overview and analysis of regulation criteria and ... · the analysis compares the regulations based...

Deliverable D 2.1.1 Project Start: 15th December 2015

GRETA is co-financed by the European Regional Development Fund through the Interreg Alpine Space programme. Send us an email at [email protected] and see more about GRETA at www.alpine-space.eu/projects/greta.

Overview and analysis of regulation criteria and guidelines for NSGE

applications in the Alpine region

GRETA_WP2A21_D 2.1.1 Analysis of regulations 03.docx (21.11.2018)

Deliverable D2.1.1 – Overview and analysis of regulation criteria and guidelines for NSGE

applications in the Alpine region

16/12/2015 – 14/12/2016: The preliminary report for the guidelines includes a country-specific

presentation arranged accordingly to regulation elements governing all cases (including critical

ones e.g. karst, drinking water protected areas) and specific energy policy objectives.

mailto:[email protected]

http://www.alpine-space.eu/projects/greta



Deliverable D 2.1.1

GRETA is co-financed by the European Regional Development Fund through the Interreg Alpine Space programme. See more about GRETA at www.alpine-space.eu/projects/greta.

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Table of contents

1 INTRODUCTION ............................................................................................................................... 5

1.1 Regulation of near surface geothermal energy exploitation .................................................. 5

1.2 General description of the activities in WP 2 .......................................................................... 7

1.3 WP2 linkage to other WPs ....................................................................................................... 7

2 METHODOLOGY ............................................................................................................................... 9

2.1 Tasks within the first Activity A2.1 of WP2 ............................................................................. 9

2.2 Selection of good practices ................................................................................................... 10

3 RESULTS ......................................................................................................................................... 12

3.1 Overview of regulation criteria ............................................................................................. 12

3.2 Congruent set of regulation criteria ...................................................................................... 15

3.3 Convergence of criteria values and regulations .................................................................... 16

3.3.1 Special areas and geological conditions ........................................................................ 18

3.3.2 Special obligations ......................................................................................................... 27

3.3.3 Standard obligations...................................................................................................... 30

3.3.3.1 Distance of NSGE installation from other objects ..................................................... 30

3.3.3.2 Type and size of the NSGE installation ...................................................................... 31

3.3.3.3 Efficiency of the NSGE installation ............................................................................ 31

4 CONCLUSIONS ............................................................................................................................... 34

5 LITERATURE ................................................................................................................................... 37

6 PARTNERS’ INVOLVEMENT ............................................................................................................ 38

Annexes

Annex 1: Previous projects

Annex 2: Templates

Annex 3: Near surface geothermal energy regulations by countries

Annex 4: Comparative analysis of regulations

Annex 5: Panel of regulation criteria

Annex 6: Vocabulary




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Table 1. Abbreviations used in regulation tables.

Abbreviation Explanation

A. Article

An. Annex

B-W Brine to water system

Ch. Chapter

DWPA Drinking water protection area

NRC Natural risk zones

GSHP Ground source heat pump

GSHPc (or GCHP) Ground source heat pump – closed system

GWAAE Groundwater associated aquatic ecosystem

GWDTE Groundwater dependent terrestrial ecosystem

GWE Groundwater ecosystem

GWHP Groundwater heat pump

GWP Global warming potential

HP Heat pump

LEC Local energy concept

MWPA Mineral water protection area

NREAP National renewable energy action plan

NSGE Near surface geothermal energy

NSGE-H or H Near surface geothermal energy - horizontal system

NSGE-V or V Near surface geothermal energy - vertical system

NSGE-W or W Near surface geothermal energy - using groundwater

ODP Ozone depletion potential

p. Page

PA Protected area

PGWL Perched groundwater level

SPF Seasonal performance factor

TWPA Thermal water protection area

W-W Water to water system

Table 2.Symbols used in regulation tables.

Symbol Explanation

b Thickness (m) (e.g. cover-layer, unsaturated zone, etc.)

D Depth (m)

H Piezometric level

dH Change of water table

L Longitudinal distance (m)

m Mass

No Number




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P Installed power for heating or cooling

p Pressure

p Pressure difference

Qth Thermal energy flow

Qw Discharge / Flow rate of open loop

R Radius of impact / influence / interest)

T Temperature

T Temperature difference

Tmax Maximum temperature

Tmin Minimum temperature

Tw Temperature of water

t Time

tHP, tot Total working time of heat pump

(eta) Efficiency of the power system

s Seasonal space heating energy efficiency

Density

V Volume

y Year




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Overview and analysis of regulation criteria and guidelines for NSGE applications in the Alpine region

1 Introduction

This deliverable presents an overview and analysis of regulation criteria and guidelines for Near

Surface Geothermal Energy (NSGE) applications in the Alpine region. The target audiences of this

document are project partners who will use it for further work in other GRETA work packages and

also delegates, officials, observers and experts who are involved in the GRETA project.

The aim of the GRETA project is to demonstrate the potential of NSGE in the Alpine Space and to

foster its integration into future energy plans at different administrative levels. An important aspect

of the implementation of NSGE in the Alpine Space is the transnational character of this region.

There are country-specific (even federal state-specific) regulations and practices for the

implementation of NSGE systems. However, geothermal energy is not a national phenomenon and

the technological challenges are the same across all borders. For this purpose, the regulations,

authorization procedures and operational criteria of NSGE utilization will be reviewed and

summarized into the transnational-congruent criteria and guidelines. This output will be defined for

the efficient implementation and operation of NSGE systems. The same criteria will also be

implemented to develop a spatial explicit assessment of the potential (technical, economic,

environmental and social) of these systems in the Alpine region.

This report was drafted under the responsibilities of GeoZS with the support of Arpa VdA, BRGM,

EURAC, GBA, POLITO, RL, TUM, UniBasel. We performed detailed transnational analysis of the

country-specific regulations. The analysis compares the regulations based on three main aspects:

ecosystem/risk based criteria, efficient use of renewable energy sources and objectives. Based on

experiences and results of previous projects (REGEOCITIES, LEGEND, GEOPOWER, etc.), the activity

identifies a congruent set of criteria that promotes best practices for the planning and

implementation of NSGE systems in the Alpine region.

We aim to indicate the criteria which are effectively represented in existing good practices for

harmonization.

1.1 Regulation of near surface geothermal energy exploitation

Near surface geothermal energy utilization is an exploitation of heat energy from the shallow ground

and groundwater from the surface down to depths of 300 m or even 400 m. Horizontal closed loop

systems are usually installed between 0.8 m to 2.5 m of depth. Geothermal baskets are most often

installed down to 5 m below the surface. Construction elements with built-in heat exchangers

(foundation plate, foundation piles, tunnel lining etc.) are usually installed up to a few tens of meters




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deep. Groundwater can be exploited at the surface from springs, but the most common usage is

within depths up to several tens of meters below surface. Vertical closed loop systems are the

deepest solutions, usually in the range from 80 m to 150 m deep, however rarely deeper than 200 m.

Near surface geothermal energy applications can provide significant financial savings in relation to

fossil fuels but it is also cost efficient regarding other types of renewable energy. A significant indirect

financial benefit of near surface geothermal energy is also high comfort that is provided from several

advantages:

- low space demand,

- no need for fuel storage (reservoirs, depot, etc.),

- no fire or explosion risk,

- no need for transport of fuels,

- no direct emissions to air – no need for chimney,

- low noise,

- high possibility of automatization and remote control,

- uncomplicated maintenance.

Regulation of near surface geothermal energy exploitation is a set of requirements that aim to

ensure the sustainability of the energy supply and reaching energy and environmental objectives.

Sustainability means decreasing CO2 and other emissions, increasing the share of renewable energy

resources, increasing the use of local resources, attaining durability of installations, but without

harmful impacts on existing users and ecosystem protection. Requirements are set up in different

codes (building, civil, environmental, administrative) and legal instruments on different

administrative levels (mining, water and construction acts, decrees, ordinances, standards, etc.).

Direct requirements, directly concerning near surface geothermal resources, are usually established

by mining and water acts.

