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residential
retro
fit
20 case studies

001_027.indd 1 07/11/2013 11:08

 Acknowledgements

This book would not have been possible without the support of several individuals and
organisations. In particular:

• Paul Davis and all the partners at Paul Davis + Partners for funding the time to put
this publication together and for their ongoing encouragement to develop my interest
in low energy architecture, sustainability and retrofit topics in the last 9 years. A very
big thank you also to the marketing and graphic team for their continuous support and
contribution.
• RIBA Publishing, for offering me this opportunity and for their immense patience and
support in a task which looking back was far greater than I could have anticipated.
• Technology Strategy Board and especially Paul Ruyssevelt for accepting to join venture
in this project and offer the Retrofit for the Future database access forming the basis of
this publication.
• Bill Gething for accepting to spend so many hours reviewing the content and
meaningfulness of these case studies.
• Dickon Robinson for his support and for accepting to co-write the foreword.
• Georgia Laganakou, who assisted me with talent and without whom I would have not
been able to produce this piece of work and carry on my full-time job.
• Sofie Pelsmakers for allowing me to use her definitions
• My partner Robert Prewett for supporting me through two sizeable experiences of both
writing a book and having a baby.

Last but not least:

• All the 20x teams for their patience and contribution in providing further data and
illustrations and for their warm encouragement in this task.

© Paul Davis + Partners, 2013

Published by RIBA Publishing, 15 Bonhill Street, London EC2P 2EA

ISBN 978 1 85946 501 1

Stock code 80472

The right of Marion Baeli to be identified as the Author of this Work
has been asserted in accordance with the Copyright, Design and
Patents Act 1988.
All rights reserved. No part of this publication may be reproduced,
stored in a retrieval system, or transmitted, in any form or by any
means, electronic, mechanical, photocopying, recording or otherwise,
without prior permission of the copyright owner.
British Library Cataloguing in Publications Data
A catalogue record for this book is available from the British Library.
Designed by Ashley Western
Printed and bound by Butler, Tanner & Dennis Ltd, Frome, UK
While every effort has been made to check the accuracy and quality
of the information given in this publication, neither the Author nor
the Publisher accept any responsibility for the subsequent use of this
information, for any errors or omissions that it may contain,
or for any misunderstandings arising from it.
RIBA Publishing is part of RIBA Enterprises Ltd.
www.ribaenterprises

