Proceedings of 1999 Beijing International Symposium on

Loading...
ISSN 1000-3193 CODEN REXUEM

ACTA ANTHROPOLOGICA SINICA Supplement to Volume 19

Proceedings of 1999 Beijing International Symposium on Paleoanthropology In Commemoration of the 70th Anniversary of the Discovery of the First Skull-cap of the Peking Man

Editorial Advisors WU Xinzhi ZHANG Senshui Editor DONG Wei

Published by Institute of Vertebrate Paleontology and Paleoanthropology Chinese Academy of Sciences

2000

BEIJING

Sponsored by United Nations Educational, Scientific and Cultural Organization National Natural Science Foundation of China

ACTA ANTHROPOLOGICA SINICA

(Quarterly, Started in Aug. 1982) 2000 Supplement to Vol.19

Preface This volume is an outcome of the International Symposium for Commemorating the 70th Anniversary of the Discovery of the First Skull-cap of Peking Man held at the Institute of Vertebrate Paleontology and Paleoanthropology, Chinese Academy of Sciences, Beijing, China, in October, 1999 and was sponsored by this institute and the UNESCO. This volume was intended to include all of the presentations given at the symposium, but it is pity that some of the speakers on the meeting did not furnish us with their papers. The articles in this Proceedings are arranged in the order as follows: hominids, hominoids, stone artefacts, fire use, fauna, chronology and biography. On the commemoration of the discovery of the first skull-cap of Peking Man it is interesting to review the positions experienced by him in the research history of paleoanthropology. He held the position of the most important earliest human ancestor for about 30 years until 1959 when M. Leakeys found the Zinjanthropus and associated stone artefacts dated 1.75 mya. Not long later L. Leakey suggested that Homo habilis is the direct ancestor of H. sapiens so that Peking Man was excluded from the ancestors of modern humans. Since 1970s more and more paleoanthropologists became to believe that Peking Man represented an aberrant branch in human evolution on the basis of the application of cladistics in researching the phylogenetic position of Peking Man. Since 1987 DNA studies on the modern humans origin have also made people believing that Peking Man is not among our ancestors. The ancestral status of Peking Man was suggested by Weidenreich mainly on the basis of the similarities found between Peking Man and modern Mongolians, many of these similarities are found unreliable by other anthropologists in last decades. So the status of extinct branch of Peking Man has been accepted by many anthropologists currently and for long time. Opposite to these suggestions other anthropologists presented arguments for re-evaluating Peking Man's position in human evolution. After 1949 many human fossils have been unearthed in China, these made possible for Chinese anthropologists to investigate if there were convincing intermediate links between Peking Man and modern Mongolians. The results are invigorating. It has been found that Peking Man has a series of morphological features shared with most of other human fossils of different periods in China such as flat face, suture between frontal, nasal and maxilla bones forming a more or less horizontally curved line, low nasal saddle, quadrangular orbit, rounded shape of the infero-lateral portion of the orbital margin, more forward facing of the front-sphenoidal process of the zygomatic bone, curved lower margin of the cheek bones and the broadest part locating at the middle third of the cranial vault etc. The shovel shaped upper incisor is especially worthy to be mentioned because it presented in both Peking Man and all other Pleistocene human upper incisors found in China without exception. All these common features existed in Pleistocene humans of China with higher or much higher frequencies than those in other regions. The complex including these features occurred with much higher frequencies in China than in other regions. In addition to these there has been found morphological mosaic between Homo erectus and H. sapiens of China. Some so-called derived features of H. erectus such as thick brow ridges, thick cranial bones, strong post-orbital constriction and angular torus etc. are shown in H. sapiens specimens of China (thick brow ridge in Dali H. sapiens, thick cranial bone in Dali and Xujiayao, strong postorbital constriction. in Maba, angular torus in Dali and Ziyang H. sapiens); some features usually found in H. sapiens and not in H. erectus such as weak post-orbital constriction, high temporal squama, curved border of temporal squama and high cranial index could be seen in H. erectus skull from Hexian. The mosaic is also present in Yunxian skulls regardless of whether they should belong to H. erectus or H. sapiens. The common features of H. erectus and H. sapiens in China and the mosaic between these species indicate the continuity between them. According to the Hypothesis of Multiregional Evolution, gene flow could be well used to explain the unity of all populations of modern humans in one same species, H. sapiens. This explanation is much more convincible than the orthogenesis supposed by Weidenreich. Among the human fossils of China, there are evidence of gene flow such as the protruding of nasal saddle of Yunxian skull, surface bulging between pyriforme orifice and the orbit of Dali and Tangshan skulls, spherical orbit of Maba skull, bun-like structure on the occipital bone of Liujiang, Lijiang and Ziyang skulls and the more lateralward facing of the fronto-spherical process of zygomatic bone of Upper Cave skull No. 102. All of these i