Indications on how to find applicable solutions to implement all requirements from regulations are

usually proposed in non-binding documents such as guidance, guidelines, technical guidelines,

voluntary standards, handbooks or manuals. These, together with good explanations of criteria for

granting the authorization, can significantly contribute in harmonizing the treatment of submissions

for NSGE installation and operation (OFEV, 2009, p. 9, Ch. 1.1).

There are two main results that stem from regulation:

1. Can one exploit NSGE in this place?

2. If yes, how and under which conditions?

There are three basic situations regarding regulation criteria that one can expect to implement for

the NSGE installation on a given plot (OFEV, 2009, p. 13, Ch. 3.2):

1. The plot appertains to the area or zone where the foreseen NSGE installation is allowed in

principal. Authorization requires standard obligations.

2. The plot appertains to the area or zone where the foreseen NSGE installation is allowed if

certain special obligations are implemented.

3. The plot appertains to the area or zone where the foreseen NSGE installation is not allowed.




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These questions and situations are basically related to protected or natural risk zones, areas of

special geological conditions and the required distance from certain objects.

It would be ideal to have maps covering the whole territory divided into areas and zones of precise

natural conditions and where the adequate obligations are required for each NSGE system. Such

detailed maps don’t actually exist. Anyhow, data and knowledge of the natural systems are

continuously improving with new data. It is even possible that the decision of the permitting

authority can change in time between conceptualization (submission for authorization) and

realization. So, besides good maps, experiences and skills of geologists or hydrogeologists are very

important in understanding regulation criteria, recognizing eventual uncertainties and finding

adequate case by case solutions. This is especially true for applications of higher output (> 30 kW,

fields of boreholes, boreholes deeper than 200 m, etc.).

We would like to present a congruent list of criteria that are used in regulations. Furthermore, our

intention is to present criteria values that are used in permit procedures. Comparison of these

criteria shows a significant variation of criteria values among countries, regions or other regulation

levels. Some of these criteria values are very significant regarding cost efficiency of the installations,

thus the restrictions from the regulations could have significant impact on costs and savings in the

investment. It is therefore important to work towards the convergence of criteria values and reveal

good practices.

1.2 General description of the activities in WP 2

In accordance with the Application form (AF) of the GRETA project we collect regulation data for the

following two main purposes:

+ to have a general overview of the current situation,

+ to support the selection of good practices.

The aim of the first activity A2.1 was to identify all the elements of NSGE applications that are

regulated in the legislation of GRETA partnership countries of the Alpine space.

In the forthcoming activity A2.2, the analysis will be effectuated for existing NSGE systems comparing

at least ten cases relevant from procedural, public awareness raising potential, technical and

legislative points of view. The analysis will highlight a set of criteria for the final guidelines. Good

practices of definitions, explanations of regulation elements will be selected.

In the final activity A2.3, a working document for authorities to harmonize and facilitate

administrative and technical procedures will be designed as a practical guideline including

explanations, illustrative examples and recommendations for the implementation of NSGE.

1.3 WP2 linkage to other WPs

WP2 link with WP3: We select technical parameters that are used in regulations to include them in

the catalogue of operational criteria.




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WP2 link with WP4: We consider regulatory constraints (e.g. minimum / maximum temperatures)

and include them in the assessment and mapping of the NSGE potential.

WP2 link with WP5: We compose a matrix comparing legal and planning frameworks that will

facilitate the integration of NSGE into Energy plans.

WP2 link with WP6: We conduct consultations among project partners and delegates, officials,

observers, experts who are involved in the GRETA project to prepare harmonized regulation

guidelines for GRETA's integrated handbook.

Figure 1. Scheme of links between Regulations and best practise knowledge exchange and other actions in GRETA project.




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2 Methodology

2.1 Tasks within the first Activity A2.1 of WP2

In the first Draft we presented the methodology for obtaining an overview of regulations in GRETA

partner countries. We outlined the methodology and presented templates of regulation elements

concerning NSGE including:

+ an overview of previous projects dealing with regulatory issues

+ defining vocabulary

+ preparation of a list of abbreviations and symbols

In the second Draft we prepared an example of how to complete the templates of regulation

elements using the example of Slovenia. We also prepared a proposal of how to recognize good

practice.

In the third Draft we filled in templates of regulation elements for GRETA partner countries. We also

made an overview of different regulation levels in participating countries.

In the fourth Draft we made a comparison between regulation criteria of participating countries

(with the exception of Switzerland):

+ we presented the first outline of the congruent list of regulation criteria for the Alpine space

+ we made a panel of regulation criteria that are used in regulations of participating countries.

This list represents a key link to WP 3, which is a link between regulation and operational

criteria. Operational criteria shall help us to define the successful application, which is

therefore good practice.

In the fifth Draft we began identifying convergences of regulation criteria. We focused on special

areas and special geological conditions – these criteria are namely key criteria for permitting

procedures (allowed, not allowed, conditionally allowed or requiring further individual permitting

procedure):

+ we aimed to outline the links to mapping in WP4,

+ the convergence of criteria values from the panel of regulation criteria has not been

analysed yet – it would be convenient to do this through closer links between WP2 and WP3.

The milestones on Activity A2.1 are presented in Figure 2.




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Figure 2. Milestones on Activity A2.1.

2.2 Selection of good practices

It is important to agree on a common methodology and criteria for the selection of good practices.

For instance, defining whether a particular set of regulations represents good practice also requires

the assessment of its specific effects on the diffusion of NSGE, which, on the other hand, might be

influenced by other factors: it is possible to have excellent regulations but very poor economic

conditions, meaning that the diffusion of NSGE would be limited.

What is the difference between good and best practice? We resume some definitions of good and

best practice in the Vocabulary (Annex 6). We do not see any significant difference between good

and best practice. The term “good practice” appears to be more acceptable than “best practice”, as it

is always possible to make improvements.

We can find a general definition of “good practice” on the website of FAO – UNESCO

(http://www.fao.org/3/a-as547e.pdf%0D):

“A good practice is not only a practice that is good, but a practice that has been proven to work well

and produce good results, and is therefore recommended as a model. It is a successful experience,

which has been tested and validated, in the broad sense, which has been repeated and deserves to

be shared so that a greater number of people can adopt it.”

Task Activity 2.1

Analysis of regulations

04.16 05.16 06.16 07.16 08.16 09.16 10.16 11.16 12.16

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1Draft list of regulation elements

(Draft 1)11.04 x

Review and comments 18.04 x x x x x x x

Improved list of regulation

elements (Draft 2)29.04 x

2Completed Tabels of regulation

elements and criteria (Draft 3)31.05 x x x x x x x x

Telekonference 07.06

Comparative analysis of

regulations (Draft 4)18.07 x

Additional explanations of

criteria and practices30.09 x x x x x x x x

Discussion at Meeting Munich 04.10

3Analysis of congruity and

convergence of criteria* (Draft 5)04.11 x

Review and comments 31.11 x x x x x x x

Telekonference 02.12

4Compilation of final analysis

(Deliverable D 2.1.1)14.12 x x

Milestones (Dec 2015 – Dec 2016)

Deliverable D 2.1.1: Overview and analysis of regulation criteria and guidelines for NSGE applications in the Alpine region

Project Partners

*Analysis & Pointing out those criteria that are effectively represented in existing good practices as congruent and converged for the

harmonization.




http://www.fao.org/3/a-as547e.pdf%0D

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In the FAO – UNESCO definition of good practice, there is also a set of criteria to help us determine

whether a practice is a “good practice”. This set of criteria is only slightly adjusted for our purpose:

1. Effective and successful:

A “good practice” has proven its strategic relevance as the most effective way in achieving a specific

objective; it has been successfully adopted and has had a positive impact on individuals and/or

communities.

2. Environmentally, economically and socially sustainable:

A “good practice” meets current needs, in particular the essential needs of the world’s poorest,

without compromising the ability to address future needs.

3. Scientifically based definition / threshold value

A description of the practice must show how actors, men and women, involved in the process, were

able to improve their livelihoods.

4. Technically feasible:

Technical feasibility is the basis of a “good practice”. It is easy to learn and to implement.

5. Inherently participatory:

Participatory approaches are essential as they support a joint sense of ownership of decisions and

actions.