001_027.indd 2 07/11/2013 11:08

 contents

DEFINITIONS 6

FOREWORD 8

PRACTICE PROFILE 11

CHAPTER 1: INTRODUCTION 12

PROJECT LOCATIONs MAP 25

CHAPTERS 2 and 3: INTRODUCTION 26

CHAPTER 2: PRE-1919
PRINCEDALE ROAD [TSB-28] 28

BERTRAM STREET [TSB-84] 32

SHAFTESBURY PARK TERRACE [TSB-51] 36

MIDMOORE ROAD [TSB-58] 40

HAWTHORN ROAD [TSB-59] 44

THE NOOK [TSB-90] 48

HIGHFIELDS-LEICESTER [TSB-57] 52

GROVE COTTAGE [NO TSB] 56

EASTON ROAD [TSB-98] 60

BRENT [TSB-65] 64

CULFORD ROAD [NO TSB] 68

001_027.indd 3 07/11/2013 11:08

 p28 p56 p60 p68

p48 p40 p64 p98

p78 p102 p32 p94

p36 p86 p90 p44

001_027.indd 4 07/11/2013 11:09

 CHAPTER 3: POST-1919
CWMBACH [TSB-10] 74

BYRON SQUARE [TSB-25] 78

LYNTON [TSB-68/69] 82

NEWPORT SOMERTON [TSB-60] 86

PASSFIELD DRIVE [TSB-108] 90

STANMORE, LONDON [TSB-72] 94

PENZANCE [TSB-64] 98

HADDINGTON WAY [TSB-31] 102

COACH ROAD [TSB-77 and 78] 106

CHAPTER 4: comparative commentary

WINDOWS 114

AIRTIGHTNESS 119

M&E AND COMFORT VENTILATION 119

USER GUIDE BOARD 122

OCCUPANT INTERFACE 123

FORM FACTOR 123

SKILLS AND UNDERSTANDING 123

COORDINATION 124

PLANNING 124

COSTS 125

CONCLUSION 126

ABBREVIATIONS 127

PICTURE CREDITS 128

001_027.indd 5 07/11/2013 11:09

 DEFINITIONS
1. Units
Unit used What does it mean?
kWh/m2 per year
Kilowatt-hour per square metre of floor area per year. This is used to
express energy usage of a building, particularly for space heat demand,
also:
but can also be used for electricity and hot water. Also used for the
kWh/(m2yr)
production of solar power per square metre of solar panel.
kWh/(m2a)
Kilograms of CO2 (and equivalent gases) per square metre of floor area
kgCO2/m2 per year
per year. This is the ‘carbon footprint’, or CO2 pollution of the associated
energy use of a building or associated CO2 emissions from the fabrica-
also:
tion of building materials. Can also be tons CO2 per year (1 ton is 1000kg)
kgCO2/a
and for the whole building can be expressed as kgCO2/a or kilograms of
or kgCO2/(m2a)
CO2 per year.
This is the greenhouse potential of emissions, considered as if they
were all CO2. CO2e can be used to measure the global heating potential
CO2e
of gases other than CO2, a mixture of CO2 and other gases and even pure
CO2 because one unit of pure CO2 = 1 unit of CO2e.
Kilogram of CO2 emissions per kilowatt hour. Used for fuel CO2 conver-
kgCO2/kWh sion. SAP 2009 fuel conversion factors have been used throughout the
book.
W/m2 To express solar radiation. 1 kWh/m2 per year = 8.76 W/m2
Thermal conductivity: The lower the value, the better the material’s
W/mK
(k-value)
ability to insulate. Watts per metre per degree temperature difference in
Kelvin or Celsius.
Is the thermal transmittance coefficient and is the rate of heat transfer
W/m2K through 1 m2 element with a 1°C/K temperature difference. (Watts per
(U-value) square metre of surface per degree temperature difference across it.)
The lower the U-value, the better insulating it is.
Cubic metres (volume) of air exchange per square metre of floor area
per hour, resulting from a 50 Pa pressurisation test. Used instead of
m3/(m2h)
ach-1 (air changes per hour). This means a volume of 1 m3 of air per hour
is exchanged through 1 m2 of building element.
Cost per kWh or £/kWh. In the book, 3.7 pence per kWh of gas and 11
pence per kWh electricity have been used. Future projections can be
pence/kWh
obtained from: http://www.decc.gov.uk/en/content/cms/statistics/
projections/projections.aspx – Guide F
Source: Sofie Pelsmakers (2012) ‘The Environmental Design Pocketbook’ RIBA Publishing Page 32
2. Energy supply and demand
• Primary energy demand (kWh/m2yr) or (total energy demand)
Includes energy consumption for: Space heating, hot water, lighting, fans,
pumps, cooling, cooking, appliances etc.
• Primary energy demand is divided into two categories:
– Regulated: Is the “regulated” (Building Regulations) use of energy in a
building. It comprises of space heating, hot water, ventilation, cooling and
fixed lighting.
– Unregulated: This includes energy for cooking, all ‘plug’ in devices and
appliances such as TVs and computers.
Unregulated energy use is difficult to estimate as it depends on individual
user behaviour. Generally around 75% of all electricity use in a dwelling is for
unregulated energy use.
Source: Sofie Pelsmakers (2012) ‘The Environmental Design Pocketbook’ RIBA Publishing Page 277
3. Primary and final energy demand
The concept of primary energy is used to denote the total energy needed in order
to generate the final energy service, including inputs and losses along the entire
supply chains. Primary energy use, in contrast to final energy use, determines
the natural resource use and the environmental impact of supplying the energy
services.
Source: Ambrose Dodoo, Leif Gustavsson, Roger Sathre (2011) ‘Primary energy implications of
ventilation heat recovery in residential buildings’ Page 3
PII: S0378-7788(11)00063-6   DOI: doi:10.1016/j.enbuild.2011.02.019   Reference: ENB 3135
4. Proposed Carbon emission factors and primary
energy factors for SAP 2012
The definition of primary energy used to calculate the SAP factors can be
summarised as follows: primary energy includes all energy found in nature that
has not been subject to any conversion or transformation process. It includes
the energy contained in raw fuels as well as other forms of energy received as
input to the energy supply system. Primary energy covers both renewable and
6 RESIDENTIAL RETROFIT
001_027.indd 6
non-renewable energy sources and the definition used here is in accordance with
EN 15316-4-5 which states that ”…Waste heat, surplus heat and regenerative heat
sources are included by appropriate primary energy factors.”
Source: Christine Pout, BRE (Dec 2011) ‘Proposed Carbon Emission Factors and Primary Energy
Factors for SAP 2012’ SAP Crown Copyrights. Page 14 http://www.bre.co.uk/filelibrary/SAP/2012/STP11-
CO204_emission_factors.pdf
5. Energy standards
AECB Silver
70% reduction in primary energy and CO2 emissions compared to average UK
building of that type. As applied to a typical dwelling
• Useful space heating energy: 40 kWh/m²yr
• Primary energy consumption: 120 kWh/m²yr
• CO2 emissions: 22 kg/m²yr
AECB Gold
85% and 95% reductions in primary energy and CO2 emissions compared to average
UK building of that type. As applied to a typical dwelling
• Useful space heating energy: 15 kWh/m²yr
• Primary energy consumption: 58 kWh/m²yr
• CO2 emissions: 4 kg/m²yr
PassivHaus
• Space heat demand: 15 kWh/m²yr
• Heating load: 10 W/m²
• Pressurisation test result: ‹ 0.6 ACH @ 50 Pa
• Primary energy target for PassivHaus is 120 kWh/m²yr. Primary energy target
for PassivHaus in a UK context is 78 kWh/m²yr
Enerphit
• Primary energy: ‹120 kWh/m2yr + ((space heat demand-15 kWh/m2/yr)*1.2)
• Space heat demand: ‹25 kWh/m2/yr OR meeting criteria for individual
components.
• Pressurisation test result: ‹1.0 ACH @ 50 Pa
6. Retrofit for the Future
Energy performance targets for the Retrofit for the Future programme were based
on an 80% reduction in CO2 from an average 1990 baseline for a typical 80 m² semi-
detached house of 97 kg CO2/m²yr
• CO2 target: 17 kg/m²yr (if modelled in SAP) and 20 kg/m²yr (if modeled in PHPP*)
• Primary energy target: 115 kWh/m²yr
• Space heating: No specific target was set but if the above targets are met, space
heating requirements should necessarily be low (i.e. around 40 kWh/m²yr)
7. Airtightness
Air leakage, air permeability and air infiltration all express the amount of air
exchanged through 1 m2 of thermal envelope. The terms are synonymous. They
are given in m3/m2 per hour (at 50 Pa) which is the standard UK convention of
expressing airtightness. The air leakage index excludes the solid ground floor area
from the thermal envelope.
Source: Sofie Pelsmakers (2012) ‘The Environmental Design Pocketbook’ RIBA Publishing Page 210
8. U-values
Thermally insulating materials do not readily allow heat to pass through them.
They reduce space heat demand by delaying the transfer of heat from warm to cold
spaces. This reduces the operational energy and carbon footprint of the building. All
materials have the capacity to delay heat transfer to some extent; the UK Building
Regulations identify good thermal insulators as having a low k-value. ‘Super
insulated’ buildings are defined by the intelligent use of materials, design, and
construction detailing that contributes to significantly reduced heat losses from the
building fabric,
• k-value or l-value (W/mK) is the thermal conductivity, which gives the rate at
which heat is conducted through materials. The lower the figure, the better the
insulation.
• The R-value (m2/WK) is the thermal resistance of a material/construction layer
and is simply the thickness of a material divided by its k-value. The greater R,
the better its thermal resistance.
R = Thickness (m)
k-value (W/mK)
07/11/2013 11:09
 • U-value (W/m2K) is the thermal transmittance coefficient and is the rate of
heat transfer through 1m2 of an element with a 1˚C temperature difference. The
smaller the U-value, the better the element is at resisting this heat transfer.
U-values are calculated as follows:
U-value = 1 .
sum of R-values
Source: Sofie Pelsmakers (2012) ‘The Environmental Design Pocketbook’ RIBA Publishing Page 203,204
9. Thermal Bridging
An area weighted U-value takes into consideration the combination or layering
of materials used to create a build-up. It should include adjustments for thermal
bridges.
Thermal bridges are areas with reduced insulation or locally higher U-values.
They allow significant heat losses and potential for local surface condensation and
mould growth. It is estimated that up to 25% of internal heat can be lost through
thermal bridges.1 In a typical house, the heat lost can be as much as 15 kWh/m2 yr,
while on a PassivHaus this is reduced to around 1-5 kWh/m2 yr.2
There are different types of thermal bridges:
• Repeating thermal bridges tend to be evenly distributed in the thermal
envelope, e.g. steel cavity wall ties; mortar in insulated blockwork, studs and
additional structural timber components in panel constructions.
• Non-repeating thermal bridges or linear thermal bridges are intermittent and
usually occur around openings and where materials with different k-values
make up the thermal envelope, e.g. around windows and other openings but
also cantilevered balconies.
Geometrical thermal bridges result from the shape of the thermal envelope. They
can be two or three-dimensional, depending how many planes intersect, e.g. wall/
roof and wall/floor junctions. Corners are particularly sensitive as they have a
greater external surface area exposed than internal surface area.
Source: Sofie Pelsmakers (2012) ‘The Environmental Design Pocketbook’ RIBA Publishing Page 208
10. Renewables
VHR and MVHR
• Ventilation with heat recovery (VHR) can remove contaminants, smells and CO2
while providing oxygen and a base heat, simply by extracting stale air and using
it to pre-heat fresh air supply with a top-up heating source.
• MVHR is a form of air-to-air heat-pump which uses hot internal air as its
source to heat fresh colder air. It can provide all the ventilation and space
heating demands of a well-insulated dwelling such as PassivHaus.
• It is always recommended in buildings with airtightness ‹3 m3/m2h.3 If
airtightness standards are less than 1 m3/m2h, such as in the PassivHaus
standard, ventilation with heat recovery negates the need for traditional heating
systems. Generally the required ‘top-up’ heating is provided via air-to-air
heating or much smaller localised radiators/heaters.
Source: Sofie Pelsmakers (2012) ‘The Environmental Design Pocketbook’ RIBA Publishing Page
158,159,208, 368
Heat pump
A heat pump does not create energy. It extracts heat from one location (the
‘source’), upgrades the heat and then moves it to another location (the ‘sink’). The
source of heat can be the ground, water or air.
Source: Sofie Pelsmakers (2012) ‘The Environmental Design Pocketbook’ RIBA Publishing Page 362
Air source heat pump
Heat from the air even when outside temperatures are low. They are less efficient
than ground source heatpumps since the external air is cooler than the ground.
The air source pump is least efficient in winter which is exactly when space heat
demand peaks. Its efficiency also drops when used for hot water provision.
Source: Sofie Pelsmakers (2012) ‘The Environmental Design Pocketbook’ RIBA Publishing Page 366
001_027.indd 7
Ground source heat pump
Throughout the year, soil temperatures 10 metres deep are fairly stable at 10–14°C.
This ‘base heat’ or ‘coolth’ can be harvested by a GSHP. Pipework is inserted into
the soil horizontally, vertically or with ‘slinky coils’.
Labyrinths
Labyrinths or ‘earth tubes’ involve supplying fresh ventilation air to the building
via heavy earthenware pipes buried underground or via elaborate underground
(basement) structures built from materials of high thermal capacity.
In summer the underground temperature is lower than the air temperature, so
the incoming air is cooled as it passes through the earth pipes or labyrinth. Some
fan-power is required to move the air through the pipe or labyrinth, but essentially
the cooling is ‘free’.
In winter the underground temperature is higher than the air temperature, meaning
that the ventilation air is slightly pre-warmed and requires less heating before it is
supplied to the occupied spaces.
Source: RIBA, Climate change toolkit-03 Principles of Low Carbon Design and Refurbishment
http://www.architecture.com/Files/RIBAHoldings/PolicyAndInternationalRelations/Policy/
Environment/2Principles_LC_De sign_Refurb.pdf
Photovoltaic
Photovoltaic (PV) cells convert the sun’s energy directly into electricity which, when
converted from DC to AC, can be used to help meet a building’s electrical power
demands.
There are different types of PVs:
• Monocrystalline (1 kW peak ≈ 7.5 m2)
• Polycrystalline (1 kW peak ≈ 10 m2)
• Amorphous PV (1 kW peak ≈ 20 m2)
Source: Sofie Pelsmaker (2012) ‘The Environmental Design Pocketbook’ RIBA Publishing Page 334
Solar thermal
Solar hot water or solar thermal panels convert energy from the sun into hot water.
They can provide heat for space heating and hot water
There are two types of solar collectors – flat plate and evacuated tube.
Source: Sofie Pelsmaker (2012) ‘Environmental Design Pocketbook’ RIBA Publishing Page 339
11. Key recommendations for thermal comfort:
• Relative humidity is 40–70%. Over 70% can lead to mould growth, which
aggravates asthma and allergies.
• Warm feet and a cool head: achieved with underfloor heating (24ºC). Occupants
experience discomfort if the temperature at foot level is below 19ºC or is 3ºC
lower than the temperature at head level.
• Ideal internal temperatures are 20–24ºC in winter and 22–27ºC in summer.
• Ensure adequate ventilation to keep internal CO2 concentrations below
1000 ppm. With windows closed, levels are usually below 800 ppm.4 Levels above
this are not hazardous but may make a room feel stuffy. 5000 ppm is considered
to affect concentration and respiration.5
• To retain winter internal air quality, use whole house ventilation with heat
recovery (MVHR) if airtightness ‹ 3 m3/m2h.
• Internal air movement between 0.1 and 0.3 m/s:6 Occupants experience
discomfort near cooling/air outlets, which can reach 3 m/s.
• ‘Adaptive comfort’: User control allows each person to achieve thermal comfort
by adapting the internal environment. For example, the opening/closing of
windows/blinds and adjusting heating/cooling controls.
Source: Sofie Pelsmaker (2012) ‘The Environmental Design Pocketbook’ RIBA Publishing Page 136
RESIDENTIAL RETROFIT 7
07/11/2013 11:09
 Foreword The essence of sustainability in buildings is their capability to adapt to change
over time. The UK has a large housing stock that has developed and evolved over
generations and has become the fabric and character of our cities, towns and
neighbourhoods.