features are seldom found in most of the Pleistocene skulls in China but exist more frequently in Europe. Peking Man as a fire user and successful fire keeper has been also challenged by some scholars in recent years. But all of these challenges have been proved as inconvincible. On the contrary, the laboratory data provided by the last challenger, Weiner and others on the percentages of the microfaunal and macrofaunal burned bones collected at this cave and examined by these authors are just good positive evidence because the percentages “are roughly similar to those obtained in much younger caves where the fire was undoubtedly used by humans.” Weiner et al. strongly suggested the laminated deposit containing the burnt bones as the negative evidence for in situ fire use, but the water transportation of the burnt bones within the cave in very short distance could much better explain the formation of this laminated sediment with burnt bones and the maintenance of the ratio of burnt bones of macro- and micro-fauna than remote transport from outside into the cave. Further more, the successive fission track datings carried out with the burnt deposits of this cave are also strong support to the in situ fire using in the cave. In sum, Peking Man remains the earliest most reliable fire user and one of the most important antecessors of H. sapiens in East Asia. But still there are many problems regarding to Peking Man well worth studying. I wish to thank all the participants who presented excellent articles at the symposium and joined in exciting discussions during the meeting. I also thank all the authors who provided their papers for enclosing into this volume. I am grateful to Professors ZHANG Senshui and DONG Wei who acted as academic advisor and editor of this volume respectively. Finally, thanks are due to Professor Qiu Zhuding, the former director and Professor Zhu Min, the director of IVPP for their generous support and wonderful assistance for the symposium and the publication of this volume respectively. Thanks are also due to the UNESCO in supporting the symposium and the publication of this volume.

WU Xinzhi 21 August, 2000, Beijing

ii

Préface C'est un grand honneur pour moi d'avoir été invité à ouvrir, aux côtés d'éminents collègues chinois, les actes du mémorable congrès international réuni en octobre 1999 à Beijing pour célébrer le 70eme anniversaire de la découverte du premier crâne de l'Homme de Pékin. Il convient de se souvenir de l'extravagante histoire qu'a été celle de la découverte de l'Homme de Pékin. Lorsque, dans les années 20, Johan Gunnar Andersson, prospecteur minier suédois, s'intéressa aux vertébrés fossiles chinois et fit venir un jeune post-doc de l'Université d'Uppsala, Otto Zdansky, pour rechercher de manière plus précise d'éventuels restes d'Hommes fossiles, la paléoanthropologie ne connaissait, pour raconter notre histoire, que l'Homme de Néandertal, l'Homme de Cro Magnon, l'Homme de Java et l'Homme de Piltdown qui s'avèrera n'être qu'une supercherie. Ce fut donc une découverte de taille de mettre au jour dès 1921, la première dent d'un autre Hominidé, le cinquième. Otto Zdansky en sera d'ailleurs si conscient qu'il le cachera à Andersson et attendit 1926 pour en faire publiquement état. Quelques autres dents isolées suffirent ensuite au paléontologue canadien Davidson Black pour nommer Sinathropus pekinensis ce nouveau maillon de notre phylogénie, le démarquant des autres, tout en le rapprochant en même temps de l'Homme de Java plus volontiers que de tout autre. Mais l'éclairage le plus brillant vint en 1929 lorsque le paléontologue chinois Pei Wenzhong mit au jour, lors d'une fouille conduite par un nouvel étudiant suédois d'Uppsala, Birger Bohlin, le premier crâne de cet Hominidé. Cette découverte eut évidemment le retentissement qu'elle méritait, puisqu'elle venait confirmer l'existence d'un très ancien Homme fossile en Chine et que pour la première fois elle avait les moyens d'en dessiner les grandes caractéristiques. Bien d'autres restes suivirent ainsi que d'abondants outillages lithiques et restes de faunes probablement consommés par ces Hominidés pour qui le site avait tenu lieu à beaucoup de reprises d'abri et de séjour. Lorsque Pierre Teilhard de Chardin, successeur de Davidson Black, mort prématurément, dut fermer le chantier de fouilles pour des raisons d'insécurité en 1937, le bilan pour un site paléoanthropologique, était impressionnant et sans précédents puisqu'on comptait 14 crânes, 11 mandibules, 147 dents et quelques os postcraniens. Grand site donc, immense bilan scientifique, puissant intérêt mondial (la Fondation Rockefeller sollicitée par Davidson Black, avait généreusement aidé les fouilles), large participation internationale durant les 17 premières années de cette recherche : le site de l'Homme de Pékin, certes préhistorique, était ainsi devenu historique, et ce notamment depuis cette découverte de Pei Wenzhong de 1929. Après une interruption d'un quart de siècle durant lequel la collection d'Hominidés des années 20 et 30 disparut, les recherches ont repris avec succès sous l'autorité de Woo Rukang. Zhoukoudian est ainsi demeuré un des 7 ou 8 sites paléoanthropologiques les plus fameux du monde ; il a été déclaré Site protégé par le State Council of China en 1971, inscrit sur la liste des sites du patrimoine mondial par l'UNESCO en 1987 et choisi, comme lieu de formation de la jeunesse de Beijing par la municipalité de cette très grande métropole en 1992. Au début de 1994, les collègues chinois se sont inquiétés devant la dégradation naturelle de la localité 1 de Zhoukoudian, fréquentée par plus de 200.000 visiteurs par an et ils ont demandé à l'UNESCO son aide pour l'entretien de ce "Monument". L'UNESCO répercuta alors cette demande, pour la collecte des fonds, sur une Société française privée Mondial Assistance qui créa pour la circonstance une Société "antenne" Assistance Ethno. L'UNESCO et son Directeur général d'alors, Federico Mayor, me demandèrent d'être, pour cette question, consultant de l'Institution tandis que Mondial Assistance et Assistance Ethno me prirent pour expert. Le 29 mars 1995, un accord tripartite pour la Rehabilitation, Protection and Conservation of the Peking Man World Heritage Site fut signé à Paris, à l'UNESCO, entre l'Académie chinoise des Sciences, l'United Nations Educationnal, Scientific and Cultural Organization, et l'Association Assistance Ethno - la délégation chinoise était conduite par Madame Hu Qi Heng, Vice-Présidente de l'Académie chinoise des Sciences. Le but de ce projet était en fait plus large qu'il n'avait été proposé à l'origine ; il concernait trois points : la restauration du site et sa conservation, le renouvellement de l'information scientifique du public, la reprise de la recherche scientifique. Un ITC de l'UNESCO (Comité technique international) fut établi ; il se réunit une première fois à Beijing en 1996 sous la présidence de Madame Chang Meeman et traita des 3 points proposés. Une première campagne de recherche eut lieu juste après, menée par une équipe française de iii

