Preliminary Feasibility Study

The preliminary design phase is the first service phase (Phase 1) under the German Fee Schedule for Architects and Engineers (HOAI) and forms the foundation of every construction project. During this phase, the objectives, requirements, and framework conditions of a construction project are systematically identified and documented. The result is the so-called space allocation plan or briefing, which serves as the binding basis for all subsequent planning steps.

What is clarified during the preliminary planning phase?

During the preliminary planning phase, the architect or planner first gathers all relevant information: usage requirements, legal framework (zoning plan, historic preservation), budget constraints, schedule, and any specific technical or design requests from the client. Questions regarding site development, the building site, and existing structures on the property are also raised during this phase. The result-often referred to as the requirements program-summarizes all findings and is approved by the client.

Distinction from Subsequent Project Phases

The preliminary design phase is followed by preliminary planning (Phase 2), design planning (Phase 3), and permit planning (Phase 4). The parameters established in Phase 1 are binding: changes to the spatial or program of use after Phase 2 are considered redesign and may incur additional fees. A thorough and complete preliminary design phase therefore saves time and costs in the long run.

Significance for Renovation and Conversion

The preliminary design phase is of particular importance when converting or renovating an existing building. In addition to new requirements, the existing structure, any hazardous materials (e.g., asbestos), the current energy efficiency status, and existing building permits must be documented. Especially for older buildings in Franconian city centers-such as in Nuremberg’s Old Town or historic town centers-historic preservation requirements can make the preliminary planning significantly more complex.

Practical Tip for Property Owners in Nuremberg and Franconia

We recommend that property owners view the preliminary planning phase not as a tedious formality, but as a strategic investment. Those who clearly define their goals during this phase avoid costly redesigns. The Nuremberg metropolitan region has numerous unique features-from sandstone cellars in old buildings to flood zones along the Regnitz River and strict design regulations in certain Erlangen neighborhoods-that must be identified early on. Hire a qualified architect who is familiar with regional building codes, and document the results of the preliminary planning study in writing.

Frequently Asked Questions

Is the preliminary planning study also required for small renovations?

Even for smaller projects-such as renovating a bathroom or adding a carport-a structured preliminary planning study is advisable, even if it is informal and shorter in scope. It clarifies responsibilities, budget, and technical requirements and prevents unpleasant surprises.

Who conducts the preliminary planning?

Typically, the commissioned architect or specialist planner (e.g., structural engineer, MEP planner). For complex projects involving multiple specialist planners, a joint preliminary planning process led by the architect is standard practice.

What does the preliminary planning cost?

According to HOAI guidelines, the fee for Phase 1 amounts to approximately 2% of the total fee. For a construction project with €500,000 in billable costs and a total architect’s fee of approximately €50,000, this would be about €1,000. The cost is minimal compared to the planning certainty that a thorough Phase 1 provides.

Preliminary Planning for Modernization Projects in Rental Housing

For landlords planning modernization measures, a structured preliminary planning phase is particularly important. It determines which measures can be classified as modernization under tenancy law (§ 555b BGB)-with the possibility of a rent increase due to modernization-which are considered mere maintenance, and which, as luxury renovations, may not be apportionable. It also clarifies which measures require notice and how long the advance notice period is.

A thorough preliminary assessment is also a prerequisite for applying for subsidies. KfW programs, Bavarian housing subsidy programs, and municipal climate protection subsidy programs often have specific technical minimum requirements that must be known in the early project phase to avoid later being excluded from eligibility. Those who only discover the funding conditions during the design planning phase sometimes have to accept costly redesigns.

In Nuremberg and the metropolitan region, the Nuremberg Energy Advisory Center (ebz) offers free initial consultations that can be used as a supplementary preliminary study for energy-efficient renovations. We recommend this consultation as a first step before hiring an architect.

Checklist for a Comprehensive Feasibility Study

To ensure the feasibility study is fully effective, it should cover the following points:

• Usage Concept: What is the intended use of the building or property? Owner-occupancy, rental, sale, or mixed-use?
• Space Allocation: What rooms are needed and what are their approximate sizes? What ancillary rooms, parking spaces, or outdoor facilities need to be planned?
• Legal framework: Zoning plan, building line, floor area ratio (FAR)/building coverage ratio (BCR) values, historic preservation status, parking space requirements, encumbrances on the property title.
• Budget and financing: What is the total budget? What subsidies are available? When will financing be secured?
• Timeline: When should construction begin and be completed? Are there any mandatory deadlines (e.g., expiring leases, grant program deadlines)?
• Existing Condition Analysis (for renovations): Year of construction, building structure, insulation standards, building services, suspected hazardous materials, existing permits.
• Quality objectives: What energy standard is being targeted? Are there design specifications or client preferences?

The more thoroughly this list is addressed during the preliminary planning phase, the more stable the planning foundation will be for all subsequent project phases.

Preliminary Design and Cost Planning

An often underestimated aspect of the preliminary design phase is its contribution to early-stage cost planning. As early as Phase 1, an initial cost estimate can be prepared based on empirical values (cost guidelines according to DIN 276). This provides the client with guidance and protects against unpleasant surprises in later phases. If the budget and space allocation plan are already in a realistic balance with each other in Phase 1, one avoids the common problem of having to make compromises in the design during Phases 3 or 4 because the original concepts significantly exceed the budget.

In practice, it has been shown that a well-developed program of requirements in Phase 1, with clear quality objectives and a realistic budget, leads to lower overall planning costs because expensive redesigns in later phases are avoided. This is particularly true for complex projects such as apartment buildings, commercial structures, or the energy-efficient renovation of a historic building in downtown Nuremberg.

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