The capability of buildings to adapt to changing lifestyles is the root of their

sustainability. When buildings do not adapt they are disposed of, since it is only active
use that confers value. It is only value that provides necessary investment for renewal.

With housing shortages, building inefficiencies and finite resources, it is essential that
we approach the reinvention of our existing building stock with creative, knowledgeable
and holistic thinking. Sharing practical experience must be part of the solution. This
book endeavours to share many experiences of retrofit.

Retrofit, renovation, refurbishment, restoration and repair are all terms describing
building work undertaken to existing buildings to extend their useful life. In the context
of this book, the term ‘retrofit’ is used specifically to refer to the upgrading of a building
to enable it to respond to the imperative of climate change. The book shows what
others have done to achieve this, and seeks to share the knowledge that has been
gained as a result.

While the concept of carbon reduction is one of the driving forces behind the overall
strategy, another major objective has been to improve comfort levels for families and
combat fuel poverty for social housing tenants. With energy costs rising inexorably,
the key to both has been to improve energy efficiency. Additionally, related concepts
such as carbon sequestration and the minimising of embodied energy in selected
materials have been significant objectives for some of the designers.

It is seldom useful to consider retrofit in isolation as property owners are equally

concerned with maintenance and repair, upgrading and adding amenities, and meeting
enhanced regulatory requirements. These concerns can often seem to be a greater
priority than retrofit, which gives longer-term returns, and less tangible – but no less
important – benefits. Given these competing pressures for finite resources, it is critical
that we build confidence in clients, architects, designers and builders so that investing
in specific retrofit measures will produce the expected benefits.

Perhaps the most important step in promoting greater investment in retrofit strategies
is to establish which of these achieve the most success and to identify both initial
installation costs and longer-term savings. This book tackles these issues by providing
detailed case studies of a wide range of houses of various ages and constructions.
The approach to the individual houses varies depending on the priorities of owners
and landlords and whether the work was to be undertaken under occupied or vacant
conditions. What emerges from the case studies is how a wide range of approaches
is possible and how complex the interplay between investment in insulation and M&E
services needs to be. This is well illustrated by the ingenuity of the architects and
engineers responsible for each case study.

8 RESIDENTIAL RETROFIT

001_027.indd 8 07/11/2013 11:09

 While some property owners may be interested in stand-alone retrofit investment,
for many an approach that seeks to combine retrofit with other repair and improvement
work will be more attractive. Ideally, all property owners will seek to incorporate retrofit
objectives whenever they are planning other work, but for many it is just one of too
many priorities competing for an inadequate budget. It is therefore important to place
retrofit in the wider context of planned cyclical maintenance programmes and the more
major upgrading which all homes need every 25 years or so. Many of these case studies
provide thought-provoking approaches to achieving precisely this outcome.

Arguably, repair and restoration requirements are initially driven by the state of
the fabric of the building, whereas improvements, including retrofit, are driven by
a conscious desire to upgrade the fabric and improve amenities and services to
enhance the experience of occupants. While the former will be based on a detailed
building condition survey, effective improvements require an intimate knowledge of
how occupants use their home. A number of case studies illustrate the care exercised
by clients and architects in thoroughly exploring these issues as part of the design
process. This must be a crucial area for further research: the costs of the work
described suggest that most building owners will have to make difficult decisions about
where to focus their retrofit efforts in order to maximise returns on a limited budget.
Only by understanding, and designing for, the lifestyles of occupiers will designer and
client be in a position to ensure that the retrofit strategies which they adopt will be the
most effective.

The key lesson that emerges from this brilliant compilation of innovative design and
engineering exemplars is that every one of us needs to develop specialist skills to
undertake this work effectively. Although advanced modelling now enables amazingly
detailed interrogation of an infinite range of strategies, this can only take us so far.
We need to re-learn our building physics and hone our ability to integrate innovative
fabric design into our buildings. This approach, coupled with innovative services designs
properly suited to 21st-century lifestyles, has to be the way forward.

Dickon Robinson Paul Davis

Chair, RIBA Building Futures Chairman Paul Davis + Partners

RESIDENTIAL RETROFIT 9

001_027.indd 9 07/11/2013 11:09

 10 RESIDENTIAL RETROFIT

001_027.indd 10 07/11/2013 11:09

 P ra c t i c e P r o fil e Marion Baeli is an architect and associate at Paul Davis + Partners, a strong London-
based international practice known for skilful integration of contemporary architecture
within historic environments and expertise in high-end residential, commercial, civic
and mixed-use projects. The practice also has a strong sustainability agenda applied as
part of their design approach to all projects.

Winning a contract within the Retrofit for the Future competition in 2010 for Princedale
Road has enabled the practice to develop key skills in retrofits and along with the
whole design team to deliver a project which was awarded in 2011 the first PassivHaus
accreditation for a UK residential retrofit. There is an internal ‘Green Group’ researching
topics to enhance projects for increasingly important sustainability requirements,
as well as three in-house certified PassivHaus designers. There is also a significant
increase in the training for low energy design tools.

The practice sees each project as a new challenge and approaches it with an open mind,
intellectual rigour and enthusiasm to ensure an exceptional design solution.

PD+P has recently opened an office in Covent Garden, has an office in Hong Kong,
pdp[east], and is currently collaborating with other architectural practices worldwide.

The practice won the AJ100 2012 ‘Practice of the Year’ and ‘Best Sustainable Practice of
the Year’ awards. More recently, the practice won the ‘Best Small Project’ AJ100 Retrofit
Award and the Gold Award for ‘Architectural Heritage’ by Green Apple for our Princedale
Road PassivHaus Retrofit, in this publication as ‘Princedale Road (TSB No.28)’.

The project was also commended for ‘Best Sustainability Project’ by the London District
Surveyors Association and shortlisted for the ‘Best Retrofit Design’ by the British
Institute of Interior Design and ‘Best Retrofit’ in the UK PassivHaus Awards in 2012.

RESIDENTIAL RETROFIT 11

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001_027.indd 12 07/11/2013 11:09
 CHAPTER 1
introduction

001_027.indd 13 07/11/2013 11:09

 The UK housing stock holds a strong identity and cultural significance for the British
and for people across the world. Rows of Victorian terraces with coloured front doors
are often seen as a quintessential part of the British aesthetic. It is a recognisable
housing stock and one of the oldest in Europe with 55% of its dwellings dating from
before 1960.1

As they were built at a time when the use of fossil fuels, emissions of greenhouse gases
and the expectation of changes to our climate were not a concern for people across
the planet, the building fabric of these houses was not originally designed to retain
heat energy particularly well and their occupants adapted to the vagaries of UK winter
temperatures and an average indoor temperature around 12ºC mainly by adjusting their
attire.2

Since then, standards of comfort and our outlook on activities surrounding our energy
use, in particular in the built environment, have changed vastly. Rising levels of
greenhouses gases, mainly CO2, are increasingly becoming a concern for most of the
world’s governments. Recent UK governments have recognised this concern and in
2008 introduced a legally binding Act of Parliament targeting a reduction of greenhouse
gas emissions of at least 80% by 2050, with a reduction in emissions of at least 34% by
2020 (both targets are set against a 1990 baseline).

