, education and awareness (additional points: there are international exchange projects during last 3 years), community co-management, tourism management (additional points: there are complete facilities in the reserve such as travel hotels and restaurants that provide tourists with convenience), patrol in reserve. | 关注保护区员工为实现保护目标和保护区功能所采取的活动, 例如保护区规划, 边界确定, 巡护, 员工培训, 资源调查, 科研与监测等。 Focusing on the activities launched by reserve staffs to realize protective objectives and reserve functions, e.g. reserve planning, boundary determination, patrol, staff training, resource survey and working status of scientific researches and monitoring, etc. |
| 管理效果 Management effectiveness | 保护状况(附加项目: 在保护区或保护区缓冲带的退化地区有积极的生态恢复项目)、保护区控制、保护区与社区的协调发展。 Condition assessment (additional points: there are active programs for restoration of degraded areas within the protected area and/or the protected area buffer zone), reserve control, coordinative development between reserve and community. | 评价保护对象的状况, 保护区资源管理与保护状况, 对周边社区与区域经济发展的影响等。 Focusing on the status of protection targets, the status of resource management and protection in a reserve and the impact on neighborhood and regional development in economy, etc. |
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