6. Replicable and adaptable:

A “good practice” should have the potential for replication and should therefore be adaptable to

similar objectives in varying situations.

7. Reducing risks:

A “good practice” contributes to risk reduction for resilience.




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3 Results

3.1 Overview of regulation criteria

Why does NSGE use need regulation? NSGE is energy from renewable natural resources. It is

certainly renewable, available everywhere below our feet; nevertheless excessive use would not be

sustainable. Abstraction or injection of heat in the ground beyond suitable limits would provoke an

upward trend of freezing or warming of the ground on the site and in the vicinity. This could have

impacts on neighboring users (wells, constructions) or on ecosystem in the area (habitats,

ecosystems).

There are areas of special geological conditions where specific measures must be taken. Reasons

could be for the safety of people and property. For example, in cases where there are layers of

hydrocarbons, gases, unstable ground due to appearances of anhydrite, salts, high compressible

soils, or even just insufficiently known conditions in the area, certain preventive measures are

needed. On the other hand, the reason could be the protection of natural resource such as mineral

water resources, deep aquifers, aquifers of specific importance for future water supply etc.

Usually there are very restrictive conditions for areas which are designated for public water supply or

protected for nature conservation purposes. As a rule, interventions in dangerous areas “natural risk

zones” are also regulated. These are, for example, areas liable to flooding or landslides,

contaminated sites, etc1.

Special fields of regulations are “public services” and “permitting and charging procedures”.

Public services are regulated to set the objectives of NSGE use, monitor the progress and report

actual status and previsions. Contributions of NSGE are reported on a national level by all EU

member countries in their National Renewable Energy Action Plans.

Permitting and charging procedures for NSGE applications are the set of legal instruments which are

used for implementation of measures in the regulations.

We performed the analysis of regulations on the basis of the “Regulation tables” (Annex 2). These

tables represent a list of all regulation elements that we identified in WP2 by consultation between

partners involved in the GRETA project, as well as from experiences from the previous projects.

Previous projects are listed in Annex 1. We grouped all regulation elements in five tables according to

five different fields of regulation as follows (Figure 3):

1. Implementation of NSGE application.

2. Installation of NSGE in special geological conditions.

3. Installation of NSGE in protected areas or natural risk zones.

4. Public services for NSGE applications.

1 INSPIRE (http://inspire.ec.europa.eu/theme/nz): Vulnerable areas characterised according to natural hazards

(all atmospheric, hydrologic, seismic, volcanic and wildfire phenomena that, because of their location, severity, and frequency, have the potential to seriously affect society), e.g. floods, landslides and subsidence, avalanches, forest fires, earthquakes, volcanic eruptions.




http://inspire.ec.europa.eu/theme/nz

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5. Permitting and charging procedures for NSGE applications.

Figure 3. Matrix of regulation elements for NSGE installations.

Regulation elements are listed in the first column of the regulation tables (Annex 2). The other four

columns were filled in by project partners for their countries. The second column describes how the

element is legally regulated and in the third column there are criteria - specific legislative conditions

and threshold values. The fourth and the fifth columns describe which legal instrument defines the

regulation and on what regulation level. Descriptions should clearly reveal if the regulation is binding

or not binding.

The legislative conditions or criteria (in the third column) are described in the form of “if” sentences

and the threshold value is quantified if possible. A blank set of tables with the list of proposed

regulation elements is in Annex 2.

If the regulations or criteria are different for closed and for open loop systems, it is marked in the

tables by precedent letter "W:" for open loop, "V:" for vertical closed loops (including baskets,

foundation piles etc.) and "H:" for horizontal systems (for example, H: not regulated, V: if D > 30, W:

if Q < 2 l/s).

The chapter assigned to individual countries starts with the general scheme of its specific levels of

regulations. Then follows the dictionary of English and national terms of regulation levels and legal

instruments.

The tables were filled in for each country by project partners. The information is focused on specific

administration units (region, province, state, kanton…) but it can also include the national level. The

information is reconsidered in close cooperation with competent experts or stakeholders. For

instance, the first part on technical aspects and regulations (Tables 1 and 2 in Annex 2) should be




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completed in cooperation with geological, hydrogeological experts, installers, designers etc. Filling-in

in the Tables 3, 4 and 5 in Annex 2 should be supported or checked by experts from government

agencies and administration. In Table 3 the whole list of regulation elements is presented.

Table 3. List of regulation elements.

Implementation of NSGE application

Installation of NSGE in special geological conditions

Installation of NSGE on protected areas or natural risk zones

Public services for NSGE applications

Permitting and charging procedures for NSGE applications

1. Drilling /excavating below groundwater table 2. Reinjection for NSGE-W 3. Minimum distance to installations 4. Minimum distance between neighboring NSGE installations 5. Minimum distance to neighboring plot (property line) 6. Minimum distance between pumping and reinjection site 7. Temperature difference of the reinjected water (W) 8. Temperature drop (H, V) 9. Heat carrier fluid type 10. Refrigerant type 11. Tightness – ground loop and refrigerant tubing 12. Backfilling of BHE 13. Liquidation procedure after abandonment of NSGE installation 14. Monitoring Safety devices

15. Artesian aquifers 16. Very shallow water table where reinjection can be problematic 17. Perched groundwater layers 18. Two or multiple aquifer layers 19. Mineral water resources 20. Thermal water resources 21. Gas occurrences 22. Unstable ground 23. Contaminated soil 24. Karst area

25. Water protection area (WPA) 26. Natura 2000 area 27. Nature protected ecosystem area 28. Flood and erosion areas 29. Landslide area 30. Riparian / coastal zone 31. Other areas

32. NSGE (GSHP) objectives 33. Subsidies 34. Insurance system 35. Certification 36. Borehole drilling report 37. Pumping test report 38. Reception of borehole by the investor 39. Water pumping data periodic report 40. Heat energy production data periodic report from NSGE 41. Register of heat pumps 42. Register of heat exchanger 43. Register of NSGE production 44. Register of drilling data 45. Register of geothermal data 46. Register of groundwater abstraction

48. Research / drilling permit 49. Declaration / Recorded special use of water 50. Water consent 51. Water permit 52. Water fee 53. Concession 54. Royalty / concession fee 55. Energy fee




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3.2 Congruent set of regulation criteria

The congruent set of regulation criteria consists of 55 regulation elements that can cover all

regulations varieties for NSGE of participating countries in the Alpine space. This set of regulation

criteria aims to reach congruence in relation to all NSGE regulations in the Alpine space area.

We can affirm that investors, planners and designers from all countries conceive the NSGE

application in the same way or from the very same starting points. We start from the position where

the planner/investor/designer is already aware of the energy demand for the planned installation

(yearly and monthly [kWh], peak loads [kW], temperature of the heating and cooling system [°C]).

The first step is to work on a pre-investment analysis of the heating system using the accessible

renewable energy sources, including NSGE. NSGE can often be selected for detailed cost benefit

analysis, reckoning upon significant benefits from several advantages, including a characteristic high

comfort.

We organized the congruent set of regulation criteria in four groups which represent the order of

procedures to design the installation. Namely, the designer in any administrative entity would take

into consideration the following basic questions:

1. Is there a special area where the underground installations could be forbidden or subject to

additional procedures or subject to special protection measures?

2. Are there any spatial limitations for NSGE installation?

3. What would be the most suitable type and size of system?

4. What is the cost effectiveness of the installation (and what are the financial incentives and

subsidies)?

The priority of the above questions is not fixed. The start point of designing could be in any of them.

For example, one can start from the question 3.: “What would be the most suitable system for me?”,

continuing with questions 4.: “Can the source cover my demand?”, 1.: “Are there any legal

restrictions for the desired installation?” and finishing in question 2.: “Do I have enough space to do

the desired installation?”. Reconsideration of these four questions could be continued maybe in

several loops to get relevant answers (Figure 4. Matrix of regulation criteria and input parameters to

design NSGE installations.). Special areas and relevant measures should be searched for mainly in the

spatial planning documents.




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Figure 4. Matrix of regulation criteria and input parameters to design NSGE installations.