DECC (the UK Department of Energy and Climate Change), the key department in
charge of implementing these targets, is undertaking extensive research into the field.
In particular, they have identified that in 2009, 38% (678 TWh/yr) of the UK total CO2
emissions came from ‘buildings in use’ and, more relevantly, that 28% (501 TWh/yr) are
directly linked to ‘residential buildings in use’.3 However daunting this sounds, being
part of the problem means that those UK residential buildings are also part of the
solution.

But retrofit is not only about participating in the reduction of CO2 emissions. It is also
about avoiding the dilapidation of buildings that have become uninhabitable, helping to
future-proof houses against the risks of fuel poverty and, last but not least, providing
comfort for occupants.

1 http://bpie.eu/ page 36 Figure 1B1 – Age profile of residential floor space

2 www.decc.gov.uk/assets/decc/11/stats/climate-change/3224-great-britains-housing-energy-fact-file-2011.
pdf page 100
3 www.decc.gov.uk/assets/decc/11/stats/climate-change/3224-great-britains-housing-energy-fact-file-2011.
pdf page 5

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 So what are the solutions?

With 27 million existing dwellings and only 120,000 new homes built every year, most of
which are additional, the solution of relying purely on the new housing stock would fall
a long way short of the Climate Change Act target. Over two-thirds of the 2050 housing
stock has already been built; therefore the challenge is deciding what can be done with
existing buildings. How can we ensure their continuing use, ensure continuing financial
investment to avoid dilapidation, ensure that they are still representative of British
cultural identity and at the same time deliver the levels of reduction in energy use
required to address the impending environmental crisis?

Research needs to be carried out and solutions offered to all parties – homeowners,
landlords, builders, tenants, housing associations – to help them achieve the required
level of reduction in energy use. Equally important is the need to provide an adequate
level of indoor comfort and quality of life for the 18% of all householders4 falling into
fuel poverty,5 most of whom live in the least efficient housing stock.

So what options do we currently know of that could transform old houses to both offer
comfortable environments and do so in a way that is responsible and not detrimental to
people’s future? Could demolition and rebuild be an option?

Several interesting reports have been written to help answer this question. They do not
offer a clear-cut answer, of course, as many factors play an important role in this issue,
such as the quality and efficiency of the replacement building, its embodied carbon
level and the cost of energy in the future among others. However, the overall balance
seems to lean towards a retrofit option rather than demolition and complete rebuild for
the following reasons:

From a societal point of view, retrofit seems to be more acceptable than complete
rebuild,6 especially when complete relocation would be necessary (see Pathfinder
programmes7). Addressing the issue ‘in situ’ could also provide a boost for existing
communities to implement greatly needed revitalisation schemes and help people
out of fuel poverty by assisting them to confront increasing fuel prices and adverse
effects on their health and standard of living. It could also potentially create long-
term employment by encouraging the industry to develop the necessary skills and
technologies to implement these retrofits.

4 www.poverty.org.uk/80/index.shtml#g2
5 www.poverty.org.uk/80/index.shtml#g2 Households are considered by the Government to be in ‘fuel
poverty’ if they would have to spend more than 10% of their household income on fuel to keep their home
in a ‘satisfactory’ condition. It is thus a measure which compares income with what the fuel costs ‘should
be’ rather than what they actually are. Whether a household is in fuel poverty or not is determined by the
interaction of a number of factors, but the three obvious ones are:
 the cost of energy; the energy efficiency of the property (and therefore, the energy required to heat and
power the home); household income.
6 A. Power, Does demolition or refurbishment of old and inefficient homes help to Increase our
environmental, social and economic viability?, Elsevier Ltd. (2008).
7 www.audit-commission.gov.uk/housing/marketrenewalpathfinders/pages/default.aspx
Grant Shapps [holding answer 10 July 2012]: I refer the right hon. Member to my answer of 25 June 2012,
Official Report, columns 10-11W, which outlines the damaging obsession with demolition under the last
Administration’s Pathfinder scheme, and the role of central Government in promoting demolition targets.
The figures in the Audit Commission reports were provided by local authority pathfinders. I would also note
the National Audit Office’s estimate that there were plans for a total of 57,100 properties to be demolished.
This Government has cancelled the Pathfinders programme and is instead actively seeking to get empty
homes back into productive use.

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 From an environmental point of view, retrofits have proven to have typically far lower
impact. Retrofitting rather than rebuilding could make an initial saving of 35 tonnes of
CO2 per property by removing the need for the energy locked into new build materials
and construction.8 They could also help address the increasing scarcity of materials and
pressure on land availability across the country.

So addressing the inefficiency of our building stock by providing instead highly efficient
and responsible living places would seem to be a way to play a significant part in
achieving CO2 emissions reduction. However, as explained above, this is not purely a
matter of limiting damage from the adverse effects of climate change; it is also a much
wider opportunity for our society to become more sustainable as a whole.

8 D. Thorpe, Sustainable Home Refurbishment (2010), 4.

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 How is retrofit defined?

For the purpose of this publication, it is important to clarify what is meant by ‘retrofit’.
It will be defined here as a construction approach involving the action of introducing
(retrofitting) new materials, products and equipment into an existing building with the
aim of reducing the use of energy of the building. The term ‘retrofit’ is used in this
publication to differentiate these projects from ‘renovations’ or ‘refurbishments’, which
are often related to making good, repairing and/or aesthetically enhancing an existing
building.

The phrase ‘deep retrofit’ is often used. The ‘deep’ character of a retrofit project further
implies that the combination of elements introduced will have a very strong impact on
the existing building’s level of CO2 emissions, typically aiming for an 80% reduction in
line with the Climate Change Act target figure.

It is worth mentioning that achieving a CO2 emission reduction target of 80% implies
a level of energy efficiency that vastly surpasses the current Building Regulation (and
even BREEAM refurbishment) mandatory requirements for works on existing dwellings,
and even surpasses current performance requirements for new build dwellings.

About this book and the Retrofit for the Future programme

In this publication, you will find 20 case studies that aim to illustrate how UK
practitioners have approached this challenging target in the context of existing
residential buildings. All but two of the case studies have been drawn from the Retrofit
for the Future programme (described on the following page) and have similar typology
(individual houses; there are no flats), tenure (social tenants), budget (including
£150,000 funded by TSB) and targets (reducing CO2 emissions by 80%). Each of the
Retrofit for the Future project teams followed their own procedures for designing their
retrofit strategy, but had the same way of defining a baseline project pre-retrofit against
which the proposed measures could be compared and the same energy prices.

These individual houses have also been chosen to represent the UK housing stock in
all construction variety – solid masonry, cavity walls, timber frame etc. – classified into
two categories as either ‘pre-1919’ or ‘post-1919’ (corresponding to the time when UK
construction techniques shifted from solid masonry to more efficient construction with
cavity walls), to offer as wide a picture as possible of what retrofit can entail.

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 So these projects are certainly pioneering – among the first in the UK to aim for such
levels of efficiency – but they were all also designed to lead to solutions that are
replicable on a much larger scale. For example, they mostly use materials and products
that are mainstream and readily available in the UK and can be mostly installed with
standard skilled labour. Of course difficulties have arisen and the need for further
developments is certain, but these cases are aiming to draw out useful lessons learned
for the whole industry as we are considering large-scale implementation of these deep
retrofits.

The Retrofit for the Future (RftF) programme was initiated by the Technology Strategy
Board in 2009 with £17 m of funding through the Small Business Research Initiative
(SBRI). The aim was to demonstrate innovative approaches to deep retrofitting of the
UK’s social housing stock.9

The RftF programme was split into two phases: Phase 1 saw 194 design and feasibility
studies developed, while Phase 2 took 86 of these studies and provided each with up to
£150,000 to implement the retrofit proposals in more than 100 properties. Eighteen of
the 20 projects presented in this publication are drawn from the RftF programme and
they represent a cross-section of different building types, ages, regional locations and
technological solutions.

