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Advances in Water Resources 62 (2013) 173–177
Contents lists available at ScienceDirect
Advances in Water Resources
journal homepage: www.elsevier.com/locate/advwatres
Editorial
Editorial: A tribute to Stephen Whitaker
1. Introduction
This special issue of Advances in Water Resources is dedicated to
Stephen (Steve) Whitaker, in honor of his lifelong to contributions
to transport phenomena with a special recognition of his work on
transport phenomena in porous materials. The papers composing
this issue cover a wide variety of topics. Most of the papers in this
special issue focus on upscaling transport phenomena in porous
media. These include papers on upscaling reactive transport [1,2],
upscaling solute transport in biofilms [3], dispersion in porous
media [4–7], and upscaling momentum transport [8,9]. Steve has
been a perennial investigator of fundamentals as well as applica-
tions, and we have included works that focus on more theoretical
topics. These include a comparison between homogenization and
volume averaging [10], a paper on the derivation of closed jump
conditions between a porous medium and a fluid [11], and two pa-
pers focused on the theorems used in volume averaging [12,13]. In
recognition of Steve’s interest in mechanics, we are particularly
honored to have a contribution on multicomponent diffusion from
Bob Bird [14]. All these works, in their particular manner, are clear
examples of the influence of the many studies that Whitaker per-
formed along his long and fruitful scientific career.
As an opening to this special issue we find it fitting to provide: a
short academic biography of Steve Whitaker as well as a brief sum-
mary about the evolution of the volume averaging method. These
subjects are developed in the paragraphs that follow.
2. Brief academic biography
Steve Whitaker was born in 1928 in Carmel, California. At that
time Carmel was still a working town, and his father was the town
blacksmith. In 1954 Steve started his graduate studies at the Uni-
versity of Delaware working with professor R.L. Pigford on the
problem of interfacial resistance to gas absorption. This work
helped to inspire a lifelong interest in interfacial phenomena. After
completing his graduate work in 1958, Steve took a position work-
ing for Du Pont (at the Du Pont Experimental Station, Delaware)
doing research on fluid mechanics. This position had a large impact
on Steve by illustrating the central role of fluid mechanics in engi-
neering, and also underscoring the reality that most engineers
struggled with the subject. Steve was greatly influenced at this
time by Bob Bird, who, during a visiting lecture, promoted the idea
that transport phenomena should be presented to students as a
unified field through the laws of continuum mechanics. This also
helped to establish Steve’s interest in trying to understand prob-
lems from a very fundamental, mechanistic perspective. This is a
theme that has persisted throughout Steve’s approach to problems
ever since.
0309-1708/$ - see front matter Ó 2013 Elsevier Ltd. All rights reserved.
http://dx.doi.org/10.1016/j.advwatres.2013.10.006
In 1961 Steve accepted a faculty position at Northwestern where
he was able to hone his understanding of fluid mechanics. This oc-
curred both by teaching a course on the topic to undergraduates
(where, as a challenging course should, he was occasionally made
aware of his own struggles with the topic), and through discussions
with his colleague John Slattery. Three years later in 1964, Steve
took a position at the University of California, Davis in the newly
formed Chemical Engineering program. This move was motivated
in part by a desire to return to the west coast where he had always
felt the most at home. Both his teaching and research interests at UC
Davis focused at the time on continuum mechanics, and, in partic-
ular, in fluid mechanics (continuing his attention to the topic moti-
vated by his experiences at Du Pont). This led to the production of
his first textbook, Introduction to Fluid Mechanics [15], which has re-
mained a valuable resource to students of fluid mechanics since its
initial publication. This book was followed by Fundamental Princi-
ples of Heat Transfer at the end of the seventies, which although de-
signed for undergraduate studies, it has been widely used as a
graduate textbook in many programs [66].
Steve spent the better part of forty years at UC Davis. During
that time, his research interests crystallized around two primary
topic areas: (1) the mechanics of continuum systems; and, (2)
upscaling multiscale systems (usually porous media) using the
method of volume averaging. His work on continuum mechanics
has been significantly influenced by a number of researchers,
including his early colleague John Slattery, and by Bob Bird. In par-
ticular, Steve’s research on this topic was influenced by the work of
Clifford Truesdell [16], whose work Steve has continued to find
inspiration from. Much of Steve’s continuing work has been fo-
cused on trying to better understand how a rational mechanical
approach, which has been so successful in fluid mechanics, can
be applied to other transport phenomena. As an example, Steve re-
cently published a paper on the mechanics of diffusion [17], and is
currently working on the complex topic of the mechanics of ions in
solutions. Steve’s work on upscaling in multiscale porous media is
described in detail in the following section.