3.3 Convergence of criteria values and regulations

Convergence of criteria values

The tables of all identified regulation elements enabled us to make a comparison of criteria and

criteria values that are used in regulation of NSGE use and installations. This comparison is presented

in Annex 4 of this document. We identified 35 criteria and criteria values that are used in regulations.

20 of these criteria are used as quantitative threshold values (physical units like distance,

temperature, etc.). Others are used as qualitative values (yes or no statement, high or low impact,

etc.). These criteria and criteria values are presented in a Panel of regulation criteria in Annex 5.

It is clear that some criteria and criteria values differ in each regulation and convergence is not a

matter of course. For example, threshold values of 18 °C, 20 °C, 25 °C, 28 °C and 40 °C are used as a

“maximum absolute allowed temperature rise” for closed loop systems (regulation element 8 b in

Regulation tables). It is recommended to be below 20 °C in Austria and Germany, in Italy below 18 °C

or 25 °C. The highest rise (Tmax = 40 °C) is allowed in France and conditionally in Italy. Another

example is the predefined minimum distance to a neighbouring plot (regulation element 5 in

Regulation tables). They are in the range from 0.5 m to 6 m (0.5 m, 1.5 m, 2 m, 2.5 m, 3 m, 4 m, 5 m

and 6 m). Predefined values can often be diminished to no limit in the case of agreement between

properties’ owners. In the case of Belluno the predefined minimum distance of 4 m is valid only if the

probe is not deeper than 120 m.

Trying to find the convergence of criteria values in between extreme values would be quite

ambitious. However, it is possible to bring them to a maximum common denominator. For example,

if we take into account the maximum existing value of required minimum distances in the regulations

of different regions, i.e. 6 m, this distance would be sufficient in all cases to be on the safe side.




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However, if the 6 m distance is not convenient, then for further details the individual regulation has

to be checked.

Another situation is when criteria values are only “yes” or “no”. For example, the criteria for

protected “landslide area” is the presence of NSGE installation in such an area. NSGE application is

not allowed in a “landslide area” (regulation element 29 in regulation tables) in one community

(Lombardia), while in other communities it is either “not regulated” or “conditionally allowed,

depending on impact assessment”. The maximum common denominator is that the installation is not

allowed in a “landslide area”. For further planning it must be checked individually for a given

community.

If criteria values are only “yes” or “no”, then additional criteria values would be welcome or

recommended.

Convergence of regulations

It is of practical interest that we would have clear regulation on what is “allowed” and “not allowed“.

On the other hand, it is desirable to have as few cases as possible that are “conditionally allowed”,

where “further procedure for case by case decision is foreseen“ and the outcome of this procedure is

not known in advance.

“Conditionally allowed” does not mean that a system would not be effective or possible, but that

some risk could exist. It is not possible to know beforehand all eventual critical parameters and risks.

For example, threshold values of potentially critical parameters for many habitats and biocenosis in

Natura 2000 areas are not yet known and investigated. This could be the reason that “further

procedure for case by case decision is foreseen“ in the regulations. In Slovenia, NSGE installation in

Natura 2000 could be conditionally allowed by the Nature conservation consent based on risk

assessment. Also, in France, an impact assessment is required. A specific approval is required by the

management body of protected areas in Lombardia. It should be noted that no special quantitative

criteria values are predefined for Natura 2000 protected areas, for example, a temperature change in

the impact area of borehole heat exchanger or reinjection site.

Another example is areas of “two or multiple aquifer layers” (regulation element 18). NSGE

installation is not allowed in such areas in Baden-Württemberg. In Bayern it is allowed in some areas,

but a specialist has to monitor / survey or supervise the drillings or installation of NSGE. In Austria, it

is not allowed if drilling would cross through several pressurized aquifers at different pressure levels.

Special equipment of borehole (well cover and sealing) is required in Vicenza. In France, it is not

prohibited but the statutory zoning has to be done as well as the eventual impact assessment for the

decision procedure.

The common interest is to be able to foresee practical measures as “special obligations” that could

prevent risks in advance also in such areas where it is feasible and to avoid as much as possible

“further procedure for case by case decision”. Thus, we propose convergence of plausible regulations

in four categories, presented in Table 4.

In some federal states of Germany there is a difference between the “obligation to notify” (there is

no permit but the installation has to be reported) and the “obligation to obtain a permit” (the




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installation will usually be permitted but without special measures). This could be in between

“Allowed” and “Allowed under special obligations”, namely the authorization may be granted with or

without a requirement for special measures.

In that case, standard obligations could be identified as sufficient and “special obligation” is the only

permitting procedure.

In the case when the outcome of the permit procedure is not certain, even by taking over all

standard and special obligations, then it means that “further procedure for case by case decision” is

in place. The “plausible regulation” would be then “Conditionally allowed”.

Table 4. Plausible regulation categories considering congruent set of regulation criteria and convergence of criteria values.

Plausible regulation Explication

Not allowed The installation is not allowed. Authorization cannot be granted, even under case specific obligations.

Conditionally allowed Further procedure for case by case decision is foreseen. The authorization could require “case specific obligations” or even be refused, depending on the outcome of impact assessment or risk assessment procedures.

Allowed under special obligations

The installation is admitted only if special measures are provided. The authorization would be granted requiring “special obligations”.

Allowed The installation is allowed. Authorization would be granted under “standard obligations”.

3.3.1 Special areas and geological conditions In special areas and geological conditions, permits are needed or special obligations are required.

Areas where NSGE installation could not be allowed, or the permit must be obtained, are protected

areas, natural risk zones or areas with special geological conditions. It is convenient to start the

planning procedure with this aspect. Regarding Figure 4 “Matrix of regulation criteria and input

parameters to design the NSGE installation” it is the field of “Special areas and geological

conditions”. Practically we check eventual constraints in two initial steps:

The first step is to check whether the location of the planned installation is situated in any specific

areas defined in spatial planning documents. These could be areas of special protection of natural

resources (water protection, nature protection - Table 5) or areas of specific risks (dangerous areas –

floods, landslides, contaminated sites, etc. - Table 7).

If the planned installation is situated in such protected areas where “further procedure for case by

case decision is foreseen”, it is recommendable to check the specific geological conditions that

define the protected area. This is important for the further impact or risk assessments.

Being aware of significant geological conditions, one could optimize design and installation of heat

exchangers but also take the maximum advantage of natural potential.




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The second step is to check whether there are specific geological conditions (artesian aquifers,

shallow groundwater table, perched groundwater, etc. - Table 8) that could require “special

obligations” or even impact or risk assessments.

However, maps of special areas are not produced and available everywhere. Natural resources or

risks in different regions are often defined in a general way. For example, thermal water resources

could be defined only by the water temperature threshold value (e.g. > 20 °C), while gas occurrences

are defined only by the expected or evidential presence of hydrocarbons in geological layers

(reported / expected / probable / etc.). Thus, it is recommended to check whether there are specific

geological conditions that could lead us to predict natural resources or risks of concern.

Protected areas are presented in Table 5. Criteria values are levels of protection. Convergence of

these levels between countries is explained in the explanatory notes below the table. Protected

areas and levels of protection can generally be found in spatial planning documents.

Table 5. Protected areas (numbering is referred to Regulation tables in Annexes 3 and 4).

Regulation element Criteria Convergence of criteria values

Plausible regulation

25. Water protection area (WPA) a. Drinking water

1. DWPA I and II Abstraction site protection zone and intermediate zone

Not allowed

2. DWPA III, etc. Wider protection zone Not allowed or conditionally allowed

3. Area of interests in drinking water supply

Special protected area Conditionally allowed

b. Mineral water 4. MWPA I, II Abstraction site and intermediate protection zone or Area of granted water rights/concession for mineral water use

a. Not allowed b. Conditionally

allowed

c. Thermal water 5. TWPA I, II Abstraction site and intermediate protection zone or Area of granted water rights/concession for thermal water use

a. Not allowed b. Conditionally

allowed

26., 27. Nature protection area

6. Natura 2000 areas Areas protected according birds (SPA) and habitats (SCI) EU Directives GWE, GWDTE, GWAAE

Conditionally allowed

7. Other protected ecosystem areas

GWE, GWDTE, GWAAE Conditionally allowed




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EXPLANATORY NOTES OF PROTECTED AREAS

Drinking water protection areas (DWPA):

The aim of restrictions in drinking water protection zones is a reduction of all accidental risks.

