Preliminary design

Preliminary Design - Preliminary design is the third service phase (Phase 3) of the German Fee Schedule for Architects and Engineers (HOAI) and refers to the development of a complete, building-permit-ready design for a construction project. It builds upon the preliminary and basic planning (Phases 1 and 2) and includes all planning documents required for the building permit application. The design planning specifies floor plans, sections, elevations, materials, and technical systems to the extent necessary to apply for a building permit.

Content and Delineation of Service Phases

Design planning is part of the nine-stage HOAI service framework for buildings:

LP	Designation	Content
1	Basic Planning	Needs analysis, site assessment
2	Preliminary Planning	Concept variants, cost estimate
3	Design Planning	Design ready for building permit
4	Permit Planning	Building application, coordination with authorities
5	Construction Planning	Detailed plans for construction
6-9	Preparation/Participation in Contracting, Construction Supervision	…

The design planning phase includes the following services provided by the architect:

• Development of the design in accordance with urban planning, design, functional, and building code requirements
• Drawings at a scale of 1:100 (floor plans, sections, elevations)
• Explanatory report on the design
• Cost calculation in accordance with DIN 276 (accuracy approx. ±20%)
• Coordination with authorities and specialist planners (e.g., structural engineers, MEP planners)
• Summary of the results as a basis for the approval planning phase

Significance for Building Owners and Investors

The design planning phase is significant for the real estate industry for several reasons:

• Cost certainty: The cost calculation in Planning Phase 3 is more precise than the cost estimate in Planning Phase 2 and forms the basis for financing applications to banks
• Approval eligibility: The building permit application can only be submitted once the preliminary design is complete-the timeline for the entire project depends on this
• Planning law: The design must comply with the zoning plan, building regulations (BayBO in Bavaria), and, where applicable, historic preservation requirements
• Costs of changes: Subsequent design changes after Phase 3 are significantly more expensive; major redesigns should be finalized before the design planning phase

Special Requirements in Nuremberg: Design Guidelines and Historic Preservation

In many Nuremberg neighborhoods, additional design requirements apply alongside the zoning plan, which directly influence the design planning. The City of Nuremberg has published so-called design guidelines for various areas, which contain specifications regarding roof shape, eave height, material selection, and color schemes.

In historic preservation zones-such as the Old Town, Gostenhof, Wöhrd, or St. Johannis-the design must be coordinated with the local historic preservation authority as early as Phase 3. This means: The architect should conduct an informal preliminary consultation with the Nuremberg City Planning Office and the historic preservation authority before finalizing the design phase. This is the only way to ensure that the design in Phase 4 (permit planning) is actually approvable and that no costly revisions are required.

Practical Tip for Property Owners in Nuremberg and Franconia

In Nuremberg and the metropolitan region, many properties are subject to zoning plans with specific requirements regarding building structure, eave height, roof shape, or choice of materials. We recommend that builders always carry out the design planning with an architect who is familiar with local planning regulations-submitting a preliminary inquiry to the Nuremberg City Planning Office or the relevant district office early on saves time and money. Especially in historic districts such as the Old Town, Gostenhof, or Wöhrd, there are additional design requirements that significantly influence the design.

Anyone renovating or adding a story to an existing building should also check whether the project requires a so-called energy performance certificate in accordance with the GEG-this must be integrated into Phase 3 so that it can be submitted with the building application in Phase 4 at the latest. We assist our clients in finding suitable architects and energy consultants in the metropolitan region.

Frequently Asked Questions

What does the design planning cost?

The architect’s fee for Phase 3 is calculated according to the HOAI based on the billable costs (construction cost) and the fee zone. For a residential building with a construction cost of 500,000 euros, Phase 3 typically accounts for 8-10% of the total fee-i.e., approx. 4,000-7,000 euros. For larger projects, the fees increase accordingly.

Can I do the design planning myself?

In Bavaria, the building application must be signed by an architect or engineer authorized to submit building plans (Art. 61 BayBO). The design planning, as part of the building application, must therefore be prepared by a registered architect or at least reviewed and signed by one.

How long does the design planning take?

For a single-family home, the design planning phase typically takes 4-8 weeks. For larger or more complex projects (multi-family homes, commercial buildings), it can take 3-6 months. The duration also depends on how quickly coordination with authorities and specialist planners takes place.

What happens if the design is not approvable?

If the design does not comply with building code requirements, it must be revised. This results in additional work and costs. To avoid this, we recommend submitting an informal preliminary inquiry (preliminary building inquiry pursuant to Art. 71 BayBO) to the relevant building authority at an early stage-this allows for the elimination of major planning risks even before LP 3.

The design phase is an investment in planning security: Relying on an experienced architect in LP 3 and coordinating with authorities early on saves time and costs in later phases-and reduces the risk of costly revisions during the ongoing building permit process.

Digital Design Planning: BIM and Parametric Design

Modern design planning increasingly utilizes Building Information Modeling (BIM): Here, the building is developed as a three-dimensional digital model as early as LP 3, containing not only geometric information but also material data, quantities, and cost information. BIM enables significantly more precise cost calculations in accordance with DIN 276 than conventional 2D plans and facilitates coordination between architects and specialist planners (structural engineering, building services, fire protection). In Nuremberg, larger architectural firms and general contractors in particular are already relying on BIM-supported planning; for small single-family homes, the additional effort is not always justified.

What role does the cost calculation in Phase 3 play in bank financing?

The cost calculation prepared in Phase 3 in accordance with DIN 276 is the decisive document for bank financing of construction projects. Banks require a transparent cost breakdown for the approval of construction financing, demonstrating that the project falls within a realistic budget framework. If the cost calculation deviates significantly from the original cost estimate (Phase 2), this can jeopardize the financing commitment. We recommend that builders carefully coordinate the cost calculation in Phase 3 with the financing institution and plan for a sufficient buffer for unforeseen costs-typically 10-15% of the total construction cost.

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