“Three Lines One Permit” environmental control policy and follow-up assessment: a case study of Sichuan Province

doi:10.21203/rs.3.rs-4642925/v1

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“Three Lines One Permit” environmental control policy and follow-up assessment: a case study of Sichuan Province

https://doi.org/10.21203/rs.3.rs-4642925/v1

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Integrated environmental management provides important support for global sustainable development. China’s “Three Lines One Permit” (TLOP) generates data relating to an ecological red line, a lower-limit line for environmental quality, an upper-limit line for resource use, and a list of environmental permits for human activities by establishing three types of spatial control units: priority protection units, critical control units, and general control units. It promotes an integrated, multifactorial continuum of regional soil, plant, hydrological, and atmospheric elements within spatial control units. A follow-up assessment is an important means to improve the implementation and effectiveness of the TLOP. This study demonstrated the achievements of the TLOP policy in Sichuan Province, China. The results showed that (1) a total of 1,025 integrated environmental spatial control units have been established through the intersection and merging of the three “lines.” They comprise 402 priority protection units, 468 critical control units, and 155 general control units, each with its own ecological-environmental protection and natural resource development regimes for regulating human activities through a list of environmental access permits. (2) To guarantee the effective implementation of the TLOP, we established three primary indicators covering implementation updating, implementation applications, and implementation guarantees, as well as 15 secondary indicators for the follow-up assessment index system for provinces and cities. The follow-up assessment index system for critical control units included three primary indicators for environmental access, environmental management, and implementation effectiveness, as well as 14 secondary indicators.

Three Lines One Permit

Ecological red line

follow-up assessment

Southwest China

Various environmental issues, notably water shortages, an energy crisis, environmental pollution, and ecological degradation, are evident globally (Ascensão et al., 2018). Moreover, issues relating to ecological environments and natural resources pose critical constraints and challenges for the achievement of sustainable development (Bedrich et al., 2012; Qin et al., 2015; Retief et al., 2016; Yu et al., 2022). Several instruments and measures have been introduced to reduce pollution and improve air, water, and soil quality; for example, the European Union Water Framework Directive (Voulvoulis et al., 2017), China’s Ten-Point Water Plan (Zheng et al., 2022), the US Environmental Protection Agency (Lu et al., 2020), and the Blue Sky Defense War (Feng et al., 2019; Jiang et al., 2021) have succeeded in improving air quality and climate conditions (Fiore et al., 2015; Angelakoglou and Gaidajis, 2015; Lu et al., 2020). These parallel measures and policies have played a key role in protecting singular environmental elements. However, human developmental activities may affect several of these elements, and the current decentralized system of managing individual elements is not conducive to achieving systematic environmental protection and quality improvement. Exploratory efforts are underway to synthesize the integration of environmental elements, such as water, soil, air, and ecologies, within a spatial regulated system in alignment with parallel environmental policies. These efforts, aimed at effectively restricting and regulating human land-based activities and systematically protecting ecological environments, are proving challenging.

China is at a critical juncture and must achieve the prevention and control of pollution and effective environmental regulation for its economy to transition successfully from high-speed growth to high-quality development. Over the last three decades, China has made continuous efforts to protect the environment and control pollution. It has done so through environmental protection planning (Guo et al., 2001), strategic environmental assessments (He et al., 2011; Li et al., 2014), zoning of environmental functions (Fang et al., 2006; Fan, 2015; Xu et al., 2020), and the formulation of “ecological red lines” for conservation (Bai et al., 2016; Liu et al., 2023). The “Three Lines One Permit” (TLOP) policy was introduced in 2016 by China’s Ministry of Ecology and Environment (MEE, 2017), with the aim of establishing an integrated system for managing territorial environmental spaces. It has since evolved into a comprehensive policy for promoting nationwide implementation of environmental impact assessments (EIAs) and integrated environmental management (Kumar and Saroj, 2014; Wang et al., 2020; Wang et al., 2022). The core elements of this system are three “lines” —an ecological red line (ERL), a lower-limit line of environmental quality, and an upper-limit line for resource use—which regulate the spatial layout, and a permit system, which controls human activities. The ERL delineates areas with ecological functions of special importance, requiring strict protection. The lower-limit line of environmental quality sets out phased objectives for ensuring environmental quality and corresponding environmental and pollutant emission regulations that are contingent on existing environmental quality and relevant planning and functional zoning requirements. The resource utilization line is aimed at ensuring ecological security and improving environmental quality in combination with the regulation and development of natural resources (Wang et al., 2020; Wang et al., 2022). The ecological environment access list clarifies regulations on prohibited or restricted access to environments according to considerations that relate to spatial layout, discharge of pollutants, environmental risks, and resource development and utilization. It covers management and regulation requirements relating to total available resource stocks and the intensity and efficiency of their development and utilization in different regions.