In the case of an increase in the number of installations, the permanent control and

insurance of risk of construction, maintenance and abandonment activities could become

disproportionately demanding.

The narrowest zone “DWPA I” is abstraction site protection and intended only for water

supply activities and constructions. This zone is also called the “inner zone”, describing the

area immediately surrounding the abstraction point. The intermediate zone “DWPA II” is

usually delineated on the base of a reference travel time. Travel time means time of

groundwater flow to the pumping well. A wider zone “DWPA III”, also called the “outer

zone”, is the area around a source from where all groundwater recharge is presumed to flow

towards the source.

For example: Italian law (D. Lgs. 152/2006; 12 December 2002 agreement) defines an

“absolute safety zone”, a “respect zone” and a “protection zone”. The first zone is an area of

at least 10 m around the abstraction zone. The second zone is the surrounding territory

delineated by a travel time of 60 days and 180 days or 365 days depending on vulnerability

and hazard conditions or, if travel times have not been evaluated, by a radius of 200 m

around the well. The third zone, or “the protection zone” is delineated within the

groundwater recharge area and defined by “hydrogeological approach” (Menichini & al.

2015, p.22).

Table 6. Levels of drinking water protection areas (DWPA) – comparison between countries.

DWPA Austria France Germany Italy Slovenia Suisse

Abstraction site protection

DWPA I Zone I PPI Zone I Zona I VVO 0 S1

Intermediate protection zone

DWPA II Zone II PPR Zone II Zona II last

corrections

VVO I S2

S3

Wider protection zone

DWPA III Zone III PPE Zone III Zona III VVO II Zu

VVO III

Area of interests

Au

üB




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Zone I - Wasserschutzzone I (Fassungszone) Zone II - Wasserschutzzone II (Engere Schutzzone) Zone III - Wasserschutzzone III (Weitere Schutzzone) PPI - Périmètre de protection immediate PPR – Périmètre de protection rapprochée PPE - Périmètre de protection eloignée (Guillat & al. 2008) Zona I - zone di tutela assoluta Zona II - zone di rispetto Zona III - zone di protezione VVO 0 – območje zajetja VVO I – najožje vodovarstveno območje VVO II – ožje vodovarstveno območje VVO III – širše vodovarstveno območje Zone S1 (zone de captage) Zone S2 (zone de protection rapprochée) Zone S3 (zone de protection éloignée) (OFEFP 2004, p. 39) Abstraction site protection (DWPA I) attempts to protect the water abstraction installation from

pollution, degradation or destruction. In the DWPA II, all activities which could pollute the source are

restricted. These include the evocation of dispersal of pathogenic bacteria, viruses, germs etc. in the

source, the dumping/disposal of liquids that can cause pollution (gasoline, oil, etc.) and the disposal

of other contaminants (OFEFP 2004, p. 40).

The wider zone “DWPA III” is designated to control all sources and impacts of persistent

contaminants in the area from which they could be transported by water flow to the source.

Areas of interest in drinking water supply

Areas of interest in drinking water supply can be areas protected separately, such as an “area

designated for future development of water resources” or an “area with significant

groundwater resources potential” or similar. If areas are defined and delineated

correspondingly in a country or region, they usually consist of restriction or authorization

procedures providing “special obligations” or case specific conditions concerning NSGE.

Nature protection areas

Natura 2000 and other ecosystems protection areas:

Nature protection areas also include ecosystems in the ground (soil and sub-soil) and

groundwater dependent ecosystems. NSGE systems intervene in this space. For the

evaluation and compilation of regulation elements related to environmental impacts, not all

nature protection areas were assessed but only precisely designated zones like groundwater

dependent ecosystems (GWE), groundwater dependent terrestrial ecosystems (GWDTE) and

groundwater associated aquatic ecosystems (GWAAE). The impact assessment for NSGE

focuses on the analysis of the acceptable range of change of temperature, hydraulic heads

and flow conditions in the radius of abstraction and reinjection sites during regular

operation. For example: one risk is the accidental case of loss of heat carrier fluid. In this case




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the risk assessment is, above all, concerned with the acceptability of substances used for

heat carrier fluids.

Nature protection parks:

Nature protection parks usually have specific individual regulations defined by ordinance,

decree or other legal instruments. It is appropriate to check whether this regulation

precludes drilling, excavating, reinjecting or other operations required for NSGE in such an

area.

Table 7.Natural risk zones - (numbering is referred to Regulation tables in Annexes 3 and 4).

Regulation element Criteria Converged criteria values Plausible regulation

28. Flood and erosion area

Presence of floods and erosion

Not allowed or conditionally allowed

29. Landslide area Presence of landslides a. Evidenced b. Probable

a. Not allowed b. Conditionally allowed

30. Riparian / coastal zone

Distance from water surface L < 25 m from sea (coastal zone) L < 5 - 15 m from surface stream

Conditionally allowed

Permafrost/glacier areas not found in analyzed regulations

Earthquake risk not found in analyzed regulations

EXPLANATORY NOTES OF NATURAL RISK ZONES

Natural risk zones are areas where the safety of people could be at risk because of known natural

conditions. These areas are defined in a similar way to protected areas, in individual legislation. They

can either be shown on maps as delineated polygons or they can be defined descriptively or by

certain parameters in the relevant regulations (e.g. fixed or conditional distance from the river,

buffer zone around the centre of the phenomena, etc.).

Flood and erosion area

Flood areas are usually represented by different flood risk maps that are usually available at

water agencies, flood management offices or spatial planning institutions. Maps show flood

areas that are classified according the probability of recurrence (e.g. one year flood, 20 years

flood … 100 years flood area…). The flood could be generated by river stream overflow or by

high groundwater level or both.

Overflows of flood water can also provoke erosion which can additionally endanger banks,

slopes, construction foundations and installations in the ground.




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The design of a NSGE installation in a “Flood and erosion area” should consider several risks

at the installation and on neighboring plots and installations with adequate measures:

- flood water should not be able to penetrate through shafts and conducts of the

installation to the buildings,

- flood water should not be able to penetrate along the borehole or well to the ground or

aquifer where heat is exchanged,

- high groundwater level should not prevent reinjection,

- erosion processes should not endanger the installation,

- the installation and associated facilities should not cause an increase of flooding and

erosion or worsen the run-off conditions.

Landslide area

The construction and operation of a NSGE plant can usually be carried out with no harmful

impacts on the environment. Nevertheless, in the case of damage of a heat exchanger, heat

carrier fluid could escape into the environment (VDI 4640 Part 1 2000, p. 24, Ch. 7.3.3).

Ground movement during a landslide would seriously endanger the heat exchanger built in

the ground and thus represents an unacceptable risk for irreparable damage and final

abandonment of the ground heat exchanger.

NSGE installation should not be allowed in the location of proven landslide and landslide

areas. This information or maps can be found at the agencies dealing with natural risks or

hazards. Maps are usually available showing the probability of the presence of landslides.

This is estimated from modelling of geomorphological, geological and hydrogeological

parameters. These maps have a warning purpose, which means that in the designated areas

the risk has to be assessed for the given location.

Riparian / coastal zone

Riverine zones can be reserved for water regulation measures or public access ensuring the

public safety. In this case any permanent construction or installation which could prevent

necessary intervention in such areas is not acceptable.

A case specific risk assessment and authorization procedure would be necessary.

Table 8. Special geological conditions - (numbering is referred to Regulation tables in Annexes 3 and 4).