géologues et de géophysiciens d'EDF (Electricité de France). C'est donc un plaisir pour moi de saisir cette tribune pour faire connaître les premiers résultats de cette toute récente recherche : des mesures microgravimétriques, électromagnétiques(EM 38, EM 31, EM 34), magnétiques et électriques ont été réalisées sur l'ensemble du site ; ont été pris 639 points microgravimétriques sur profils, 143 points microgravimétriques EMG, 834 points électromagnétiques EM 31, 985 EM 38 en position horizontale, 985 EM 38 en position verticale, 100 points électromagnétiques EM 34, 176 points magnétiques et faits 8 sondages électriques. Ce travail sous l'autorité de Marc Albouy, Contrôleur général et responsable du Mécénat technologique et scientifique d'EDF, a été réalisé par Pierre Delétie, Jean-Paul Blais, Patrick Allombert, Jean-Pierre Baron, André Cocquart ingénieurs et par Qinqi Xu, Dong Wei et Tong Haowen, universitaires de l'Institut de Paléontologie des Vertébrés et de Paléoanthropologie de l'Académie des Sciences de Chine. Je retiendrai trois importants résultats : la colonne sédimentaire de la localité 1 s'est avérée puissante d'une cinquantaine de mètres au moins alors que quarante seulement ont été fouillées, mais ceci était connu depuis longtemps des collègues chinois ; l'entrée probable de la localité 1 s'est dessinée sous les escaliers d'accès au site et au-delà, dans cette même direction ; les localités 4 et 5, alignées le long de failles parallèles au grand axe de la faille principale de la localité 1, se révèlèrent plus riches qu'elles n'étaient apparues à la fouille ; enfin et surtout une localité nouvelle très développée, repérée pour la première fois, est apparue sur le flanc ouest de la colline de Zhoukoudian avec débouché possible sur le thalweg limitant ce flanc au Sud. Je souhaite évidemment vivement que cette première phase de prospection non invasive s'achève par une campagne de forages, confirmant l'existence (ou non) de ces karsts et informant sur l'existence et la nature de leurs contenus. La phase suivante appartient évidemment aux collègues chinois. Je voudrais saluer pour finir la haute tenue de ce rendez-vous scientifique international de 1999 à Beijing ; il a permis à la Chine de présenter à la communauté paléoanthropologique mondiale la très belle qualité de ses jeunes générations de paléontologues et préhistoirens, la longue liste des nouveaux sites de cet immense pays, l'incroyable ancienneté des plus vieux d'entre eux ; les collègues européens, nord-américains, sud-américains, africains et d'autres pays d'Asie , le Japon, la Vietnam, la Corée, la Thaïlande, l'Inde, sont venus débattre du statut des Hommes fossiles d'Asie de manière comparée, en leur appliquant parfois des méthodes nouvelles d'études telles que la reconstitution assistée par ordinateur en 3 dimensions , débattre aussi de leurs outillages, de leur environnement, de la taphonomie de leurs sites ; des travaux originaux, sans rapport obligé avec le monde asiatique, ont été évidemment présentés à cette occasion, des travaux théoriques - le rôle de la mousson dans le déploiement des Hommes, l'origine bipède des ancêtres communs des Hominidés et des Grands singes -, des travaux généraux - la flexion spheno-occipitale et les canaux semicirculaires des Hominidés successifs des descriptions de pièces fossiles originales (d'Allemagne par exemple, d'Espagne aussi) et des tentatives de synthèse sur le peuplement humain de certains continents, sur la maîtrise du feu etc. Mais ces Actes sont évidemment en eux-mêmes le meilleur témoignage de l'importance de la rencontre. Comment ne pas user de ce privilège de préfacier pour dire pour finir toute ma reconnaissance aux collègues chinois pour la chaleur et l'élégance de leur accueil, et à la République populaire de Chine, qui fêtait d'ailleurs son cinquantième anniversaire en même temps que se réunissait notre Congrès, pour son invitation ; pour dire aussi aux collègues chinois toute mon admiration pour la qualité et l'originalité de leurs travaux dont je suis toujours très curieux de connaître les résultats ; pour leur dire enfin qu'après être venu à Beijing et à Zhoukoudian déjà 4 fois (1995, 1996, 1998, 1999), j'ai grand espoir de leur rendre encore bien d'autres fois visite, par intérêt scientifique, mais aussi par plaisir et par affection.