The TOLP's ultimate goal is to safeguard the ecological environment source, ensuring ecological functions and improving environmental quality. The follow-up assessment of TLOP not only serves to examine and assess the effectiveness of the existing implementation but also to summarize and review issues in the establishment and content of partition control units. This is important for guiding the dynamic update of the TLOP results and improving the TLOP system. In this study, we examined the new conceptual framework, constructed a follow-up assessment index system of the TLOP and explored its associated practices and managerial implications. Specifically, we examined the effectiveness of the TLOP and its main achievements through a case study of its implementation in Sichuan Province, southwest China.

2.1 Study area

Sichuan Province, which is situated in the transitional zone between the Qinghai–Tibet Plateau and the Yangtze Plain in mainland China, occupies an area of 486,000 km² and has a total population exceeding 90.97 million (Fig. 1). Geological activity within the region is intense, evidenced by frequent earthquakes and other geological disasters (Cui and Jia, 2015; Fan et al., 2019; Liu et al., 2023). Consequently, there is a high risk of destruction of ecological environments in Sichuan Province. It is also a critical zone for water and soil conservation and biodiversity protection, as well as being an ecological barrier and key area of water conservation in the upper reaches of the Yangtze River (Fan, 2015). Sichuan Province plays an important role in ensuring the sustainable, healthy, and coordinated development of China’s economy and society, especially for areas located in the middle and lower reaches of the Yangtze River (Chen et al., 2017; Cui and Jia, 2015; Liu et al., 2023). Improvement of the quality of water in the Minjiang and Tuojiang Rivers in Sichuan Province is a priority, given relatively advanced socioeconomic development and the high concentration of the population and industries in this region. The exploitation of hydropower and mineral resources and the construction of transportation infrastructure have encroached on the ecological spaces of forests, grassland, and wetland, posing a threat to biodiversity. Ash haze pollution in winter and ozone pollution in summer are prevalent, and the establishment of a collaborative mechanism to control multiple pollutants from multiple sources has proved challenging. The imbalance between environmental capacities and developmental needs thus remains the biggest contradiction in the region.

2.2 Flowchart of TLOP

The TLOP methodology entails a comprehensive and logical analysis of resource stocks and their sustainable utilization, ecological security, environmental capacities, and pollution control. It provides a process that integrates multiple elements (soil, plants, water, and the atmosphere) within a continuum along with managerial responsibilities within the different departments that manage natural resources. Figure 2 depicts a flowchart of the TLOP process in Sichuan Province.

3.1 Ecological red line

3.1.1 Flowchart of ERL

The delineation and inclusion of areas within the ERL (Fig. 3) are determined by the importance of an area’s ecological service functions and the sensitivity of its ecological environments, considered from the perspectives of ecological security and harmonious coexistence between humans and nature (MEE, 2017).

3.1.1 ERL of Sichuan Province

Areas under the ERL occupy 14.80 million km², accounting for 30.45% of the total area of Sichuan Province. These areas are mainly distributed in the alpine plateau in western Sichuan and in mountainous areas surrounding the basin. Water sources, biological diversity, and erosion-prone soil in dry river valleys subject to high temperatures are prioritized under the ERL. A total of 276 ERL areas have been designated as priority protection zones within the province. General ecological spaces in Sichuan Province occupy 10.28 million km², accounting for approximately 21.15% of the land area of the province. Of these spaces, 306 are protection zones, all of which are categorized as priority protection zones. The total area of ecological spaces in the province is 250,900 km², accounting for 51.61% of all zoned areas, including overlaps between ERL and general ecological space (Fig. 4).

Of the 21 cities and states in the province, Ganzi, Aba, and Liangshan prefectures as well as Ya'an and other cities in western Sichuan contain ecological spaces that occupy more than 50% of urban zones. The proportion of ecological spaces in Ganzi and Aba prefectures exceeds 70% (Fig. 10). This distribution of ecological spaces is closely correlated with the location of the Northwest Sichuan Ecological Demonstration Zone, the National Ecological Civilization Demonstration Zone, and the critical ecological security defense line in the upper reaches of the Yangtze and Yellow rivers.

3.2 Lower-limit line for environmental quality

The lower-limit line for environmental quality has been established according to the principle of its continuous optimization, considered from the perspective of environmental capacities and pollution control. Its determination is closely aligned with objectives relating to the maintenance of environmental quality and the time frame for reaching the standards prescribed in atmospheric, water, and soil protection plans. This time frame for achieving lower-limit line objectives for optimizing environmental quality is reasonably determined according to China’s ecological environment planning process and the 14th Five-Year Plan for national economic and social development. The effects of pollutant emissions on environmental quality and the implementation of regulations to control the total quantity of emissions are assessed, and the measures for controlling pollutant emissions are aligned with the lower-limit line for environmental quality in critical regions. The quality of the environment should remain stable and not fall below the environmental quality standards. In zones where the environmental quality is not up to standard, it can only be improved and should not be allowed to deteriorate.