15. Artesian aquifers Pressure above surface pa > 3 m

pa > 3 m 0 < pa < 3 m

Not allowed or Conditionally allowed

16. Very shallow water table where reinjection can be problematic

-Thickness of unsaturated zone b < 2m -Flood plain (b = 0)

0 < bunsat < 2 Conditionally allowed

17. Perched ground-water

Presence of perched groundwater level





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18. Two or multiple aquifer layers

Presence of pressurized aquifers at different pressure levels


19. Mineral water resources

Areas of mineral water resources


20. Thermal water resources

Areas of thermal water resources


21. Gas occurrence Presence of a. gas b. hydrocarbons

in geological layer

a. Allowed under special obligations b. Not allowed

22. Unstable ground Presence of evaporites (salt) a. evidenced swelling problems /significant thickness of layers of anhydrite b .formations possibly containing evaporites

Not allowed or Allowed under special conditions

Ground movement / landslide – modelled probability a. high b. moderate, low


a. Mining area of evidenced or probable subsidence / collapsing or swelling b. Presence of mine caverns, underground volumes, artificial channels

Not allowed Conditionally allowed

23. Contaminated sites Presence of contaminated soil a. landfill areas b. industrial / urbanized sites


24. Karst area Karstified formations -density of caves or similar karst phenomena a. high b. moderate, low

a. Not allowed or Conditionally allowed b. Allowed under special conditions

24/1. Areas of not enough known characteristics of the ground

The prediction / design is uncertain (unacceptable risk of failure or disproportionate costs)

Allowed under special conditions




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EXPLANATORY NOTES OF SPECIAL GEOLOGICAL CONDITIONS

Information on special geological conditions is usually available in different maps. Often the

information is not available for the whole territory of the country. Availability differs from

community to community.

Artesian aquifers

When drilling penetrates an artesian aquifer, the groundwater level would rise over the

mouth of the borehole. Leakage and loss of pressure and water from the artesian well would

continue, even if not visible and not controllable if improper drilling techniques or

equipment is used. This represents the main risk when an artesian aquifer is penetrated.

Introductive tubing must be well anchored in the ground and well cemented to a certain

depth depending on water pressure at ground level. Reinjection in the artesian layer would

need pumping into a reinjection well with a pressure that exceeds the artesian pressure (NF

X 10-970:2011-01, p. 28, Ch. 11.1).

Very shallow water table where reinjection can be problematic

Where the water table is near the surface, reinjection could be problematic if the water level

in the injection well rises to the surface or even higher, flooding the plot or basement.

Perched ground-water

Perched groundwater is susceptible for contamination, now or in the future. Often it is not

monitored or the monitoring could be difficult to carry out. If the borehole or other

interventions cause leakage of eventually contaminated perched groundwater to the lower

groundwater table, the impact would be difficult to control and remediation would not be

feasible. It is therefore more convenient to provide technical measures against possible

leakage.

Two or multiple aquifer layers

Drilling through two or more aquifer layers with different pressures could provoke leakage

from one to another, having an impact on the chemical characteristics of the groundwater or

hydraulic conditions. This could also cause an undesired change in the groundwater level.

Consequences could be a decrease in the productivity of water sources or deteriorated

foundation conditions (BRGM & CEREMA 2015, p. 64, Ch. 9.7.1).

The hydraulic contact between aquifers caused by drilling through two or more layers is

undesirable from a groundwater preservation point of view, especially if one of the

groundwater layers contains highly mineralized or contaminated groundwater (VDI 4640 Part

1 2000, p. 24, Ch. 7.3.2).




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If drilling would cross through several pressurized aquifers at different pressure levels, the

isolation of multiple layers could be very technically demanding.

Mineral water resources

Groundwater with high mineral content and poorly oxygenated groundwater can have an

unstable composition. Such waters can deposit, for example, manganese, iron, carbonate,

etc., or they can be aggressive and provoke corrosion of heat exchangers. So, the chemical

properties of the water should be verified. The chemical process could also take place in the

situation where a mineral water layer is linked by drillings to other aquifer layers, thereby

causing changes in the groundwater and the aquifer, i.e. clogging the aquifer or accelerating

dissolution.

Drilling or excavating near mineral water springs or wells could have impacts on the mineral

groundwater flow.

Thermal water resources

Thermal water is usually treated as a natural water resource of special value. The threshold

value of temperature for the special regulations of groundwater is conventional and is set up

differently in different countries. It depends above all on the abundance of these resources

in the country and their economic and social value. The range of threshold values lies

approximately between 20 °C and 30 °C. Because of its special value it is treated as resource

of preferential use regarding shallow geothermal energy.

Thermal water resources are usually very well evidenced in natural spring or man-made

wells. Thermal water resources could also be delineated by known boundaries of deeper

aquifers and the depth of higher water temperature than a threshold value. Where these

resources are already in use, they are often delineated as an area of thermal water

protection or thermal water right.

Gas occurrence

Drilling in to layers containing natural gases could cause safety risks (especially in the case of

explosive or greenhouse and toxic gases) or risk to losses of gas that could represent a

natural gas-lift potential (especially for the abstraction of natural spring or mineral water).

Gas occurrence can be evidenced in natural spring or anthropogenic interventions (especially

boreholes penetrating layers rich with organic matters or hydrocarbons). Gas occurrences

could be also predicted by being indirectly linked to rich organic geological layers or layers

containing hydrocarbons, sulphides, etc.

Unstable ground

Unstable ground could be found especially in the following geological situations (ADEME &

BRGM 2012, p. 18, Ch. 4):




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1. Intensively fissured, faulted and breccia zones, provoking formation of natural or

anthropogenic cavities

2. Soft fragile rocks representing unstable ground (volcanic sedimentary rocks, )

3. Rocks susceptible to dissolution or swelling (clays, evaporates, salts, )

a. Unstable ground

b. Presence of natural caverns or mine caverns could represent a risk of subsidence

c. Presence of evaporites presents a risk of subsidence or swelling – in the case of

communication of shallow or deep aquifers with evaporitic layers because of

unsuitable or hardly feasible underground operations (BRGM & CEREMA, 2015, p.

27, chapter 9.1.1.).

Contaminated soil

Contaminated soil represents a risk of mobilizing contaminants from soil or shallow

groundwater to aquifers and deeper groundwater.

Karst area

Karstified zones can represent a strong heterogeneity of the ground and risk of cavities. A

high risk of cavities is linked to several risks: collapsing of the borehole, subsidence of the

ground, losses of drilling fluids, problems with backfilling, turbidity and solids in

groundwater, unstable temperature of groundwater (too low in winter, too high in summer),

unpredictable, unreliable modelling.

Productivity of karst aquifers is very variable, from very low to very high with potentially

large local differences. This makes the design of boreholes or wells rather difficult.

Geological and hydrogeological conditions in the depth of karst areas are often not

sufficiently known to make a reliable prediction without additional investigation.

Areas where ground characteristics are insufficiently known

The design of boreholes or excavations and installation requires information that in this case

contains excessive uncertainties and knowledge gaps, so that the risk of failure or of

disproportionate costs is unacceptable.

3.3.2 Special obligations The concept is based on the idea to distinguish the general protective measures (»standard

obligations«) against harmful effects from additional protective measures (»special obligations«),

both for borehole heat exchangers (BHEs) and for the heat recovery from groundwater. General

safety precautions (»standard obligations«) must be observed everywhere. Possible additional

protective measures (»special obligations«) may be required in protected, dangerous areas or in

other cases where assessments are envisaged in the licensing process on the basis of risk analysis or

expert opinions.




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Drinking water protection areas - wider zone (DWPA III)

Permanent tubing, sealing or pressurized cementation should be ensured in the case of

drilling over a thin aquifer.

The number or depth of BHEs or amount of heat abstraction should be limited to restrict as

much as possible the impact on groundwater.

Permanent tubing or sealing should be used, or ensuring pressurized cementation following

instructions of the authority or responsible geologist.

Water could be required as a heat carrier fluid (without anti-freezing additives) (OFEV 2009,

p. 17).

It is recommended to delineate areas outside protection zones where BHEs and geothermal

foundation piles are allowed, areas where they are acceptable under certain conditions and

those where they are not allowed (OFEFP 2004, p. 86).

Artesian aquifers

The depth of boreholes could be limited to avoid drilling in formations where there is a risk

of artesian pressure of groundwater.

Any possible hydraulic short circuit should be prevented using permanent tubing or sealing,

or ensuring pressurized cementation following instructions of the authority or responsible

geologist (OFEV 2009).