In his years at UC Davis, Steve was a tremendous collaborator,
and sought out opportunities for research with people across the
globe. Early on, his interests were often pedagogical, and he taught
many short courses in South America, including courses in Venezu-
ela and Argentina. In 1985, Steve took sabbatical leave to collabo-
rate with researchers the Université de Bordeaux I in Bordeaux,
France. Not only was Steve taken by France as a place (so much
so that he turned his attention to learning French as a language,
and became fluent enough to lecture in it), but he met many
researchers during his visit that became lifelong friends and col-
leagues. Steve continued to visit France throughout his career,
and his collaborations there were some of the most fruitful of his
 Author's personal copy
174 Editorial / Advances in Water Resources 62 (2013) 173–177
career. In particular, it was during these visits that he met his
friend and colleague Michel Quintard, whom with he has published
more than fifty peer-reviewed papers. In his wanderings as a trav-
eling researcher, Steve has visited a large number of countries,
including visiting scientist/lecturer positions in Argentina, Austra-
lia, France, Mexico, The Netherlands, Puerto Rico, Taiwan, and Ven-
ezuela. In the United States, he has been a visiting scientist/lecturer
at the University of Houston, Los Alamos National Laboratory and
Pacific Northwest National Laboratory.
Steve officially retired from UC Davis in 2003, and now enjoys
his time on the Mendocino Coast, about 150 miles north of San
Francisco with his wife, Su. He is a member of the Board of Direc-
tors of the Irish Beach Water District, which has been an interest-
ing new distraction very different from his more academic
experiences with fluids. He is still involved in research in transport
in porous media and in continuum mechanics. Steve has always
had an interest in teaching, and this interest has culminated in
his recent collaborative effort (with Prof. Ramon L. Cerro, Univer-
sity of Alabama at Huntsville; and Emeritus Prof. Brian Higgins,
UC Davis) in generating an undergraduate text focused on material
balances from a very fundamental perspective (the text is available
from https://sites.google.com/site/materialbalancesforche/).
3. Evolution of the volume averaging method
Because this special issue is focused on the contributions made
by Steve Whitaker in upscaling, we find it fitting to provide a brief
review of the evolution of the volume averaging method. Our
intention is not to make an exhaustive review of the considerable
number of papers published by Steve and other research groups,
but to provide an overview of the development of the method.
With this in mind, we sectioned Steve’s research into three time
periods: (1) The early years (1966–1979), (2) The middle years
(1980–1999), and (3) The recent years (2000-present); these peri-
ods are described in detail below.
3.1. The early years (1966–1979)
Motivated by the lack of a thorough derivation for Darcy’s law,
Steve [18] developed the macroscopic equations for mass and
momentum transport for single-phase flow in anisotropic porous
media clearly remarking the need of separation of characteristic
lengths to support the assumptions made in the analysis. Although
Steve would make further works dedicated to the derivation and
closure of Darcy’s law (see [19–21]), this paper remains relevant
as a first approach for averaging pointwise mass and momentum
equations using a volume averaging procedure in which the effec-
tive parameters for the problem were clearly defined in terms of
local surface averages.
A landmark in the volume averaging method is the derivation of
the spatial averaging theorem (SAT), which provides the connec-
tion between single-phase transport and multiphase transport
phenomena and represents a three-dimensional version of Leibniz
rule for interchanging spatial differentiation and integration. As
acknowledged by Slattery [22], the development of the averaging
theorem made practical the derivation of the local volume-averaged
mass, momentum and energy balances. This theorem was, rather
unusually, developed simultaneously by four research groups:
Anderson and Jackson [23] (who derived the equations of motion
in fluidized beds); Slattery [24] (who derived an extension for
Darcy’s law for viscoelastic fluids in porous media; contrary to
Steve’s [18] analysis, the pressure and velocity were local volume
averaged quantities); Marle [25] (who also studied the derivation
of Darcy’s law in rigid porous media and showed that the macro-
scopic pressure gradient is different from the macroscopic value
of the pressure gradient); and Steve [26] (who studied diffusion
and dispersion of a passive solute in porous media and derived
an effective-medium expression in terms of integrals of deviation
fields that, at that time, had to be obtained by fitting experimental
data). In this last work, Steve identified that a necessary restriction
for the validity of the averaging theorem is that the averaging vol-
ume is constant and its orientation, relative to some inertial frame,
remains unchanged.