3.2.1 Lower-limit line for atmospheric quality and functional zoning

3.2.1.1 Flowchart of lower-limit line for atmospheric

To maintain the quality of the air environment at the required standard, the lower-limit line requirements for air quality were clarified for the first and last years of the planning phase (2025 and 2035), as shown in Table 1. An air quality model was applied to calculate the permitted quantity of air pollutant emissions in each city/town. Prioritized areas for protecting the atmospheric environment were identified on the basis of model simulations and data analysis along with critical control zones, notably crowd-sensitive, layout-sensitive, high-emissions control zones, and weak-diffusion control zones (Fig. 5).

Table 1

PM2.5 concentration target (µg/m³)
City	2025	2035	City	2025	2035
Chengdu	≤ 40.5	≤ 35.0	Dazhou	≤ 40.5	≤ 35.0
Deyang	≤ 35.0	≤ 33.0	Bazhong	≤ 34.0	≤ 31.0
Meishan	≤ 35.0	≤ 35.0	Zigong	≤ 42.5	≤ 35.0
Mianyang	≤ 34.0	≤ 31.0	Luzhou	≤ 37.4	≤ 33.0
Leshan	≤ 38.5	≤ 33.0	Neijiang	≤ 35.0	≤ 33.0
Ziyang	≤ 34.0	≤ 31.0	Yibin	≤ 40.3	≤ 33.0
Suining	≤ 34.0	≤ 31.0	Panzhihua	≤ 34.5	≤ 31.0
Ya'an	≤ 34.0	≤ 31.0	Liangshan	≤ 25.0	≤ 22.0
Guangyuan	≤ 31.0	≤ 29.0	Ganzi	≤ 25.0	≤ 22.0
Nanchong	≤ 39.8	≤ 33.0	Aba	≤ 25.0	≤ 22.0
Guang'an	≤ 35.0	≤ 31.0

3.2.1.2 Atmospheric quality and functional zoning

Considering the distributional characteristics of urban space, industrial enterprises, meteorological diffusion capacity, and topography, we delineated priority protection zones, critical control zones, and general control zones relating to atmospheric quality in Sichuan Province. The priority zones for protecting atmospheric quality, namely the category of functional zones for ambient air quality, mainly comprised nature reserves and scenic spots at or above the provincial level. In total, 144 priority protection zones have been designated for atmospheric quality in the province.

The construction and management of nature reserves and scenic spots as priority protection zones has been implemented in strict accordance with the corresponding administrative regulations. There are four types of critical control zones for atmospheric quality. The first comprises crowd-sensitive areas. The urban space consists of an urban center and zones where the population is concentrated, such as residential areas and areas where medical care and educational facilities are located, which are categorized as crowd-sensitive areas. In total, 148 crowd-sensitive areas have been delineated in Sichuan Province as critical control zones according to the principles of district- and county-level management and regulation.

The second type of critical control zone for atmospheric quality relates to high pollutant emissions. There are 148 areas of high atmospheric pollutant emissions in the province. To facilitate pollution regulation, industrial parks have been assigned to zones designated as high-emissions zones, which will gradually incorporate enterprises located outside of them. Highly-polluting enterprises that cannot be incorporated will be strictly regulated.

The third critical control zone for atmospheric quality relates to layout sensitivity. There are 112 layout-sensitive areas in Sichuan Province. The diffusion channels of pollutants are closely linked to the wind direction, which determines the direction of their transmission.

The fourth critical control zone relates to areas where diffusion into the atmosphere is weak. There are 127 such areas in the province. An area with weak diffusion control is determined according to the value of the average annual ventilation coefficient, calculated as the boundary layer height multiplied by a wind speed below 450 m² per second.

All zones other than priority protection zones and critical control zones are classified as general control zones relating to the atmospheric environment. There are 131 general control zones in Sichuan Province. In these zones, the effects of industrialization and urbanization on the atmosphere should be reduced, and the relevant requirements for preventing and controlling atmospheric pollution issued by the state, provinces, and municipalities should be strictly implemented (Fig. 6a).

3.2.2 Lower-limit line for water quality and functional zoning

3.2.2.1 Flowchart of lower-limit line for water

Watersheds, considered as spatial control units, were delineated using the SWAT tool. We refined administrative divisions and zones for the management and regulation of aquatic environments by referring to analyses of watersheds, regional socioeconomic development, and hydrological characteristics. Drinking water sources, protected areas, and natural reserves were identified as priority aquatic zones for protection. Watersheds with substandard water quality and industrial parks at the provincial level or above were delineated into critical control zones, whereas other watersheds were identified as general control zones. Referring to the MEE guidelines, we calculated the water capacity of each zone (Fig. 7). By combining this result with that calculated for the river inflow load in the control area, we determined the remaining environmental capacity of the area and propose recommendations for regulating it under the conditions required to achieve the lower-limit line goal (Table 2).