Applicants to the RftF competition were required to take a ‘whole house’ approach to
achieving an 80% CO2 emission reduction target. This meant considering a household’s
energy needs and CO2 impacts as a whole, and establishing a comprehensive package
of measures to reduce them. To maximise the amount that the industry could learn
from the projects, applicants were also required to include a comprehensive set of
monitoring equipment in accordance with a standard specification. A central online
database collects energy and environmental performance data from each of the
projects and analysis of this data will be a key output from the RftF programme.10

9 www.retrofitforthefuture.org/leb/about-the-leb-database/
10 www.retrofitanalysis.org

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 UK housing stock profile – condition

In order to provide some background information for these case studies, it is important
to give some basic characteristics for the UK housing stock and reference current
government policies that apply to them.

The UK housing stock is one of the oldest in Europe. It includes almost 13 million
dwellings built before 1960, including 4.7 million built before 1919, which is the least
energy-efficient housing type of all. These now much-loved Victorian homes have a
staggering average mean energy use (heating and lighting) of 480 kWh/m2/yr (emitting
9 t CO2/yr), while the more recent post-1990 dwellings’ mean energy use is little more
than half of this figure at 270 kWh/m2/yr (emitting 4.5 t CO2/yr).11 This difference is due
to a better understanding of building physics through the years, the introduction of
cavity wall construction (primarily implemented to prevent the passage of moisture into
the interior of the building) and building regulations that are gradually becoming more
stringent on the efficiency of building thermal envelopes.

The Victorian housing stock is certainly the most ‘energy-hungry’ of all housing
stocks in the UK. However, it is important not to automatically classify it as inherently
inefficient.

In fact, a Victorian terraced house property with a small footprint will have a relatively
small heat loss factor (area of heat loss/treated floor area, approximate GIA) in
comparison with, for example, a detached bungalow built in the 1960s, which will have a
vast heat loss area in comparison to its floor area. The lower the ‘form factor’, the lower
the insulation thickness required to achieve the same total heat loss.

It would also be wrong to consider all Victorian properties as not inherently airtight
either. When the internal layer of plaster is continuous and in good condition, it is not
uncommon to find Victorian properties achieving an airtightness of five air changes per
hour (ACH). With good care and repairs, this existing layer of plaster can be used in
retrofits as part of the airtightness strategy.

These two examples – form factor and airtightness – only point out the importance of
approaching a retrofit project free of any preconceived ideas of the existing performance
of a building and free of ready-made solutions as there is no ‘one size fits all’ approach
in retrofit. Each proposal presented in this publication is unique to the property and the
result of a careful assessment by a knowledgeable practitioner.

11 English House Condition Survey 2007 Annual Report – Communities and Local Government

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 Strategies for retrofit

So how can the most energy-hungry dwellings be turned into more efficient homes?
In a typical house, the activity that requires the most energy is by far space heating,
representing approximately 58% of the total energy use.

58% space heating

24% water heating
16% lighting + appliances
3% cooking

Typical domestic energy use 200912

So to be most effective, a retrofit strategy should always focus primarily on reducing the
space-heating demand, i.e. enhancing the capacity of the building fabric and services
to retain the heat inside the building. This is achieved by the retrofitting of low heat
transfer elements (that are capable of stopping the heat from escaping), typically with
the installation of a significant layer of insulation on the external walls, ground floors
and roofs, and the upgrading of windows and doors combined with particular attention
to airtightness to avoid draughts and potential heat loss paths. This approach is
commonly called the ‘fabric first’ approach, which forms the basic principle of all ‘deep
retrofit’ cases that are presented in this publication.

It is fair to say that most of the projects presented here applied a fabric first approach
via the criteria set by the PassivHaus standard. Most teams used the PHPP software
(PassivHaus planning package) to calculate the energy demand and comfort levels of
their design. In summary, the PassivHaus criteria include:

 airtightness: 0.6 ACH @ 50 Pa (a comfort criterion)

 a surface temperature ≤ 17°C (a comfort criterion)
 a summer overheating limit of maximum 10% over 25°C (a comfort criterion)
 a ventilation rate of 30 m2/hr/person (a comfort criterion)
 a heating demand ≤15 kWh/m2 yr (an energy criterion)
 a primary energy demand ≤120 kWh/m2 yr (an energy criterion)

The aim of this standard is to provide low energy demand but also a very comfortable
living environment for the occupants as most of the criteria above relate to ‘comfort’
rather than solely to ‘energy’ demand.

12 Paul McCloghrie (2009) ‘Energy Efficiency in the UK Housing Sector’ London. DECC

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 7.3 Energy intensity is measured as primary energy consumption per unit of Gross Domestic
Product (GDP).To enable meaningful comparisons to be made between countries, the value of GDP
has been adjusted using purchasing power parities (PPP) to reflect the value of goods and services
in different economies.
UK housing stock in comparison with European housing stock profile
7.4 After adjusting for PPP, the UK has the lowest energy intensity of countries selected in chart 7.1.
While
In 2011 the
theUKUKhas a particularly
energy intensity ofold
1.1housing
TWh perstock
billion(see
USDgraph onprices
(2005 p22), PPP
all other European
adjusted) was 15 per
cent lowerare
countries thanofGermany, 22 persimilar
course facing cent lower than
issues ofJapan
having and
to28 per cent
address thelower
energythanefficiency
France.The
United
of their States consumed
own housing nearly twice as much energy per unit of GDP than the UK.
stock.

7.5 The non-OECD

Probably due to the age countries
of its shown
stock, have
on a much higher energy basis
climate-corrected intensity
thethan thea UK,
UK is China three
higher
times and India double in 2010.
consumer of energy per dwelling than the EU27 average, with two-thirds of countries
having
7.6 Whilelower consumption
some of this can bepercontributed
householdto inthe2008 (see graph
structure of thebelow). Since 2000,
UK economy, the trend in
however, the UKintensity
reducing energy has reduced
has also energy consumption
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thewhich
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itintensity
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United including
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France,
in Germany the Netherlands
and 14 per cent and in Sweden,
France. where consumption reduced by at least 10% over
that period.
7.7 In July 2012, qualitative analysis by the American Council for an Energy Efficiency Economy
(ACEEE)
While
69
the UK showed that, of the
has specific 12 largest
issues worldwhen
to address economies, the UKretrofit
considering is performing best overall on
(sash windows,
energy efficiency
for example), most indicators but thatthat
other issues there is still significant
practitioners room for
will come improvement.
across are common to
all European countries and we can hope that the lessons learned will gradually be
Domestic
shared across Europe and the knowledge of best practice disseminated. A recent
report, Europe’s buildings under the microscope, a country-by-country review of the energy
7.8 Since there is a strong correlation between domestic energy consumption and heating demand
performance
it is best to makeof buildings,
comparisonskick-started the spread
after adjustments haveofbeen
European
made fordata and research
climatic on how
differences.
best to embrace this challenge.13
Chart 7.2: Household energy consumption per dwelling, climate adjusted – 2009
35,000

30,000

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kWh/dwelling

20,000

15,000

10,000

5,000

0
ria
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69 http://www.aceee.org/sites/default/files/publications/researchreports/e12a.pdf

13 M. Economisou et al (2011) “Europe’s buildings under the microscope, a country-by-country review of the energy
performance of buildings” Building Performance Insitute Europe

Note: This ODYSSEE indicator is scaled to the average European climate, which enables fairer comparisons to be
made across EU Member States.
Source: www.gov.uk/government/uploads/system/uploads/attachment_data/file/65964/1524-eu-energy-
efficiency-household-trends-art.pdf
www.odyssee-indicators.org/publications/PDF/Buildings-brochure-2012.pdf

RESIDENTIAL RETROFIT 21

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 Age profile of residential floor space

22 RESIDENTIAL RETROFIT

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 Green deal and ECO

Two years after the lauch of the RftF competition an Energy Act 201114 was adopted
in Parliament. It included provision for a different approach to financing energy
performance improvements in buildings known as the Green Deal. None of the projects
from this publication benefitted from this programme as under this policy, finance
packages (loans) used to fund energy efficiency retrofits are tied to the property rather
than to the owner or occupier. In this way a much longer time can be allowed for the
energy savings to repay the original investment because it does not have to be achieved
within the period of single ownership or tenancy. Projects within the Green Deal should
generally comply with the Golden Rule, which stipulates that the value of energy
savings should be equal to, or greater than, the finance repayments over the course of
each year. In addition, the new Energy Company Obligation (ECO) will provide a subsidy
to help cover the extra cost of providing insulation in solid wall and hard-to-treat
properties.15 Together, these policies should help stimulate a growth in the market for
energy-efficient retrofits in the UK.