Yves Coppens 29 September, 2000, Paris

iv

Contents Story of Monsoon — A New Environmental Interpretation of Origination of Hominid⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 1 LIU T-S, WANG Q

Human Evolution in the Last Million Years — The Atapuerca Evidence ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 8 ROSAS A

What Constitutes Homo erectus? ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 18 SCHWARTZ JH, TATTERSALL I

Review of the Phylogenetic Position of Chinese Homo erectus in Light of Midfacial Morphology ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 23 WANG Q, TOBIAS PV

Restoration of the Face of Javanese Homo erectus Sangiran 17 and Re-evaluation of Regional Continuity in Australasia ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 34 BABA H, AZIZ F, NARASAKI S

Two New Human Fossil Remains Discovered in Sangiran (Central Java, Indonesia) ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 41 GRIMAUD-HERVE D, WIDIANTO H, JACOB T

Finding of a Hominid Lower Central Incisor During the 1997 Excavation in Sangiran, Central Java ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 46 BABA H, AZIZ F, NARASAKI S et al.

Thickness Mapping of the Occipital Bone on CT-data — a New Approach Applied on OH 9 ⋅⋅⋅⋅⋅⋅ 52 WEBER GW, KIM J, NEUMAIER A et al.

The Period of Transition between Homo erectus and Homo sapiens in East and Southeast Asia: New Perspectives by the Way of Geometric Morphometrics ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 62 DETROIT F

Neural Tube, Spheno-occipital Flexion and Semi-circular Canals in Modern and Fossil Hominids ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 69 DAMBRICOURT MALASSE A, MARTIN JP, de KERVILER E

Enamel Microstructure of Lufengpithecus lufengensis ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 77 ZHAO L-X, LU Q-W, XU Q-H

Arboreal Primates and Origin of Diagonal gait ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 83 LI Y

Computer-Assisted Paleoanthropology: Methods, Techniques and Applications ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 90 ZOLLIKOFER CPE, PONCE de LE ÓN MS

Variability of Pliocene Lithic Productions in East Africa ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 98 ROCHE H

Greeting Chinese Paleolithic Archaeology in the 21th Century (A Retrospective) ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 104 HUANG W-W

Trends Peculiar to the Chinese Palaeolithic ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 115 OTTE M

A Use-Wear Study of Lithic Artifacts from Xiaochangliang and Hominid Activities in the Nihwean basin ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 119 SHEN C, CHEN C

Early Palaeolithic Occupation of Southwestern China and Adjacent Areas of Vietnam and Thailand ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 126 SCHEPARTZ LA, MILLER-ANTONIO S, BAKKEN DA

A Study of Lower Palaeolithic Cultural Remains from Pallahara in Eastern India ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 132 RAY R

v

Lower Palaeolithic Hunting Weapons from Schöningen, Germany –The Oldest Spears in the World– ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 140 THIEME H

Man in South America ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 148 BELTR ÃO MCMC, PEREZ RAR

Interpretation of Lithic Technology at Zhoukoudian Locality 15 ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 156 GAO X

Appearance of Early Blade Technique in Northeast Asia ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 166 MATSUFUJI K

Early Middle Palaeolithic Blade Technology in Southwestern Asia ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 170 MEIGNEN L

Blade Production During the Middle Paleolithic in Northwestern Europe ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 181 DELAGNES A

The First part of Upper Paleolithic in Western Europe: New Results on the Abri Pataud (Les Eyzies-de-Tayac, Dordogne) ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 189 NESPOULET R

Paleolithic Site Discovered at Dongfang Plaza, Beijing ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 194 LI C-R, FENG X-W, YU J-C

Fire Control by Homo erectus in East Africa and Asia ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 198 ROWLETT RM

Cave Occupation, Fire-making, Hominid/Carnivore Coevolution, and Middle Pleistocene Emergence of Home-base Settlement Systems ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 209 ROLLAND N

Evidence for the Use of Fire at Zhoukoudian ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 218 WEINER S, BAR-YOSEF O, GOLDBERG P et al. Large Mammalian Carnivores as a Taphonomic Factor in the Bone Accumulation at Zhoukoudian ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 224 BOAZ NT, CIOCHON RL, XU Q-Q et al.

A Preliminary Study on the Early Pleistocene Deposits and the Mammalian Fauna from the Renzi Cave, Fanchang, Anhui, China ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 235 JIN C-Z, DONG W, LIU J-Y et al.

A Comparative Analysis on the Mammalian Faunas Associated with Homo erectus in China⋅⋅⋅⋅⋅ 246 DONG W, JIN C-Z, XU Q-Q et al.

Quaternary Rhinoceros of China ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 257 TONG H-W, MOIGNE A-M

Immigration of Mammals into Japan during the Quaternary, with Comments on Land or Ice Bridge Formation Enabled Human Immigration ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 264 KAWAMURA Y, TARUNO H

Revised Paleomagnetic Age of the Nihewan Group at Xujiayao Palaeolithic Site ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 270 L ØVLIE R, SU P, FAN X-Z et al.