Table 2

Environmental quality goal for surface water of Sichuan Province
Basin	City	Water quality monitoring point	2025		2035
Basin	City	Water quality monitoring point	Better than III point	Better than III(%)	Better than III point	Better than III(%)
Anning River	Liangshan, Panzhihua	3	3	100.00	3	100.00
Dadu River	Aba, Ya'an, Leshan	5	5	100.00	5	100.00
Fujiang River	Mianyang, Suining	12	12	100.00	12	100.00
Yellow River	Aba,Ganzi	1	1	100.00	1	100.00
Jialing River	Guangyuan, Nanchong, Guang'an	10	10	100.00	10	100.00
Minjiang River	Aba, Chengdu, Meishan, Leshan, Yinbin	11	9	81.80	10	90.90
Qingyi River	Ya'an	3	3	100.00	3	100.00
Qujiang River	Bazhong, Dazhou, Nanchong	8	8	100.00	8	100.00
Tuojiang River	Chengdu, Deyang, Ziyang, Neijiang, Zigong	16	10	62.50	13	81.30
Yalong River	Ganzi, Liangshan, Panzhihua	3	3	100.00	3	100.00
Yangtze River	Ganzi, Liangshan, Yibin, Luzhou, Guang'an	15	15	100.00	15	100.00
Total		87	79	90.80	83	95.40

Environmental quality standards for surface water are classified five. Class I, II and III water are all sources that can be used as drinking water (MEE,2002).

3.2.2.2 Water quality and functional zoning

General control zones for safeguarding water quality have been delineated considering the need for regulated water units, priority protection zones, and critical control zones as well as the findings of assessments of drinking water sources and water quality, protected areas, nature reserves, and industrial parks. Drinking water sources for towns at or above the county level in Sichuan Province that fall within protected areas and natural reserves have been designated as prioritized water protection zones. Where drinking water sources designated as protected zones cross the boundaries of districts and counties, the administrative boundaries of districts and counties are considered in the delineation process. In total, 431 prioritized water protection units have been designated in the province, comprising 311 in protected water zones and 120 in nature reserves, accounting for 44.5% of all water control units.

The data on industrial parks and water quality were superimposed on control units. Control units in which industrial parks are located constitute critical zones for controlling industrial pollution that affects aquatic environments. Control units with the water quality below standard-exceeding of water quality (with excess amounts of ammonia nitrogen and total phosphorus) constitute critical control zones. The water control units have been divided into urban domestic pollution control zones and agriculture pollution control zones according to the nature of their pollution loads. A total of 202 critical control zones have been delineated in the province, accounting for 20.8% of all water control units. These zones comprise 75 critical zones for controlling industrial pollution areas, 45 critical zones for controlling pollution in agricultural areas, and 82 critical zones for controlling residential pollution in urban areas. Zones that are not priority protection or critical control zones are classified as general control zones. A total of 336 general control zones have been delineated, accounting for 34.7% of all control units (Fig. 6b).

3.2.3 Lower-limit line for soil quality and functional zoning

3.2.3.1 Flowchart of lower-limit line for soil

Referring to the MEE guidelines, we collected, analyzed, and integrated soil monitoring and survey data from the provincial departments of land, agriculture, and environmental protection. Areas of agricultural land under cultivation were prioritized for protection. In addition, critical control zones were identified for the prevention and regulation of heavy metal pollution, and industrial parks and enterprises involved in heavy industries associated with soil pollution risks were also targeted as critical control zones. Other areas came under the category of general control zones. Referring to the soil pollution prevention and regulation action plan, we formulated requirements for improving soil quality, determining and implementing risk management objectives for soil management, and preventing continuous soil pollution through the application of an environmental access list. The following zones were delineated: priority protection zones, critical control zones, and general control zones (Fig. 8).

3.2.3.1 Soil quality and functional zoning

Arable land in 21 cities or prefectures in Sichuan Province has been incorporated into priority zones for agricultural land protection. Zoning is premised on arable land being a key consideration and on ensuring the quality of agricultural products and the safety and welfare of human settlements. Measures will be taken to guarantee strict protection of prioritized arable land so as to ensure that its area not reduced and soil quality does not deteriorate. The province has designated 161 priority reserves covering an area of approximately 72,017.59 km² and accounting for 14.69% of the total number of zones in the province.