14 www.decc.gov.uk/en/content/cms/legislation/energy_act2011/energy_act2011.aspx The
Act provides for a step change in the provision of energy efficiency measures to homes
and businesses, and makes improvements to our framework to enable and secure low
carbon energy supplies and fair competition in the energy markets.
15 Source: www.guardian.co.uk/environment/2012/jul/02/mps-loan-plan-home-insulation

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 Introduction to Chapters 2 and 3
With the exception of the two projects
that were not in the Retrofit for the
Future programme (Culford Road
and Grove Cottage), the information
and data presented in these chapters
have been gathered from the final
reports submitted by each team to
the Technology Strategy Board upon
completion of the built phase of each
project. The 20 project teams also
collaborated by providing additional
information such as images and post-
occupancy data, and all have been given
the opportunity to comment on the final
draft of this publication.
In order to best compare the 20 case
studies, they have been compiled
according to an identical four-page
layout.
24 RESIDENTIAL RETROFIT
001_027.indd 24
Page 1 has some key information on the
left-hand side. On the right is described
the project’s main characteristics in a
short paragraph, in a second paragraph
the author described an aspect of
the project which was found to be
particularly interesting.
Notes:
The internal floor areas shown are GIAs
(gross internal areas).
The primary energy figure pre-retrofit
is based on the SAP modelling of each
project which each team submitted to
the Technology Strategy Board.
Primary energy post-retrofit, as stated,
is either ‘calculated’, i.e. in SAP, or
‘measured’ as per actual monitoring data.
Page 2 describes the energy-saving
measures taken on the fabric, what kind
of services were installed and if there
were particularly interesting technology
(often renewables) installed. The Vital
statistics table gives the critical figures
of the projects related to primary energy;
space heating; airtightness; type of
glazing and CO2 emissions.
Note:
The data were provided primarily by the
teams and by the TSB own analysis. All
figures have been verified for accuracy
as much as possible at the time of
writing. As indicated, the data are also a
mixture of predicted and monitored data
and may contain a limited number of
presentational errors. Please note that
further data are available on the TSB
website (www.retrofitanalysis.org).
Page 3 features an isometric detailed
section illustrating how the fabric has
been retrofitted.
Note:
It was not possible to illustrate for some
projects all aspects of the energy-saving
measures implemented on the fabric, in
particular where different approaches
have been taken for different façades.
Please refer to the text description for
more information. There are some cases
where only the internal insulation detail
has been shown; however, the project
also includes external insulation on
other external walls. The author has also
deliberately not included manufacturers’
names in order to place emphasis on the
materials rather than the brands.
Page 4 presents a cost summary,
monitoring data and project particulars.
Note:
Regarding the cost data, please note
that the following are not incorporated:
contractor’s prelims; design fees;
monitoring costs (installation, equipment
or collection of data); VAT.
As one-off designs incorporating many
novel materials and technologies, the
Retrofit for the Future projects are
unlikely to have representative costs
compared to replications involving larger
numbers of properties. Hence, although
the cost of individual measures and their
installation will be of interest, what will be
of more use are the details of the features
that made the retrofit projects more or
less expensive than expected. Focusing
on these issues will help with potential
replication projects, among others, in the
future.
The TSB has published a separate report
on the cost of the retrofit projects. The
report is available on the TSB website
(www.retrofitanalysis.org).
07/11/2013 11:09
 PROJECT LOCATIONS

17
5

2
17 10
11
5 16
1
10 2
11
1 16 3
20
3
4
20 4

7
7
13
13 19
8 19
8
12
1 Princedale Road
15 12
1. Princedale
9
15 2 Bertram StreetRoad
14 2. Bertram Street
9 3 Shaftesbury Park Terrace
6 6 3. Shaftesbury
4 Midmoor Road Park Terrace
14 4. MidmoorRoad
5 Hawthorn Road
5. Hawthorn
6 The Nook Road
18 6. The Nook, Lovers Wal
7 Highfields–Leicester
7. Cottesmore
8 Grove Cottage Road
18 8. GroveRoad
9 Easton Cottage
9. Easton Road
10 Brent
10. Fortunegate
11 Culford Road
12 Cwmbach
11. Culford Road
13 Byron Square
12 Cwmbach
14 Lynton
13. Byron Square
15 Newport – Somerton
14. Babrook Road
16 Passfield Drive
15. The Turnstiles
17 Stanmore
16. Passfield Drive
18 Penzance
17. Tintagel Drive
19 Haddington
18. Atlantic
20 Coach Road
Crescent
19. Haddigton
20. Coach Road

RESIDENTIAL RETROFIT 25

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001_027.indd 26 07/11/2013 11:09
 CHAPTER 2
pre-1919

001_027.indd 27 07/11/2013 11:09

 PRINCEDALE ROAD
Pre-1919
TSB-28
Internal floor area: 115 m2
Primary energy
pre-retrofit calculated: 250 kWh/m2/yr
post-retrofit measured: 128 kWh/m2/yr
Client: Octavia Housing
Architect: Paul Davis + Partners
Contractor: Princedale EcoHaus
Consultants: Eight Associates; Green Tomato
Energy; Pellings Ltd
This project is the first residential retrofit in the UK to be
certified to the PassivHaus standard. It is a typical mid-19th
century London terraced house located in a conservation area.
The project features an internal insulation strategy; a unit
combining MVHR, an exhaust air heat pump and hot water
storage; solar thermal panels; prototype triple-glazed sash
look-alike windows; and an underground labyrinth that tempers
incoming ventilation air beneath the footprint of the house. The
performance of the house has been monitored and one year of
analysed in use data are presented here.
From the outset of the project, the client had set the target to achieve
full PassivHaus certification (EnerPHit standard did not yet exist).
On inspection of the property built in 1840, this Victorian house was
found to be in a very poor state of repair and in need of a significant
upgrade. The extent of the necessary repairs to the fabric and the
lack of original features inside suggested to the design team that an
intrusive approach was justifiable.
Above and beyond the state of the fabric a critical part of the
approach was the rethinking of the window and door design to satisfy
planning and PassivHaus. The new windows needed respectively to:
resemble the old Victorian single-glazed sash windows as closely as
possible to maintain homogeneity within the streetscape and also
have a minimal heat loss.*
Such windows didn’t exist at the time of the project so the decision
was taken with the client to design and manufacture them as an
R&D project. The outcome was a ‘look-alike’ sash window very close
in external appearance to the original Victorian one but formed of a
fixed top light and a bottom casement opening inwards with three
perimeter seals (picture below).
To produce these windows, the contractor was tasked with buying
the necessary machine tools and setting up a workshop. This involved
significant cost and time risks for the project overall; however, thanks
to the ingenuity of the contractor, target costs and programme were
achieved. The contractor was given the copyright for the windows and
doors produced and this undoubtedly incentivised his performance.
*PassivHaus criteria for window requires: a U-value no greater than 0.8 W/m²K, a
thermal bridge free installation, and to be well sealed as not to compromise the overall
house airtightness required to be a maximum of 0.6 ACH @ 50 Pa).

Front façade post-retrofit Sash look-alike casement window Front façade during works with internal
insulation layer

28 RESIDENTIAL RETROFIT

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Another random document with
no related content on Scribd:
decentration of the eye as if a prism were prescribed, nature
supplying its own decentration.

Treatment for Correcting Esophoria

in Children
In case of esophoria, regardless of amount, slightly increased
spherical power is frequently prescribed for children. This will
naturally blur or fog the patient’s vision, but in their effort to
overcome the blur, accommodation is relaxed, usually tending to
correct the muscular defect.
In such cases, as a rule, a quarter diopter increased spherical
strength may frequently be added for each degree of esophoria as
determined before the optical correction was made. In a case of 6
degrees of esophoria, the refractionist may prescribe +1.50 diopter
spherical added to the optical correction, which, let us assume, is
+1.00 sph. = -1.00 cyl. ax. 180°, so that the treatment glasses would
be +2.50 sph. = -1.00 ax. 180° (See Procedure on Page 74).
At the end of each three months’ period, the patient should be
requested to return, when the binocular and the duction test should
again be made, comparing results with the work previously
accomplished. An improvement tending to build up the left weak
externus will possibly permit of a decrease of the excessive spherical
power, so that excessive spherical power is reduced until completely
removed, in all probability overcoming the muscular defect.
Esophoria is almost invariably a false condition and frequently is
outgrown under this treatment as the child advances in years. On the
other hand, esophoria uncared for in the child may tend to produce
exophoria in the adult.