Chronological Studies on Chinese Middle-Late Pleistocene Hominid Sites, Actualities and Prospects ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 279 SHEN G-J, WANG J-Q

A Review of the Tephrochronological Studies of Paleolithic Cultures in Japan ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 285 SODA T, SUGIYMA S

The Scientific Influence that Dr. Davidson Black (Bu Dasheng) Had on Chinese Prehistory ⋅⋅⋅⋅⋅⋅ 292 CORMACK JL

Davidson Black and Raymond A. Dart: Asia-African Parallels in Palaeo-Anthropology ⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅⋅ 299 Tobias PV, Wang Q, Cormack JL vi

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

1-7

Story of Monsoon –-- A New Environmental Hypothesis of Origination of Hominid: A preliminary Account LIU Tunsheng1 , WANG Qian2, 3 (1. Institute of Geology, Chinese Academy of Sciences, Beijing 100029,China; 2. Institute of Vertebrate Paleontology and Paleoanthropology, Chinese Academy of Sciences, Beijing,100044, China; 3. Sterkfontein Research Unit, Department of Anatomical Sciences, University of the Witwatersrand, Parktown 2193, Johannesburg, South Africa)

Abstract A new environmental hypothesis of origination of hominid, “Story of Monsoon”, is preliminarily introduced. The geochronological correlation of the key events during evolutions of the monsoon system and hominid discloses environmental forces behind hominid evolution and implies that the emergence of modern monsoon system in Miocene might have been triggered origination of hominid. The monsoon-dominated provinces are therefore theoretically sites cradling hominid. Miocene China and adjacent regions are important in research into development of monsoon system and origination of hominid.

Key words: Monsoon; Origination of hominid; Miocene China

1 Environmental background of hominid origination The origin of the human lineage is one of the most fascinating issues in the field of paleoanthropology. To date, the fossils of the accepted earliest hominid, the australopithecines, are only recovered in Africa. Thus, it is generally accepted that hominid originated from a kind of African ape. The timing is somewhere around 7 million years before the present on the basis of reconciliation between fossil record and molecular clock. But how did human originate? It has for over a century been a problem since Darwin’s time. It is self-evident that hominid appeared and evolved in the context of changing environment before human culture prevailed. The exact environmental background in which hominid originated has being concerned for long[1-4]. The research in environmental around the origination of hominid has been concentrated in Africa. Several hypotheses of the ecosystem have been put forward to interpret why and how human originated, such as “Savannah Hypothesis” (SH) and “East Side Story” (ESS)[1]. SH has been proposed for decades. It emphasizes the role of the Savannah playing in driving ape-hominid transformation. When forest gave way to the Savannah, apes had to go down to the ground and then became ground dwelling. Some apes began to habitually walk with only two hind limbs that marked the emergence of hominids. ESS then elaborates SH by singling out the exact site where origination of hominid happened. It is said that the Africa’s great barrier, the Rifts, which is responsible for the splitting of ape and hominid. To its west, where apes persisted in the surviving forest, while from the more arid open provinces of its east, hominids emerged. However, while there is an increasing number of discoveries of australopithecines and more detailed analyses of their associated fauna, the above-mentioned hypotheses are put in question. In Eastern and Southern Africa, the environments reconstructed for australopithecines when they lived are not the open Savannah, but woodland and forest[5]. Furthermore, a new species Australopithecus bahrelghazali was found in early 1990s in Chad, about 2500 kilometers west of the Rift. This surprising discovery expands the australopithecine territory from the southern and eastern Africa to middle Africa, westward across the Rift. Here again hominid lived with woodland and forest associated animals[6-7]. The significance of these advances suggest origination of hominid is not necessarily an Eastern African event or an African Savannah story, and negate the popular traditional hypotheses of ecosystem mentioned above. In fact, no regional climate system exists in isolation. It is part of a Biography: LIU Tunsheng, Professor at the Institute of Geology and Member of Chinese Academy of Sciences, specialised in Quaternary research.

ACTA ANTHROPOLOGICA SINICA

2

Supplement to Vol. 19, 2000

global integrated climatic system. Like any other animals and plants, humankind is one of the products of the lowest level within the Earth Ecosystem at a certain period. Therefore, it is better to address this issue from a globe perspective. When we look at the global environmental changes in Miocene, monsoon enters the scene. We have noticed that the Miocene great apes (the candidates of common ancestor of hominids and modern apes) and the early members of the first hominids (australopithecines) have been found exclusively in the modern monsoon-dominated regions (including large parts of Northeastern Africa and Asia, even the coastal areas along the Mediterranean in Europe. During geological periods, monsoons once covered further north than those do today as the results of northward drift of all continents except the Antarctic) (Figure 1), where the monsoon controls the natural environment by transporting vapor and heat This phenomenon triggers our interest in considering monsoon and hominid together.

Figure 1

Modern Monsoon dominated regions and distribution of Early Homo and Miocene Hominoid

2 Correlation of Key events in Time between Monsoon and Hominid From current knowledge of origins and evolutions of human and his ancestors, the following five splitting points are very necessary to lead to modern humans.

LIU et al.: Story of Monsoon -- A New Environmental Hypothesis of Origination of Hominid: A preliminary Account

1. 2.

3.

4. 5.