Industrial parks at or above the municipal level throughout the province was categorized according to their locations and industrial characteristics, and industrial parks focusing on heavy metal participation will be incorporated into critical pollution risk control zones containing construction land. Particular enterprises will be targeted for special supervision according to the information that they provide on various topics. These topics include land plots where production and operational activities are implemented relating to industries, such as non-ferrous metal smelting, petroleum processing, chemical industries, coking, electroplating, and tanning and those where hazardous wastes are stored, used, and disposed. Targeted enterprises located outside of industrial parks will be included in critical areas of construction land associated with pollution risks. Critical control zones for addressing soil quality risks will be established in coordination with those associated with heavy metal and construction land pollution risks in Sichuan Province. A total of 22 critical control zones for heavy metal pollution risks and 180 critical control zones for construction land pollution risks have been delineated, covering an area of approximately 36,427.43 km² and accounting for 7.43% of the total area of Sichuan Province. Zones other than priority protection zones and critical control zones have been classified as general control zones (Fig. 6c).

3.3 Upper-limit line for resource use

The establishment of an upper-limit line for resource use is premised on maintaining resource stocks and ensuring their sustainable utilization. It entails evaluation of the developmental status of water, land, and energy resources, and of total resource stocks, along with their current consumption levels. The intensity and efficiency of resource development and utilization have been analyzed to identify existing problems as well as areas in which there is an overload of resource use and a need to control below-standard use efficiency to promote a shift from extensive to balanced resource utilization (Fig. 9).

3.4 Integrated environmental units

3.4.1 Flowchart of integrated environmental units

An integrated system of environmental spaces covering priority protection units, critical control units, and general control units has been established on the basis of an overlay analysis of the ERL, general ecological spaces, the lower-limit line for environmental quality, and the upper-limit line for resource use. Ecological spaces, prioritized zones for water and atmospheric protection, and other zones focusing on the protection of ecological environments have been designated as priority protection units. Critical control units comprise zones with critical resources and environmental elements, such as water, atmospheric elements, soil, and natural resources. Other zones are designated as general control units. The process of delineating integrated units requires careful selection of overlapping layers, considering factors such as regional industrial and economic development, the dominant functions of ecological environments, and major problems facing ecological environments to avoid excessive fragmentation during the delineation process (Fig. 10).

3.4.2 Integrated environmental units of Sichuan Province

There are three categories of integrated environmental spatial control units: priority protection units, critical control units, and general control units. A total of 1,025 integrated environmental units have been designated in Sichuan Province. Of these, 402 are priority protection units, occupying 53.0% of the province's land surface and distributed mainly in its northwestern mountain region, which contains most of the province’s forest, grass and wetland ecosystems, all under ERL management. A total of 468 critical control units have been designated, comprising 147 critical control units for construction land, 268 industrial critical control units, and 53 critical control units focusing on water quality and weak atmospheric diffusion. These units account for 7.9% of the province’s territory. They are mainly distributed in the Chengdu Plain and in southern Sichuan, where human production and living activities are concentrated (Fig. 11). There are 155 general control units in the province, accounting for 39.1% of its total land area.

3.5 List of environmental permits for human activities

A list of environmental permits for human activities is being compiled in accordance with the characteristics of spatial control units combined with relevant planning priorities, such as regional industrial planning, ecological and environmental protection planning, and national land planning. The selection of priority protection units for inclusion in the list focuses on restricting developmental activities and promoting ecological restoration. In the priority protection unit, the ERL areas should be regulated with reference to the prohibited developmental zones in the main functional planning zones and the Yangtze River Protection Law (http://www.npc.gov.cn). Other ecological spaces should be regulated in alignment with restricted developmental zones within the main functional zones. No new developmental zones should be established, and the expansion of existing industrial parks should be prohibited. Moreover, existing industrial development zones should be gradually transformed into ecological industrial zones with a focus on low energy consumption, recyclability, and zero pollution. Moreover, the development of an enclave economy should be encouraged. Activities such as non-ferrous metal smelting, petroleum processing, chemical industrial production, coking, electroplating, and tanning should be strictly regulated in priority zones for the protection of agricultural land, and, in principle, production capacities should not be increased.

The list of critical control units, mainly comprising urban and industrial spaces, should be formulated with a focus on resolving environmental pollution problems, implementing a strict industrial access threshold, and introducing stringent regulations on pollution emissions. In these spatial control units where the environmental quality is below standard, the focus should be on mandating a reduction in the proportion of pollutants and proposing targets for allowable emissions.

The list of general control units should be compiled in compliance with basic planning requirements for protecting regional ecological environments. Considering layout, large-scale urbanization and high-intensity industrial areas should be restricted in development areas within general control units.

3.6 The TLOP platform

The TLOP information and management platform is a networked platform that is based on web technology to integrate spatial control units designated under the ERL, the lower-limit line for environmental quality, the upper-limit line for resource use, and integrated environmental units (http://103.203.219.138:8083/gis2/n_index.html). Its aim is to manage, query, dynamically display, and share data on achievements under the TLOP (Fig. 12).