How Optical Correction Tends to

Decrease 6° Esophoria in a Child
 Assume binocular muscle test made
before optical correction shows
6° Esophoria.
+1. Sph. = -1. Cyl. Ax. 180.

Next, locate faulty muscle by making a duction

test, which shows how abduction of left eye is
made to equal that of right eye, change being
made quarterly with treatment lenses in
accordance with following rule. Note as
abduction is increased, esophoria is reduced.
Rule—prescribe a quarter diopter increased
sphere for each degree of imbalance or 0.25
× 6 equals:
+1.50 added to optical correction.
1/1/19 (assumed date) prescribed treatment
lenses equal:
+2.50 = -1. × 180°.

4/1/19 (3 months later) assuming abduction has

increased from 2° to 3° showing difference of
5 Es. or 0.25 × 5. equals +1.25 added to
optical correction, prescribed treatment lenses
equal:
+2.25 = -1. × 180.

7/1/19 (3 months later), assuming abduction has

increased from 3° to 4° showing difference of
4° Es. or 0.25 × 4 equals +1.00 which added
to optical correction would make prescribed
treatment lenses equal:
+2.00 = -1. × 180.

And so on, every three months treatment lenses

are prescribed until both right and left eye
show 8° of abduction. In this way the
treatment lenses are reduced to original
correction of +1.00 = -100 × 180. This would
have required six changes of lenses, three
months apart—thus consuming 18 months
time.
 Chapter X
SECOND METHOD OF TREATMENT—
MUSCULAR EXERCISE

Made With Two Rotary Prisms

and Red Maddox Rod

Exophoria

I f a case is one of exophoria of six degrees, where the second

method of treatment or muscular exercise is in line of routine, it is
essential to first determine through a duction test and the
preparation of the diagram exactly which one of the four muscles are
faulty (Fig. 24).
Having determined, with the aid of the diagram, first, the
existence of 6 degrees of exophoria; second, 18 degrees of
adduction; third, a weak left internus—the next procedure is to
determine what degree of prism will enable the patient to obtain
single binocular vision, with both eyes looking “straight.”
To determine this, place both of the Ski-optometer’s rotary prisms
in position with the handle of each pointing outward horizontally. The
red line or indicator of each prism should then be placed at 30° of the
outer scale (Fig. 26).
The red Maddox rod should be horizontally positioned before the
eye, the white line on indicator pointing to 180° of the scale (Fig. 27).
The strength of the rotary prism before the right eye should
thereupon be reduced by rotating the prism indicator or red line
toward the upper zero (0) to a point where the patient first sees the
red streak—assuming that the red line appears at 42 degrees, that is
30 degrees before the left eye and 12 degrees before the right.

Fig. 26 (A and B)—First position of rotary

prisms to determine amount of prism
exercise to be employed for building up
the weak muscle.
The prism should then be still further reduced until the vertical
streak produced by the Maddox rod directly bisects the muscle
testing spot of light. Assuming that this point be thirty-eight degrees,
which is four degrees less, single binocular vision is produced.
 Fig. 27—Position of red Maddox rod used
in conjunction with Fig. 26 for prism
exercising.
For example, sixty degrees of prism power (the combined power
of the two rotary prisms) will usually cause complete distortion.
Therefore, as outlined in Figure 28, the patient, seeing only out of
the right eye, will detect nothing but a white light. By gradually
reducing the strength of the prism before the right, which is the good
eye, the patient will eventually see a red streak off to the left. A
continued and gradual reduction to a point where the red streak
bisects the white light, will determine how much prism power is
required for the patient to obtain single binocular vision, thus
establishing the same image at the same time on each fovea or
retina (Fig. 20).
This has taught the patient to do that which he has never before
accomplished. Therefore, after having been taught how to make the
two eyes work in relation to each other, the natural tendency
thereafter will be to strive for the same relationship of vision with
both eyes. The refractionist should then aim to reduce the excessive
amount of prism required to give binocular vision, which can be
accomplished by muscular exercise.
It must always be remembered before the refractionist is ready to
employ the muscular exercise or second method, that the degree of
prism required to give the patient single binocular vision must be
determined with the optical correction in place. The exercise must be
practised daily in routine, a daily record being essential.

An Assumed Case
We will assume a case where 42 degrees is required to enable
the patient to first see the red streak as produced by the Maddox rod
to the extreme left. Through a continued gradual reduction of 4
degrees (or to 38 degrees), we next learn that the streak was carried
over until it bisected the white spot of light, giving single binocular
vision and producing a position of rest.
 Fig. 28—Simplified chart showing the
prism action employed in developing a
weak ocular muscle through alternating
prism exercise. Either side of 38° in
excess of 4° causing diplopia.
The patient has now established the limitation of the exercise,
which is four degrees, this limitation being determined by the
difference between the point where the streak was first seen to the
extreme side and where it bisected the spot. The same amount of
four degrees should then be used for the opposite side, thus
reducing the prism strength to 34 degrees.
This again produces diplopia, because of the lesser amount of
prism power employed to give single binocular vision. The
refractionist should then return to 38 degrees, where single binocular
vision had originally been determined (Fig. 28), alternating back to
42, returning to 38, over to 34, back to 38, and so on. This procedure
should be employed once a day just after meals for about five
minutes, and repeated ten times, constantly striving for a slight
reduction of prism power from day to day.

Effect of Muscular Exercise

This muscular treatment, or constructive exercising, should
enable the patient to overcome his amount of four degrees in either
direction in about a week. Hence in the case showing 38 degrees for
single binocular vision, results may be looked for in about nine
weeks—four degrees divided into 38 degrees. While the patient is
undergoing the treatment, which is nothing more than the
strengthening of the interni muscles or developing adduction, it is
natural to believe that the amount of imbalance is likewise being
conquered. This, however, is readily determined from time to time by
making the binocular muscle test with the phorometer and Maddox
rod, as well as the duction chart test (Fig. 24), as previously outlined.
To fully appreciate the effect of this muscular treatment, the
reader need only hold his head in a stationary position, casting his
eyes several times from the extreme right to the extreme left, not
failing to note the apparent muscular strain. On the other hand, with
the aid of the Ski-optometer’s rotating prisms, the refractionist not
only has complete control of the patient’s muscles at all times, but
scientifically accomplishes muscular exercise without any tiresome
strain, overcoming all possible exertion.
After the case in question has been reduced to 30 degrees,
having no further use for the rotary prism, it may be removed from
before the right eye and the same exercising procedure continued as
before with the remaining left side rotary prism by reducing its power,
until it is likewise down to zero.
Having reduced both prisms to zero, each prism should again be
placed in position with zero graduations vertical and the prism
indicator on upper zero. Both prisms should then be turned
simultaneously about four degrees toward the nasal side of the
patient, thus tending to jointly force corresponding muscles of both
eyes.

Home Treatment for Muscular Exercise—

Square Prism Set Used in Conjunction
With the Ski-Optometer
Where a patient is unable to call each day for this muscular
treatment or exercise, the work will be greatly facilitated by
employing a specially designed set of square prisms ranging in
strength from ½ to 20 degrees for home treatment. As in the case
previously cited, it is necessary to carefully instruct the patient that
the interni muscles must be developed, hence prism base out with
apex in must be employed. Attention should then be directed to a
candle light, serving as a muscle testing spot of light and stationed in
a semi-dark room at an approximate distance of twenty feet.
Having determined through the Ski-optometer the strength of the
prism required after each office treatment, its equivalent should then
be placed in a special square prism trial-frame which permits rotation
of the prism, although the patient is frequently taught to twirl the lens
before the eye. This exercise may be continued for about five
minutes each day.
The patient should also be instructed to call at the end of each
week, when the work may be checked by means of the Ski-
optometer’s rotary prisms, making the duction test as previously
explained and outlined in Fig. 24. It is then possible to determine
whether or not satisfactory results are being obtained. Otherwise the
exercise should be abandoned.
 Should the second method employed in the work of muscular
imbalance not prove effective, the third method requiring the use of
prisms would be next in routine.
 Chapter XI
THIRD METHOD OF TREATMENT—PRISM
LENSES