Very shallow water table where reinjection can be problematic

Conditions have to be examined

Perched ground-water

Perched groundwater layer must be isolated by pressurized cementation.

A specialist must check the design. Survey or supervision of drillings or construction must be

foreseen.

Two or more aquifer layers

The construction of boreholes should be precisely defined to ensure that they would be

limited only to the layer that is subject to authorization (OFEV 2009).

The groundwater closest to the surface and from the open aquifer should be used for

shallow geothermal energy production. Deeper groundwater layers should be subject to

special protective measures (VDI 4640 Part 1 2000, p. 13, Ch. 4.1.2 / p. 14, Ch. 4.1.3):

Hydraulic sealing between layers must be ensured, equivalent with the original

conditions. Contaminant transports and the mixing of different groundwater must be

prevented. The original hydraulic pressure should be maintained if only heat is

exchanged.

After heat exchange, water must be reinjected into the same layer.




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Mineral water resources

The depth of boreholes should be limited to avoid drilling in the formations where there is a

risk of artesian pressure of groundwater.

Non corrosive materials should be use for borehole construction. Selection and use of

materials should be adapted to the aggressiveness of groundwater in the formation (OFEV

2009).

Thermal water resources

The depth of boreholes should be limited to avoid drilling in the thermal water formations.

Gas occurrence

The possibility of gas deposits should be estimated. If there is a risk of gas occurrence,

warning tools and special requirements for drilling techniques must be considered.

In case of gas occurrence public authorities and emergency services must be contacted

immediately (OEWAV 2007).

The depth of boreholes should be limited to avoid drilling in the formations where there is a

risk of gas occurrence (OFEV 2009).

Unstable ground

Precautions should be taken with the assistance of an expert (geologist, hydrogeologist).

Preliminary geological study can rule out these risks. (ADEME & BRGM 2012, p. 18, Ch. 4).

a. Presence of caverns: Preliminary evaluation of risk of eventual interference of NSGE

and existing or planned underground works (UNI 11468:2012, p., Ch. 4.3.2).

b. Presence of evaporites: Obligatory assessment of technical risk. Drilling must be

stopped above gypsum layer.

Contaminated soil

a. Measures that prevent the mobilization of pollutants to penetrate into groundwater

must be implemented (e.g. using permanent tubing).

NSGE-W: Abstracted water must be reinjected in non-polluted ground (OFEV 2009, p.

17/23, Ch. 3.4/5.4).

Karst area or Areas of insufficiently known ground characteristic

Additional geological or hydrogeological investigations must be undertaken.

Certification is compulsory for professionals for “monitoring of the building process in special

geological, hydrogeological and water-ecological situations” and also for specialists for water

pollution risk analysis (in Germany,).

At defined regions showing complex hydrogeological settings a research/drilling permit is

compulsory for BHE (in Austria).




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3.3.3 Standard obligations Standard obligations are general protective measures against harmful effects. General safety

precautions are those that should be observed everywhere. They represent minimum requirements

even when notification or declaration of NSGE installation is not required.

Regulatory elements and criteria are arranged according to the scheme and Matrix of regulation

criteria and input parameters to design NSGE installations (

Figure 4, p. 16 in this document):

+ Are there any spatial limitations to install NSGE installation?

+ What would be the most suitable type and size of installation?

+ What is the cost effectiveness of the installation (and what are the incentives and subsidies)?

The following chapters are provided in outline form and must be completed in more detail in the

next stage of the project.

3.3.3.1 Distance of NSGE installation from other objects

Are there any spatial limitations to install NSGE installation?

Table 9. Spatial position of installation - space on the plot

Regulation element Criteria Converged criteria values Legal regulation

3., 4., 5., 6. Distances from other objects

Distance from neighboring plot (property border)

0.5 – 6 m

Distance from next building

1 - 5 m




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Distance from drinking water well

1.5 m GSP-H 10 – 200 m

T ≤ 1 °C in the range of 60 days isochrones2

Distance from other uses well

10 – 100 m

Distance from neighboring NSGE installation

GSHPc 5 – 10 m GSHP-W 30 m L=f(dT and dH) [dT<1 °C, dH < 0.1 m]

Inspect eventual existence of existing or planned geothermal installations (closed or open loop) in the circle of 50 m (UNI 11468:2012, p. 5, Ch. 4.3.2).

Distance between pumping and reinjection site

10 – 25 m Analytic estimation is recommended

3.3.3.2 Type and size of the NSGE installation

3. What would be the most suitable type of the system and the size of the installation?

Table 10. Energy use.


Energy use Installed power of NSGE NSGE – W: P < 16 kW NSGE – W, V P > 45 kW

Monitoring obligatory

P = 30 – 100 kW

TRT obligatory

Energy demand Qth > 10 MWh/y

Table 11. Type of plant, number and depth of boreholes.


Type of near surface geothermal energy plant

NSGE [H, V, W]

Number of boreholes in the geothermal field

BHE [No]

Depth of drilling / borehole / probe ...

D [m]

2 UNI 11468:2012, p. 12, Ch. A.2.4.




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3.3.3.3 Efficiency of the NSGE installation

4. What is the cost effectiveness of the installation (and what are the incentives and subsidies)?

Energy efficiency and impacts: Impacts on groundwater quality, quantity and ecology depend on

abstraction and discharge, i.e. interaction between installation and environment.

Table 12. Seasonal performance of installation.


Seasonal performance factor

SPF [-]

Seasonal space heating energy efficiency

s [%]

Table 13. Abstraction and discharge (impacts).


A Minimum temperature Tmin

[°C]

B Maximum temperature Tmax

[°C]

C Temperature difference T [°C]

D Temperature of abstracted water

Tw

[°C]

E Volume of abstracted water

V [m3]

F Difference in the discharge between abstracted and reinjected water

Qab - Qinj

[m3/h, l/s]

G Backfilling material (Cement / Mixture)

H Density of backfilling material

[g/cm³]

I Required testing pressure (air or water)

ptest

[b, m]

J Tolerated pressure drop p

[b / t]




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K Value of environmental restoration works

[€]

L Duration of abandonment of installation

t [month, year]

Table 14. Substances in use for operation of installation.


A Mass of controlled substances in refrigerant or heat carrier fluid

m [kg]

B Global warming potential (high, low,…)

GWP

C Ozone depletion potential

ODP []

D Biodegradable

E Low environmental impact

Table 15. Preventive technical measures.


G Backfilling material (Cement / Mixture)

H Density of backfilling material

[g/cm³]

I Required testing pressure (air or water)

ptest

[b, m]

J Tolerated pressure drop p

[b / t]

K Value of environmental restoration works

[€]

L Duration of abandonment of installation

t [month, year]




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4 Conclusions

How can the regulation matrix be used by planners, designers and administrative entities?

Congruent list of regulation criteria

A set of regulation criteria consisting of 55 regulation elements, which aim to be congruent to all

regulations for NSGE in participating countries in the Alpine space. These elements are arranged in

groups, which correspond to characteristic regulation fields from the perspective of planners,

designers and administrative entities. This is shown as a scheme in the Matrix of regulation elements

for NSGE installations (Figure 3, p. 13 in this document).

Designers and contractors would be primarily interested in regulations concerning:

+ implementation of NSGE application,

+ installation of NSGE in special geological conditions,

+ installation of NSGE in protected areas or dangerous areas,

while planners and administration experts would focus primarily on

+ public services for NSGE applications and

+ permitting and charging procedures for NSGE applications.

An overview and analysis of regulation criteria includes a country-specific presentation according to

regulation elements. Fifty-five regulation elements, which are presented in Annex 3 by all

participating countries within this deliverable, are traceable by the national or local legal instrument

and regulation level. There are also dictionaries for translating local language terms into English and

explanations of the original legal instruments’ names or their abbreviations.

Comparison of regulation criteria

Planners, designers and administration experts can compare regulation criteria and criteria values

between countries or subordinate entities in the Annex 4 of this document. There is also a list of

regional and local entities that are part of the Alpine space region, indicating which entities have

their own regulations. It is possible to see which regulation criteria is valid at a national level and

which at a regional or local level. Unfortunately, local levels and even regional entities with

regulation levels are so abundant that they cannot all be included in the comparison. We assume

that we will have a representative sample by including Switzerland in the next activity.