We used big data on natural environmental conditions, resources and energy endowments, social and economic development, and other factors pertaining to ecological environments and scientifically assessed the potential for improving environmental quality. Comprehensive query functions for all data types were applied under multiple conditions and using efficient, customized queries. We identified environmental risks in sensitive areas, with the aim of providing support for decisions relating to EIA and project EIA planning. Moreover, using data on pollution sources and discharge, environmental quality status, industrial parks and projects, and achievements under the “three lines”, we assessed future environmental carrying capacities.

4.1 Flowchart of follow-up assessment

The follow-up assessment index system was used to track and evaluate the implementation and effectiveness of ecological environment partition control. The follow-up assessment indicators should objectively and accurately reflect various aspects of the implementation of the TLOP, including publication and implementation, supervision and management, and application. In addition, these indicators should have some level of correlation, allowing the selected indicators to form a comprehensive set that reflects the implementation characteristics of the TLOP policy. The setting of the TLOP follow-up assessment indicator values serves as a target reference, guiding management departments to align with these target reference values. This approach aimed to enhance the application effectiveness of the TLOP policy, promoting its greater role in ecological environmental protection, resource utilization, and pollution reduction and carbon emission reduction.

On the basis of the TLOP documents released by provinces and cities in China, we extracted word frequency information through Term Frequency (TF) analysis and, in conjunction with the “Guiding Opinions on the Implementation of TLOP” (MEE, 2021), we established a primary indicator system. According to the content of the documents and the corresponding content of the "Guiding Opinions" in the primary indicator system, we formed a secondary indicator system by integrating word frequencies. Using the Analytic Hierarchy Process (AHP), we then determined the weights and scoring standards for the indicator system.

(1) Term Frequency

The TF is the number of times a term appears in a document. The calculation formula is as follows:

$$T{F_{td}}={F_{td}}/{N_d}$$

The term frequency of a term t in a document D is represented as$T{F_{td}}$, which indicates the frequency (number of occurrences) of the term t in document D. ${N_d}$represents the total number of terms in document D.

(2) Analytic hierarchy process

To conduct AHP, we used the conventional approach to construct a hierarchical structure, along with a judgment matrix. Consistency checks were performed on the judgment matrix and the weights were calculated using the comprehensive eigenvalue method (Alonso and Lamata, 2006; Valerio and Luiz, 2024).

4.2 Index system

4.2.1 Follow-up assessment index system for province and city

(1) Follow-up assessment index system

The primary index included implementation control, evaluation, adjustment, updating, application, and assurance, based on the TFs combined with the recommendations of experts in the field of ecological environment (Table 3). The “Guiding Opinions” clarified the management requirements for each link in the five aspects of the TLOP, including update and adjustment, follow-up assessment, and sharing and utilization (MEE, 2021). They emphasized strengthening the guidance and evaluation of implementation and application in key areas. Combining the recommendations of experts in the ecological environment field, three primary indicators of the follow-up assessment were determined: implementation updating, implementation application, and implementation assurance (Table 4).

Table 3

Term Frequency Distribution
Serial Number	Term	Frequency	Serial Number	Term	Frequency
1	Implementation	412	11	Work	171
2	Requirements	307	12	Evaluation	170
3	Enhance	230	13	Strengthen	166
4	Adjustment	230	14	Advance	147
5	Updating	219	15	Improve	140
6	Application	217	16	Assure	133
7	Control	176	17	Action	125
8	Establish	174	18	Organize	115
9	Promote	173	19	Develop	110
10	Fulfil	173	20	Manage	110

Implementation updating refers to the process during the implementation of the TLOP, where changes in national, provincial, and municipal laws, regulations, and policy plans, as well as adjustments in land space planning, ecological protection red lines, and regional ecological environment quality targets, necessitate dynamic updates to environmental control units and ecological environment access lists. Updating is also done in response to issues identified during the application of the TLOP. Timely completion of data reporting is required. Therefore, the secondary indicators focused on dynamic updating and data reporting (Table 4).

Implementation application refers to the use of the TLOP to strengthen the prevention and control of ecological environment sources, promote high-quality development and high-level protection, and continue to enhance the effectiveness of ecological environment governance. Implementation application is a key component of the TLOP tracking and evaluation. Typical cases include the formulation of major plans, optimization and transformation of industrial layouts, protection of regional ecological spaces, ecological environment management, and EIA, as well as the exploration of various application practices such as the TLOP data application system. The TLOP should continue to play an important role in promoting shared utilization, optimizing the spatial layout of ecological environment protection, serving high-quality development, advancing high-level protection, collaboratively reducing pollution and carbon emissions, and strengthening source control of high-pollution and high-energy-consuming industries. Therefore, the secondary indicators included a data sharing platform, planning coordination, EIA field, source control of high-pollution and high-energy-consuming industries, collaborative pollution and carbon reduction, high-quality development, high-level protection, and typical cases, totaling eight indicators (Table 4).