When and How Employed

A s stated in the preceding chapter, on ascertaining the failure of

the second muscular treatment or method, prisms are employed
for constant wear. When prism lenses are used, whether the
case is exophoria or esophoria, or right or left hyperphoria, it is
always safe to prescribe one-quarter degree prism for each degree
of prism imbalance for each eye. For example, in a case of 6
degrees of esophoria, a prism of 1½ degree base out should be
prescribed for each eye; or in 6 degrees of exophoria, employ the
same amount of prism, but base in. In right hyperphoria, place the
prism base down before the right eye and up before the left, and vice
versa for left hyperphoria.
It is not always advisable, however, to allow the patient to wear
the same degree of prism for any length of time. Many authorities
suggest a constant change with the idea that a prism is nothing more
than a crutch. Should the same degree be constantly worn, even
though it afforded temporary relief, the eye would become
accustomed to it and the purpose of the prism entirely lost. Prisms
should be prescribed with extreme care, their use being identical
with that of dumb-bells, where weight is first increased to maximum
and subsequently reduced, viz.:

Prism Reduction Method

 Where prisms are prescribed, it is considered good practice to
make a binocular muscle test and the duction test (Fig. 24) at the
end of each three months’ period, employing the phorometer,
Maddox rod, and rotary prisms, as already explained.
If the condition shows any decrease, the prism degree should be
proportionately decreased. For example, in the case originally
showing 6 degrees of exophoria, one-quarter degree prism for each
degree of imbalance was prescribed, or 1½ degree for each eye. If
the same case subsequently indicated 4 degrees, only one degree
for each eye should be prescribed—and so on, a gradual reduction
of prism value being constantly sought.
Except in rare cases, prisms should not be prescribed with the
base or apex at oblique angles, as the eye is rarely at rest with such
a correction. An imbalance may be caused by a false condition in
one rectus and a true imbalance in the other, giving one the
impression that cyclophoria exists, as explained in a following
chapter.
Having now employed the three methods, the refractionist can
readily understand that a marked percentage of muscular imbalance
cases may be directly benefited through the aid of the Ski-optometer.
If these three methods of procedure fail, there is nothing left but the
fourth and last method—that of operative procedure.
 Chapter XII
A CONDENSATION OF PREVIOUS CHAPTERS
ON THE PROCEDURE FOR MUSCLE TESTING
WITH THE SKI-OPTOMETER

T he present chapter, intended for those desiring a synopsis or

condensed summary of muscular imbalance work, should prove
of the utmost assistance to the busy refractionist. Muscular
imbalance work can be successfully conducted if the following
routine is studied and memorized, with the Ski-optometer constantly
before the reader. The chapters containing the corresponding figures
and diagrams or illustrations will then be readily comprehended. It is
also important to carefully note the captions under each diagram.
1. Without any testing lenses before patient’s eyes, direct
attention to a 20-foot distant muscle testing spot of light (Fig. 9).
2. Place phorometer handle vertically (Fig. 16).
Place red Maddox rod vertically (Fig. 15). Patient should see a
white spot of light, and a red horizontal streak (Fig. 17).
Simply turn phorometer handle until horizontal streak bisects
white spot of light. Pointer then indicates amount of deviation on red
scale. Ignore cases less than 1° hyperphoria, whether right or left
designated by (R. H.—L. H.).
3. Place phorometer handle horizontally (Fig. 19).
Place red Maddox rod horizontally (Fig. 18). Patient should see a
white spot of light and a vertical red streak (Fig. 20).
Simply turn phorometer handle until red streak bisects spot of
light. Pointer indicates amount of deviation on white scale, whether
esophoria or exophoria designated by (Es—Ex).
 4. Ignore all exophoria cases, less than 3°.
Ignore all esophoria cases, less than 5°—except in children,
ignore less than 3° of esophoria.
5. Always make the above or binocular muscle test—with
phorometer and red Maddox before optical correction or (test for
spheres and cylinders) and again after optical correction where case
shows more than 1-3-5 rule, to determine whether muscles are
aggravated or benefited.
6. In cases showing more than the 1-3-5 rule, shown in above
No. 4, make monocular duction test first with rotary prism before
patient’s right eye,—then with rotary prism before left eye to find
faulty muscle and determine which eye is affected.
7. To test adduction, prism base out is required. Rotary prism’s
red line or indicator should be rotated from zero outwardly. To test
abduction, base in is required. Indicator should be rotated inwardly
from zero (Fig. 22). Power of adduction as compared with abduction,
is normally 3 to 1—usually rated 24 to 8.
8. To test superduction, base down is required. Rotary prism’s
line or indicator should be rotated downward from zero. To test
subduction, base up is required. Indicator should be rotated upward
from zero. Power of superduction as compared with subduction, is
normally equal—usually rated 2 for each (Fig. 23).
9. Direct patient’s attention to largest letter on distant chart,
usually letter “E,” rotating red line indicator of rotary prism outlined in
above No. 7 and No. 8, until diplopia is first procured.
10. The use of a duction chart on a record card, quickly
designates pull for each of four muscles (Fig. 24), illustrating an
assumed case of—

1st—6D of Exophoria.
2nd—18° adduction (which must be developed to 24°).
3rd—Patient has a left weak internus.
 11. Employ First Method—Optical Correction—to effect
treatment.
12. Assuming a case of a child with 6° of esophoria—8° of right
abduction and 2° left abduction indicating a left weak externus,
prescribe a quarter diopter increased plus spherical power for each
degree of imbalance, thus adding +1.50D spherical to optical
correction. This is the first method of treatment. This requires a
thorough reading of Chapter IX on Treatment for Correcting
Esophoria in Children and a careful study of the formula. For
synopsis see Page 74.

Four Methods of Treating an Imbalance Case

When the Preceding One Fails
1st—Optical correction;
2nd—Muscular exercise or treatment;
75% are Curable with First and Second Methods.
3rd—Prisms;
5% are Curable with Third Method.
4th—Operation;
20% are Curable with Fourth Method.
13. When first method of treatment fails, Employ Second
Method—Muscular Exercise—to effect treatment.
1st—Find degree of prism patient will accept to produce single
binocular vision with optical correction on, placing both rotary prisms
in position, handles horizontal, red line on 30° of temporal scale of
each, giving total value to 60° (Fig. 26a and b).
2nd—Also place red Maddox rod before patient’s eye (rods
horizontal) (Fig. 18), calling patient’s attention to usual muscle
testing spot of light.
 3rd—Reduce prism before good eye until red streak appears,
noting degree (which we assume shows 42° the combined total
value of both prisms) slowly continue to decrease prism until streak
bisects spot. Assume this shows total of 38°. Either side of 38° in
excess of 4° (38 to 42) produces diplopia. Prisms must only be
rotated from 38° to 42° back to 38° over to 34°—back to 38° over to
42°—back again to 38° and so on—exercise to be continued daily
ten times for five minutes (Fig. 28).
4th—At end of each week, duction test should again be made.
Duction chart should show a tendency to reduce exophoria by a
gradual building up of adduction, approximately one week is usually
sufficient to teach patient to hold streak within the spot (between 38°
and 42°). Exercise to be continued until both prisms are worked
down to zero. Exercise tends to teach patient how to establish same
image on each fovea or retina at same time.
5th—If patient is unable to call daily for treatment, employ home
treatment. (Read “Home Treatment for Muscular Exercising,” Page
82).
Employ Third Method—Use of Prisms for Constant Wear to
effect treatment.

Prisms
1st. Where a case cannot be reduced through use of first two
methods, as for example in a case of 6° of exophoria, prescribe ¼ of
amount of imbalance (¼ × 6 = 1½°) for each eye—base in—or
esophoria base out, hyperphoria base up on eye affected.
2nd. Advise patient to call every three months and make duction
test (Fig. 24). If no improvement in condition, after wearing prisms
six months, operative means is suggested.
Assume a case is benefited, reduce prism power according to
rule; ¼D prism for each degree of imbalance.

Cyclophoria
 This work being of a technical nature, it is deemed best for the
reader to study Chapter XIII and XIV.
 Chapter XIII
CYCLOPHORIA

Made with Maddox Rods

and Rotary Prisms

C yclophoria, a condition affecting the oblique muscles of the

eye, is caused by its rotation. It is detected in the following
manner by the combined use of the red and white Maddox rods
and the rotary prism.
 Fig. 29—Position of rotary prism for
producing diplopia in testing cyclophoria
with prism placed at 8° base up.
Darken the room and direct the patient’s attention to the usual
muscle-testing spot of light, located approximately twenty feet away
and on a direct plane with the patient’s eye. The optical correction, if
one is required, should always be left in place—just as in making
other previously described muscle tests.
The rotary prism should then be brought before the patient’s right
eye with the handle-pointing upward and with zero graduations
horizontal. The indicator or red line should then be rotated upward
from zero to eight upon the prism scale, creating the equivalent of a
prism of 8 diopters with base up (Fig. 29). This normally caused