Convergence of regulations and criteria values

Some regulation elements are especially important, which we have classified as “Special areas and

geological conditions”. They define two main results stemming from the regulations: 1. Is it possible

to exploit NSGE in this place? and 2. If so, how and under which conditions? By linking these

regulation elements and the NSGE potential maps, the designers will be able to find planning data,

design conditions, and data sources. The matrix of regulation criteria and input parameters for




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designing NSGE installations is presented in

Figure 4, p. 16 in this document.

The concept for the convergence of criteria values has been set.

There are three plausible regulations, i.e. “Not allowed”, “Allowed” and “Allowed under special

obligations”, where the outcome is known or at least very predictable. The fourth plausible

regulation “Conditionally allowed” means that the outcome is not easily predictable. Further

procedures for a case by case decision are foreseen but the outcome can even be a refusal,

depending on the impact or risk assessment. This does not mean that a system would not be

effective or possible, but that some concern exists for several reasons. The reasons for the

“Conditionally allowed” regulation can be a lack of quantitative criteria, their threshold values or

unknown local conditions.

Planners, designers and administration experts can obtain an overview of “Special areas and

geological conditions” and plausible regulations in the chapter 3.3.1, p. 18 of this document. These

areas are briefly explained regarding concerns, which require permit procedures or special

obligations to be envisaged. Some information for data sources are given, but this will be

supplemented in coordination with WP 4. In the following chapter 3.3.2, p. 27, there is a list of

possible special obligations. They could be recommended to the permitting authorities and designers

for reconsidering how to avoid concerns or risks in the special areas or geological conditions. In the

next stage of planned activities, good practices should be found regarding “special obligations”

implementation and the definition of criteria values.




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The convergence of regulation elements, criteria and criteria values for “standard obligations”

(chapter 3.3.3, p. 30) are not yet prepared for further use. Tables (Table 9 -

Table 15) are prepared only conceptually and have to be elaborated in the next steps. We will further

develop them with additional analysis of regulation elements to identify additional criteria values

and the existence of scientific explanations. We aim to identify those criteria values that are used in

regulations (e.g. max and min T of reinjected water, maximum dT, etc.) and could have a significant

impact on the potential of NSGE installation (regarding savings, costs, etc.).

The link to the Operational criteria for the utilization of NSGE in the Alpine environment (WP 3) is

represented by a “Panel of regulation criteria” (Annex 5). Technical parameters used in a regulatory

framework often overlap with operating parameters (e.g. BHE length, fluid temperatures, benchmark

thermal loads).

In the next activity a common list of abbreviations and symbols has to be brought into line (see Table

1 and

Table 2 of this document) for common use between work packages.

The link to the Assessment and mapping of the potential of NSGE (WP 4) is represented by plausible

regulation categories: “Not allowed”, “Allowed”, “Allowed under special obligations”, and

“Conditionally allowed”. Information about data sources regarding special areas and areas of special

geological conditions shall be supplemented in coordination with WP 2 and WP 4.

The link to the Integration of the NSGE into Energy Plans (WP 5) and into Pilot Area activities for

detailed economic analyses and implementation into the SEAPs are regulation elements in the

regulation tables “Public services” and “Permitting and charging procedures”.

The link to the User interaction (WP 6) is a discussion within Focus Groups with the help of their

feedback on regulation elements, i.e. how the matrix of regulation can be applied for planners,

designers and administration experts.

Differentiation between the use of terms “good” and “best” practice is not very relevant, but

planners, designers and administration experts could use rather universal indicators proposed in

chapter 2.2, p. 10 in this document. Indicators are usable either from an administration point of view

or from a technical point of view. Maybe only the priority of indicators would be different in practice.

This could be further developed in the first half of the next year when we will study the use of

regulation criteria for our six case studies. Searching for good practices in the participating countries

will include practical examples, how the permitting authorities address the investors and inform

them about procedures, how the permitting authorities monitor NSGE use and how investors can

benefit from providing their information to the authorities.




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5 Literature

ADEME & BRGM, 2012. Guide technique - Les pompes à chaleur géothermiques à partir de forage sur

aquifère. Manuel pour la conception et la mise en oevre. ADEME, BRGM éditions. 2012.

BRGM & CEREMA, 2015. Guide d’élaboration de la carte des zones réglementaires relatives à la

géothermie de minime importance. Direction de prévention des risques, Services des risques

technologiques, Bureau du sol et du sous-sol. Juillet 2015, 83 p.

EN 15450:2007. Heating systems in buildings – Design of pump heating systems. European standard.

CEN 2007. 47 p.

Guillat, N., Morel, C., Peigner, P., Oller, G., Chateau, G., Carré, J., 2008. Guide technique: Protection

des captages d’eau. Acteurs et strategies. Mai 2008. Ministère de la Santé et des Sports. École

nationale de la santé publique (EHESP). 84 p.

Menichini, M., Da Prato, S., Doveri, M., Ellero, A., Lelli, M., Masetti, G., Nisi, B., Raco, B., 2015. An

integrated methodology to defne Protection Zones for groundwaterbased drinking water sources: an

example from the Tuscany Region, Italy (Un approccio integrato per la defnizione della Zona di

Protezione per captazioni idropotabili applicazione su captazioni della Toscana, Italia). Acque

Sotterranee - Italian Journal of Groundwater (2015) - AS12058: 021 – 027. Associazione Acque

Sotterranee 2015, p. 21 – 27.

NF X 10-970:2011-01, 2011. Forage d’eau et de géothermie. Sonde géothermique vertical (échangeur

géothermique vertical en U avec liquid caloporter en circuit fermé). Norme Française. AFNOR 2011,

37 p.

OFEFP, 2004. Instructions pratiques pour la protection des eaux souterraines. Département fédéral

de l’environnement, des transports, de l’énergie et de la communication (DETEC) - Office fédéral de

l’environnement, des forêts et du paysage OFEFP. Berne, 2004. 143 p.

OFEV, 2009. Exploitation de la chaleur tirée du sol et du sous-sol. Aide à l’éxecution et aux

spécialistes de géothermie. Confédération Suisse. Office federal de l’environment OFEV. 51 p.

UNI 11468:2012. Sistemi geotermici a pompa di calore. Requisti ambientali. UNI Ente nazionale

Italiano di Unificazione. Novembre 2012. 13 p.

VDI 4640 Part 1, 2000. Thermal use of the underground. Fundamentals, approvals, environmental

aspects. Verein Deutcher Ingenieure. December 2000, 32 p.




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6 Partners’ involvement

PP

Contact (name, e-mail)

1 TUM

Kai Zosseder

Fabian Böttcher

Marcellus Schulze (LfU)

[email protected]

[email protected]

2 ARPA VdA Pietro Capodaglio [email protected]

3 GBA

Gregor Götzl

Magdalena Bottig

Julia Weilbold

[email protected]

[email protected]

[email protected]

4 GeoZS Joerg Prestor

Simona Pestotnik

[email protected]

[email protected]

5 BRGM

Charles Maragna

Jean-Claude Martin

Pierre Durst

[email protected]

[email protected]

[email protected]

6 POLITO Alessandro Casasso [email protected]

7 EURAC Pietro Zambelli

Roberto Vaccaro

[email protected]

[email protected]

8 Triple S-GmbH

9 INDURA James Gilbert [email protected]

10 CA

11 Uni Basel Peter Huggenberger [email protected]

12 RL Francesca Messina

Francesco Spinolo

[email protected]

[email protected]




mailto:[email protected]@tum.de

mailto:[email protected]@tum.de


mailto:[email protected]%[email protected]

mailto:[email protected]%[email protected]


mailto:[email protected]@geo-zs.si

mailto:[email protected]@geo-zs.si


mailto:[email protected]@brgm.fr

mailto:[email protected]@brgm.fr


mailto:[email protected]@eurac.edu

mailto:[email protected]@eurac.edu





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