3

Emergence of high primates, or their splitting from the reminder of low primates. Current Chinese fossils evidence points to ~45 Ma B.P. in the late Middle Eocene [8]. Splitting of hominoids from one another or from an orangoid lineage. This event led to the emergence of the latest common ancestor of humans and modern great apes. The fossil evidence in Africa and Asia is over ~20 Ma B.P., but the molecular evidence supports a latter date. The timing of reconciliation is about 15 Ma B.P. Splitting of an (?African) hominoid lineage into the Hominidae and the lines leading respectively to Pan and Gorilla. This is without date the most critical event relating to humankind. From molecular date, supported tolerably by fossil evidence, this cladogenesis is set at somewhere between 9 to 5 million years, but the earliest fossil evidence (Australopithecus or australopithecine) observed in Africa so far in no more than 4.2 million years ago. Again, a compromising date, 7 Ma B.P. is accepted for this event. Emergence of Homo, splitting of Homo habilis from the rest of australopithecines. On present fossil and paleolithic evidence in Africa, this event seems to lie about 2.5 Ma B.P.. The emergence of modern humans (However it is a cladogenetic or non-cladogenetic event is not clear). Again, the date the molecular date, about 200 ka is earlier than that of fossil record observed, about 125 ka B.P. in Africa and Western Asia. The accepted date is 150ka.

A good way to detect the internal link between hominid and his environment is to correlate the events in evolutions of humankind and climate respectively in a temporal frame, which has been conducted by many scholars[3,9-10]. Following these examples, we correlate the key events in time of hominid and monsoon and surprisingly we find that some key events of both sides are almost contemporaneous. Based on the current temporal frame of hominid events, we are able to compare it with that of monsoon events. Time & Epoch (in Million years B.P.)

Key Events in Hominid Evolution

Major Events in Monsoon Evolution

0.15 - l .(M.Pleistocene)

Modern human originates

Winter Monsoon intensifies

2.5

Homo habilis emerges

Winter Monsoon intensifies

Hominid originates

Modern Monsoon configuration appears with emergence of Winter Monsoon

The latest common ancestor of modern apes and hominids appears

Monsoon system reorganized with disappearance of planetary circulation and intensification of Summer Monsoon

Higher Primates originate

Planetary circulation dominates

7 15

(L. Miocene) (m.M. Miocene)

Oligocene 45 (l.M. Eocene) ( Abbreviations:

Emergence of Summer Monsoons

l: late; m: middle; M: Middle )

Such a comparison discloses striking temporal coincidence in key events between hominid and monsoon. If both temporal frames based on current knowledge of the dating methods (both geochronological and molecular) and fossil records, are correct and the correlation in time is not pure coincidence, then based on the rough synchronicity, we are able to conclude that the process of hominidization might have been influenced or triggered by the monsoon. The hominid events since origination of hominid are exclusively linked to the intensification events of the Winter Monsoon, which may suggest the tempos of hominid evolution is more controlled by the worsening of environmental conditions. Besides, the Miocene events are worth of specially considering: the emergence of the latest common ancestor of modern apes and hominids, and the splitting of hominid lineage from ape’s, are contemporaneous with the beginning of the elements of modern monsoon system and the emergence of the configuration of modern monsoon system. On considering this phenomenon, we may be able

4

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

to conclude that emergence of modern monsoon system might have been triggered origination of hominid. Hominid is a natural result of the coupling of the environment dominated by monsoon and a Miocene great ape living in monsoon-dominated provinces. We thus build a new hypothesis of origination of hominid, “Story of Monsoon”. The formation of modern monsoon system has been very well studied[11-14]. The changes of land-sea distribution in the Miocene led to the transformation of atmospheric circulation and the emergence of modern monsoon system; monsoon then changed the environment with the heat and water it transported; and as a result, environmental forces triggered ape transformed to hominid. Origination of hominid thus is basically a result of global changes. However, as a middle-level production of the Earth Ecosystem (interaction among lithosphere, hydrosphere, biosphere and extraterrestrial energy), monsoon forms a gook link between humankind and global changes, therefore only in this sense, we state that hominid phenomenon in the Miocene is a monsoon event. Figure 2 shows the relations between humankind and monsoon.

Earth Ecosystem Monsoon Ecosystem within Monsoon Dominated Region Humankind Figure 2

Relation between Monsoon and Humankind

But now we are not able to make a statement that which kind of niche first hominid possessed. The concrete painting of this key event needs more detailed work and more discoveries. However, “Story of Monsoon” provides an alternative and probably a better macro-geographical foundation for advancing the study of Late Miocene environmental variation and origination of hominid. It encourages a much wider investigation of the ape-hominid transition, which has focused on Eastern Africa during all the second half of the recently past 20th Century. The forest and dense woodlands once formed a wide area connecting Africa, Europe and Asia[15-17], where Miocene hominoids or great apes widely lived, and were under the influence of the same monsoon system[18]. It would not be rash to suggest that each and every one of the monsoon-dominated provinces once wandered by great apes could cradle hominid. The present-day China has bearing on both monsoon and hominid evolutions, and deserves serious attention.