These fundamental ideas were further refined during the 1970’s
in many works and the method quickly gained interest in the liter-
ature. One example of this is the fact that in Slattery’s [22] book
about transport phenomena there is a section devoted to local vol-
ume averaging applied to mass and momentum transport. Just one
year after the publication of Slattery’s book, Steve [27] detailed the
averaging process in terms of phase-average (superficial) and
intrinsic averaging operators that could be applied to general
transport equations in multiphase systems. Aided by the SAT and
a spatial decomposition, the averaging lead to differential equa-
tions that were expressed in terms of average properties and inte-
grals of the deviation fields. However, the spatial decomposition
was written in terms of superficial averages, which was later cor-
rected by Gray [28], to be expressed in terms of intrinsic averages.
Despite these advances, by the end of this decade, it appeared that
this (and other) upscaling approaches had not yet achieved enough
systematization and robustness as appreciated by Sposito et al.
[29]. One particular drawback that these authors noticed was the
definition of effective-medium coefficients, which were expressed
in terms of integrals of the deviations fields. At that point, it was
clear that a relation between the deviations fields and volume-
averaged quantities was missing. This situation motivated future
works, as those by Hassanizadeh and Gray [30], that were devoted
to systematically detail the conventions and criteria that should be
considered when locally averaging multiphase systems.
3.2. The middle years (1980–1999)
During the time that Ruben Carbonell was part of the faculty at
UC Davis, he established a friendship and a work relationship with
Steve. This alliance became a very prolific source of ideas and, at
the beginning of the 1980’s, it served to attend the concern of Spos-
ito et al. [29], in a work by Ryan et al. [31] dedicated to the study of
diffusion and reaction in porous media. In this work, the volume
averaging method included, for the first time, a closure scheme
that, not only provided the link between deviations fields and aver-
age quantities, but it also allowed computing the effective diffusiv-
ity. Following a contemporary work by Brenner [32], the closure
problem was solved in periodic unit cells and the resulting predic-
tions of the effective diffusivity were in excellent agreement with
experimental data. As later explained by Crapiste et al. [33], the
use of spatially periodic unit cells for the closure problem solution
does not restrict the use of volume-averaged transport equations
to spatially periodic media. These advances motivated a series of
works about dispersion in pulsed systems, in which the dispersion
coefficient was predicted in capillary tubes [34] and in porous
media [35], obtaining good agreement between theory and exper-
iments for certain values of the Péclet number [36]. The next prob-
lem to be studied was heat transfer by conduction in porous media
saturated by one [37] and two [38] fluid phases. Since, in this case,
transport takes place in both the fluid and the solid phases, an
average model based on a local thermal equilibrium assumption
[39] was provided, obtaining good agreement with experiments
[37] and highlighting the need of considering contact point heat
transfer for three-phase systems [38]. In addition, the closure prob-
lem for diffusive transport in two-phase media was analytically
solved by Ochoa-Tapia et al. [40] in non-periodic unit cells, as sug-
gested by Chang [41], obtaining not only an excellent agreement
with the results from the numerical solution in periodic unit cells,
 Author's personal copy
Editorial / Advances in Water Resources 62 (2013) 173–177
but also recovering the classical expressions by Maxwell and Ray-
leigh for three-dimensional and two-dimensional unit cells,
respectively. Since a closure scheme was now a part of the averag-
ing process, it was opportune to return to the derivation of Darcy’s
law and provide an expression for the permeability tensor in terms
of variables that could be quantified from solving a boundary-value
problem in a unit cell. Steve carried out this task in a series of pa-
pers dedicated to single-phase flow [20], two-phase flow [42] and
in deformable porous media [43]. However, when significant het-
erogeneities are present, the closure problem becomes extremely
complex and this motivated the development of the method of
large-scale averaging [44]. In this approach, a new closure problem
is developed that includes the effects of local heterogeneities and
this information is passed to a large-scale permeability tensor for
Darcy’s law. All the developments summarized in this paragraph
were later compiled by Steve in his monograph about Volume
Averaging [45], which, to the date, remains a mandatory reference
for studying this method. The above papers (along with many oth-
ers that are not cited here for the sake of brevity), provided the ba-
sis for many studies dedicated to heat, mass and momentum
transport in porous media.
In papers by Baveye and Sposito [46] and Cushman [47], the
authors questioned, based on the lack of experimental evidence,
the spatial and temporal invariance of the averaging volume for
real porous media and highlighted the importance of instrument
weighting functions for the interpretation of experimental obser-
vations. This motivated the introduction of weighting functions
in the upscaling process; however, the weighting functions used
for comparing theory and experiments turned out to not necessar-
ily be the same as those used for predictive purposes [48]. In this
way, the details of the derivation of volume averaged equations
can be altered by the use of weighting functions that lead to corre-
spondence between theoretical variables and measured quantities.