Implementation assurance refers to various assurance measures during the implementation process of the TLOP policy, including institutional assurance, legislative assurance, technical and financial assurance, supervisory assurance, and publicity and training. Each level of documentation clarifies these assurance measures during policy formulation. Therefore, the secondary indicators included institutional assurance, legislative assurance, technical and financial assurance, supervisory assurance, and publicity and training, totaling five indicators (Table 4).

(2) Weights and scoring standards

The weights of the follow-up assessment indicators were determined using the AHP, and adjustments and optimizations were made according to the recommendations of EIA experts and ecological environment management departments. The weights were then finalized, and the evaluation scores were determined on a 100-point scale (Table 4).

Table 4

The follow up assessment indicator system for province and city
Goal (Score)	Primary Indicator (Score)	Secondary Indicator (Score)	Explanation
Follow up assessment (100)	Implementation updating (20)	Dynamic updating (12)	Dynamically update the content of the TLOP according to the annual update mechanism.
	Implementation updating (20)	Data reporting (8)	Report to the national database within the specified time to maintain the consistency of the TLOP data results at the national, provincial, and municipal levels.
	Implementation application (62)	Data sharing platform(7)	Establish a TLOP data application platform covering cities and districts (counties) that can provide services to departments, enterprises, and the public.
		Planning coordination(9)	Based on the TLOP partition control results, coordinate with special plans for land space planning, water, soil, air, and ecological environment protection to optimize development layouts.
		High-quality development(8)	In accordance with the requirements of the "Yangtze River Protection Law" and the "Yellow River Protection Law," optimize the partitioning and requirements of the TLOP control results, promote regional industrial upgrading, advance environmental access, coordinate control measures, and promote high-quality development in regions and river basins.
		EIA(8)	For planning EIA (Environmental Impact Assessment) and construction project EIA, compare the partition control and ecological environment access list respectively to demonstrate and analyze compliance.
		High-level protection(8)	Integrate the TLOP with the pollutant discharge permit and law enforcement inspection systems to strengthen its application in the management of ecological, water, air, marine, soil, and solid waste environments. This will promote ecological environment governance and improve ecological environment quality
		Collaborative pollution and carbon reduction(6)	Relying on the TLOP ecological environment partition control results, enhance the carbon sequestration capacity of priority protection units and the access constraint control capacity of key control units and key industries. Incorporate the "dual carbon" goals and pollution reduction and carbon reduction measures into the "Three Lines and One List" control system.
		Source control of High-pollution and High-energy-consuming industries(9)	Apply the TLOP ecological environment partition control results to the industrial layout, structural adjustment, and site selection of major projects in high-pollution and high-energy-consuming industries ("Two High" industries). This includes strengthening control requirements for the spatial layout, pollutant emissions, environmental risk prevention and control, and resource utilization efficiency of "Two High" industries.
		Typical cases(7)	Application cases in the fields of data sharing platform, planning coordination, high-quality development, environmental management, environmental improvement, collaborative pollution and carbon reduction, and source control of high-pollution and high-energy-consuming industries ("Two High" industries).
	Implementation assurance(18)	Institutional assurance(4)	Strengthen leadership and improve mechanisms to implement the responsibilities of ecological environment management departments at all levels.
		Legislative assurance(5)	Promote legislative research
		Technical and financial assurance(4)	Financial assurance, strengthening the construction of management and technical teams.
		Supervisory assurance(2)	Designate the priority protection units and critical control units identified by the TLOP ecological environment partition control as key areas for ecological environment supervision.
		Publicity and training(3)	Conduct diverse forms of publicity and training activities such as seminars, media coverage, and specialized training sessions to address the needs and characteristics of different groups.

4.2.2 Follow-up assessment index system for critical control units

Control units are the fundamental spatial units for ecological and environmental zoning control. This system is a key evaluation aspect of the "Implementation Application" indicator at the provincial and municipal levels. The follow-up assessment index system for priority protection units has already been established (MEE, 2023). The follow-up assessment index system for critical control units was guided by green, low-carbon, and digitalization principles, and comprised three primary indicators—environmental access, environmental management, implementation effectiveness—and 14 secondary indicators (Table 5).