3 Miocene China’s role in research into evolutions of Monsoon and Hominid Various studies in geology, paleontology, paleoanthropology and paleoenvironment in Miocene China have together disclosed its important role in research into development of monsoon and origination of hominid. First, Miocene tectonic movements in China and adjacent regions played a critic role in shaping the modern monsoon system. The Himalayan and Tibetan Plateau uplift disturbed the heat transportation from the Equator to the Pole, so the Equator-Pole temperature gradient increased, the ice sheet then developed in the Arctic[11-14,19] , the later then directly invigorated the atmospheric circulation and initiated the Asian and Indian monsoon systems, and also influenced the African monsoon though changing the water temperature of the Atlantic Ocean[10]. Thus the tectonic movement of China and adjacent regions shaped the configuration of modern monsoon system. A comprehensive study of the uplift Qinghai-Tibetan Plateau can enable people to restore the scenario of onset and development of the modern monsoon system in a macro way. Secondly, the consecutive eolian deposits of the red clay and the Loess in China locked the valuable information of the past climatic development linked to the development of the monsoon.

LIU et al.: Story of Monsoon -- A New Environmental Hypothesis of Origination of Hominid: A preliminary Account

5

The study of the eolian deposits in China could reveal the development of the monsoon and concrete environments in a micro scale. Thirdly, there are many discoveries of fossils Miocene hominoids or great apes in China (in monsoon regions of course, Figure 3 ) and especially, Lufengpithecus in Yunnan Province, southern China. It has been proposed to be a possible common ancestor of modern apes and hominid by certain scholars[20]. Fourthly, present-day China underwent the same trend of environmental changes and showed deforestation conditions in ape habitats as Africa at that time. It may be one of the candidate provinces for ape-hominid transition.

Figure 3

The Miocene of China

4 The implication of “Story of Monsoon”: From Origination to Extinction Monsoons are of immerse importance to modern mankind too. It is estimated that over half of the earth’s population lives in the monsoon zones today. If there exist internal links between monsoon and humankind, even the mechanism behind this nexus is not very clear now, we should be alert at the human-induced alternation on modern climates. The knowledge of the past is our useful guide to what may befall us in the future. In view of the “Story of Monsoon”, a better understanding of present variations of monsoons and environments is imperative. If monsoon could

6

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

trigger hominid origins on the one hand; it may be able to exterminate hominids in certain cases on the other hand. The recent strong and devastating El Nino, has been triggered by human-induced greenhouse[21-22]. When we disturb nature enough, as a result the monsoon configuration may be transformed. What kind of evolutionary scenario shall we be confronting then?

5 Conclusions How to vindicate and then elaborate “Story of Monsoon” still awaits further studies and discussions. We can draw some preliminary conclusions at the present: 1. The origination of hominid is probably a monsoon event, triggered by the emergence of the modern monsoon system in the Late Miocene. 2. Hominid might have originated in any of monsoon-dominated provinces where great apes once lived. 3. Miocene China has important bearings on research into development of monsoon and origination of hominid. We hope that this preliminary discussion on the environmental forces behind origination of hominid could help enhance our awareness of the nexus between humankind and nature, and to strengthen the multidisciplinary research in the past, present and future of humankind. Acknowledgements: We are grateful to Professor WU Xin-zhi for reviewing this article, and also to Mr. SHEN Wen-long for preparing the figures. The second author (QW) sincerely thanks the Fund of Special Subject of the Natural Scientific Foundation of China and the National Research Foundation (NRF) of South Africa for financial support. References: [1] COPPENS Y. Le singe,l’Afrique et l’Homme [M]. Paris: Rayard Press, 1983. [2] COPPENS Y, HOWELL FC, ISSAC GL et al. eds. Earliest Man and Environments in the Lake Rudolf Basin [M]. University of Chicago Press, 1984. [3] VRBA ES. Early hominids in southern Africa: updated observations on chronological back ground [A]. Hominid Evolution: Past, Present and Future. Alan R. Liss. 1985, 195-200. [4] TOBIAS PV. The environmental background of homonid emergence and the appearance of the genus Homo [J]. Hum Evol, 1991, 6:129-142. [5] WOLDEGABRIEL G, WHITE TD, SUWA G et al. Ecological and temporal placement of early Pliocene hominid at Aramis, Ethiopia [J]. Nature, 1994, 371:330-333. [6] BRUNET M, BEAUVILLAIN A, COPPENS Y et al. The first australopithecine 2,500 kilometres west of the Rift valley (Chad) [J]. Nature, 1995, 378:273-274. [7] BRUNET M, BEAUVILAIN A, COPPENS Y et al. Australopithecus bahrelghazali, une nouvelle espece d’Hominide anciene de la region de Koro Toro (Tchad) [J]. C.R. Acad. Sci. Paris, 1996, 322:907-913. [8] BEARD KC, TONG Y, DAWSON MR et al. Earliest complete dentition of an Anthropoid primate from the late Middle Eocene of Shanxi Province, China [J]. Science, 1996, 272:82-85. [9] TOBIAS PV. Ten climatic events in hominid evolution [J]. S Afr J Sci, 1985, 81:271-272. [10] DEMENOCAL P. Plio-Pleistocene Africa climate [J]. Science, 1995, 270:53-59. [11] LIU T, ZHENG M, GUO Z. The origin and development of Asian monsoon system and its temporal coupling with the ice sheet in two Poles and regional tectonic movements [J]. Quat Res, 1998, 3:194-204. [12] LU Y, DING G. A few Asian paleo-monsoon associated problems of Cenozoic tectonic development in China and adjacent regions [J]. Quat Res, 1998, 3:205-212 [13] WANG P. Asian deformation and global cooling – a research into the relation between climate and tectonics [J]. Quat Res, 1998, 3:213-221. [14] SHI Y, TANG M, MA Y. Discussion of relation between the second-step Qinghai-Tibetan uplift and conception of Asian monsoons [J]. Chinese Science Series D, 1998, 28:263-271. [15] KURTEN B. The Chinese Hipparion fauna [J]. Soc Sci Fennica Comment Biol, 1951, 8:1-34.