However, the structure of the closure problem and the general
form of the upscaled equation remain unchanged as shown in
[49]. In a later series of works by Michel Quintard and Steve
[50,51] about ordered and disordered porous media, the use of
weighting functions is incorporated in a more generalized averag-
ing procedure in terms of cellular averages. In this approach,
weighting functions for the averaging process must be chosen to
match the porous medium under consideration and this same con-
straint is imposed to the instrument weighting function, so that
agreement between measured quantities and theoretical predic-
tions can be reached. During the 1990’s and afterwards, the alli-
ance between Steve and Michel Quintard that started in the
1980’s, gave rise to many other valuable research works that
helped in providing more robustness to the method as well as
extending its range of applicability.
All the advances mentioned in the above paragraphs have been
centered to the derivation of effective-medium models in the bulk
of homogeneous (and heterogeneous) media. However, the devel-
opment of complete models for transport in multiphase systems
also requires the derivation of the corresponding boundary condi-
tions. This issue was attended by Alberto Ochoa-Tapia and Steve
[52], who studied momentum transport in the classical system of
Beavers and Joseph [53], consisting of a channel that is partially
filled with a porous medium. By incorporating to the averaging
process a methodology similar to that used to deduce the boundary
conditions between phase interfaces [22], these authors were able
to deduce an expression for the jump in the stress in terms of ex-
cess quantities. These terms were collapsed into a single coefficient
that needed to be predicted experimentally. This resembles the
early developments of volume averaging where, at the absence of
a closure scheme, the effective medium coefficients had to be
determined experimentally. The subject of finding a closure
scheme for jump conditions has been a topic of intense research
175
over the past years and in this special issue there is a paper dedi-
cated to this matter [11].
3.3. The recent years (2000-present)
The publication of Steve’s book [45] at the end of the 1990’s,
along with the vast number of related works, spawned the applica-
tion of the method of volume averaging to many areas. Certainly a
highlight is the application of the method to biological systems,
which began with the earlier works by Ochoa-Tapia et al. [54] in
cellular media and by Brian Wood and Steve [55] in biofilms. As
matter of summary, some of the last papers in which Steve partic-
ipated before retiring from UC Davis were devoted to the study of:
mass transport and reaction in biofilms (cf]., [56,57]), the compar-
ison between volume and ensamble averaging [58], the estimation
of adsorption rate coefficients using the Smoluchowski equation
[59], the thermodynamic significance of the volume averaged tem-
perature in terms of a simple two-phase heat transfer process [60],
the process of textile dyeing cotton threads [61], electrohydrody-
namics in porous media [62], binary gas transport in porous media
[63], among others.
Although he retired from UC Davis 2003, Steve continues to be
involved in research on transport phenomena. Some examples of
his latest works include: the relation between Newton’s and Euler’s
laws [64], the relevance of transport at interfaces in chemical pro-
cesses [65] and a study about the thermodynamics of diffusion
showing that the use of the gradient of the chemical potential as
a driving force for diffusion is not justified [17].
The papers referenced above, and many more that were not
mentioned for the sake of brevity, have and continue being rele-
vant to anyone interested in upscaling transport phenomena in
multiscale systems. We feel very privileged to have had the oppor-
tunity to collaborate with Steve, and to have shared his unique re-
search vision and personable approach to life. We are sure that this
feeling is shared by the contributing authors and by the editorial
board of AWR that allowed us to honor Steve with this special
issue.
Acknowledgments
We are especially grateful to the contributors to this special
issue and to the referees who helped assure that the papers
were presented clearly. Casey Miller deserves special recogni-
tion for shepherding the special issue through the entire pro-
cess from paper submission to final production. The work
associated with being an Associate Editor was supported in
part, for BDW, by the National Science Foundation, Earth Sci-
ences Directorate, Hydrology Program, under Grant 1141488;
and for FVP, by Fondo Sectorial de Investigación para la educa-
ción from CONACyT (Project number: 12511908; Arrangement
number: 112087).
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Author's personal copy

Editorial / Advances in Water Resources 62 (2013) 173–177 177

⇑
Brian D. Wood
School of Chemical, Biological, and Environmental Engineering,
Oregon State University,
Corvallis, OR 97330, USA
⇑ Tel.: +1 541 737 9249; fax: +1 541 737 3099.
E-mail address: brian.wood@oregonstate.edu
Francisco J. Valdés-Parada
División de Ciencias Básicas e Ingeniería,
Universidad Autónoma Metropolitana-Iztapalapa,
Av. San Rafael Atlixco 186,
col. Vicentina, 09340 Mexico, Mexico

Available online 17 October 2013