Table 5

The follow up assessment index system for critical control units
Goal(Score)	Primary Indicators(Score)		Secondary Indicators(Score)		Explanation
Follow up assessment (100)	Environmental access(25)		Industrial spatial control(13)		Does the project planning, site selection, and construction comply with the constraints of industrial layout requirements?
	Environmental access(25)		Industry access requirements(12)		Does it comply with the industry entry requirements outlined in the environmental access list?
	Environmental management(54)		Environmental infrastructure construction(6)		Operation status of pollution discharge networks and emission reduction equipment
			Environmental monitoring(10)		Configuration and implementation status of environmental monitoring equipment
			Pollution surveillance(10)		Daily inspections and identified issues
			Structural adjustment and pollution management(8)		Is the structural adjustment list proposed by TLOP implemented, and what is the status of environmental quality?
			Environmental risk management(7)		Emergency response plan and drill status for sudden environmental incidents
			Environmental protection awareness and training(6)		Status of environmental protection awareness campaigns and key enterprise environmental training
			Carbon reduction and clean production(7)		Mandatory Clean Production Enterprises and Industrial Parks
	Implementation effectiveness(21)	Digital platform construction(3)		Operation and ongoing development of the digital platform
		Environmental quality improvement(5)		Compliance Status of Environmental Quality Standards
		Environmental complaints and petitions(5)		Number and Changes in Complaints and Petitions
		Environmental administrative sanctions(4)		Number and trends of penalties for environmental violations
		Emergent environmental events(4)		Number and Trends of Sudden Environmental Incidents

TLOP generates data relating to an ERL, a lower-limit line for environmental quality, an upper-limit line for resource use, and a list of environmental permits for human activities by establishing three types of spatial control units: priority protection units, critical control units, and general control units. A list of environmental permits for human activities is also being compiled, which combines the characteristics of spatial control units with relevant planning. The TLOP focuses on integrating ecological spaces, such as those under ERLs, and permanent basic farmland; natural resources in urban and rural areas; forests, grassland, water, and mineral resources; river protection and pollution control; air pollution prevention; and the reduction of emissions in industrial parks. Spatial units have been visualized and displayed on the TLOP platform, and regional risks and hotspots have been identified to enable the design of appropriate project layouts the selection of optimal project locations, and the construction of regional ecological security barriers. Moreover, the TLOP platform provides data to support efforts to prevent and regulate the pollution of ecological environments and improve capabilities relating to environmental management analysis and decision making.

The TLOP framework, which has been established in China, entails a comprehensive analysis of the quantity and utilization of resources, ecological quality and ecological protection, and environmental capacity (Bai et al., 2016; Liu et al., 2023; Wang et al., 2020; Wang et al., 2022). However, the public’s recognition of and participation in the TLOP process remain inadequate. Therefore, the TLOP and its role in protecting ecological environments and constructing an ecological civilization require ongoing promotion to enhance public awareness. Continuing efforts should be made to improve the integrated functions of the TLOP platform, the level of information disclosure and public participation, and services for the public and industries. These efforts are necessary to achieve optimal industrial layouts, structural adjustments, effective park management, sustainable resource development, urban construction, and appropriate site selection for major projects. Therefore, a follow-up assessment indicator system was established to continuously advance the implementation and application of the TLOP. This system aims to fully leverage the role of the TLOP in the proactive prevention of environmental impacts, safeguarding of ecological functions, improvement of environmental quality, and achievement of high-level ecological protection. Ultimately, it will contribute to the goal of supporting high-quality regional development.

Funding Declaration:

This research was supported by the National Natural Science Foundation of China (grant numbers 42171085), the Second Tibetan Plateau Scientific Expedition and Research Program (STEP) (grant number 2019QZKK0307).

Acknowledgments

We thank Radhika Johari from Liwen Bianji (Edanz) (www.liwenbianji.cn) for editing the English text of a draft of this manuscript.

Declaration of Competing Interests

The authors have no competing interests to declare.

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“Three Lines One Permit” environmental control policy and follow-up assessment: a case study of Sichuan Province

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Abstract

Figures

1 Introduction

2 Study area and flowchart

2.1 Study area

2.2 Flowchart of TLOP

3 TLOP of Sichuan Province

3.1 Ecological red line

3.1.1 Flowchart of ERL

3.1.1 ERL of Sichuan Province

3.2 Lower-limit line for environmental quality

3.2.1 Lower-limit line for atmospheric quality and functional zoning

3.2.1.1 Flowchart of lower-limit line for atmospheric

3.2.1.2 Atmospheric quality and functional zoning

3.2.2 Lower-limit line for water quality and functional zoning

3.2.2.1 Flowchart of lower-limit line for water

3.2.2.2 Water quality and functional zoning

3.2.3 Lower-limit line for soil quality and functional zoning

3.2.3.1 Flowchart of lower-limit line for soil

3.2.3.1 Soil quality and functional zoning

3.3 Upper-limit line for resource use

3.4 Integrated environmental units

3.4.1 Flowchart of integrated environmental units

3.4.2 Integrated environmental units of Sichuan Province

3.5 List of environmental permits for human activities

3.6 The TLOP platform

4 Follow-up assessment index system

4.1 Flowchart of follow-up assessment

4.2 Index system

4.2.1 Follow-up assessment index system for province and city

4.2.2 Follow-up assessment index system for critical control units

5 Discussion and Conclusion

Declarations

References

Additional Declarations

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