LIU et al.: Story of Monsoon -- A New Environmental Hypothesis of Origination of Hominid: A preliminary Account

7

[16] BERNOR RL. Geochronology and zoogeographic relationships of Miocene Hominidae [A]. New Interpretation of Ape and Human Ancestry. New York: Plenum Press, 1983, 21-66. [17] QIU Z. Tongur Micromammal Fauna in Middle Miocene in Innermongolia [M]. Beijing: Science Press, 1996. [18] LIU T, DING Z. The similarities of environmental changes in monsoon-dominated provinces and their bearings on hominid evolution [J]. Quat Res, 1999, 3:289-298. [19] SAVIN SM, DOUGLAS RG, STEHLI FG. Tertiary marine paleotemperature [J]. Geol Soc Am Bull, 1975, 86:14991510. [20] WU R, XU Q, LU Q. The relationship between Lufeng Sivapithecus and Ramapithecus and their phylogenetic positions [J]. Acta Anthropol Sin, 1986, 5:1-30. [21] MEEHL GA, WASHINGTON WM. El Nino-like climatic change in a model with increased atmospheric CO2 concentration [J]. Nature, 1996, 382:56-60. [22] TIMMERMANN A, OBERHUBER J, BACHER M et al. Increased El Nino frequency in a climate model forced by future greenhouse warming [J]. Nature, 1999, 398:694-697.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

8-17

Human Evolution in the Last Million Years — The Atapuerca Evidence Antonio ROSAS (Departamento de Paleobiología, Museo Nacional de Ciencias Naturales, c/ José G. Abascal 2, 28006 Madrid, Spain)

Abstract The contribution of the human fossil remains recovered at the Sierra de Atapuerca sites (Spain) to the model of human evolution during the last million years is explored. The Atapuerca Research Team (ART) have been studying these fossils over 20 years and their results have helped to discern a clearer picture of the processes and events in human evolution. One of the most relevant contributions of the ART to paleoanthropology has been the discovery of human remains from the Lower Pleistocene, and the proposal of the new species Homo antecessor as the last common ancestor to Neanderthals and modern humans (H. sapiens). We consider that the species H. antecessor emerged in Africa as a descendent of H. ergaster populations, about 1 my ago. According to our model, once this new species became differentiated, its most significant feature being the acquisition of a modern human middle face, some of its populations emigrated out of Africa and reached Europe. Other Homo antecessor populations remained living in Africa where, following evolutionary processes still badly known, they gave rise to the species H. sapiens; perhaps by means of an intermediate species. In Europe, however, populations of H. antecessor suffered divergent evolutionary processes giving rise to the human populations inhabiting Europe during the Middle Pleistocene; a species known under the name H. heidelbergensis. These populations maintained their specialisation processes, and gave rise to the Neanderthals. Therefore, Homo antecessor is located at a key point of the hominid evolution, at the divergence of H. sapiens and Neanderthals. There is still a long way in the study and comparison of the Atapuerca remains with other fossils from Africa and Asia in order to contrast the proposed evolutionary scenario and to define the processes of evolution that, from H antecessor, originated the modern human forms.

Key words:

Atapuerca; Homo antecessor; Human evolution; Lower Pleistocene; Middle Pleistocene

1

Introduction

The Atapuerca Hills (Burgos, Spain) contain a system of karstic cavities with rich archaeological and paleontological record. The sedimentary infillings range in time from Lower Pleistocene (older than 1.2 my) to present time. The South bank of the Atapuerca Hills was sectioned during the engineering of a railway trench, and several cavities and sedimentary sequences become exposed. Three of the different sites of the Atapuerca karst system have given Pleistocene human remains: Gran Dolina (TD-6 level), Sima de los Huesos and Galería. The age of the human fossils ranges from the Lower Pleistocene 0.8 my, in the case of the hypodigm coming from Gran Dolina, to Middle Pleistocene 0.3 my, in the case of the fossils recovered at the Sima de los Huesos site. In this work the way the Atapuerca human remains contribute to the model of human evolution in the last million years is discussed. One of the most relevant results has been the proposal of a new species, Homo antecessor, to accommodate the variability detected in the Gran Dolina fossils [1]. The discovery of human remains in the level 6 (TD-6) in the mentioned Gran Dolina site [2] has conducted to a research program for the re-evaluation of the late Lower and Middle Pleistocene paleoanthropological record [3-4]. In addition, the unique sample of human remains recovered from the Sima de los Huesos (SH) site[5-7] offers a solid basis of comparison for exploring the complex biological variation detected in the European Pleistocene human populations.

2 Evolutionary context and the ongoing debate One of the most enriching debates in paleoanthropology during the last two decades has been the discussion of the origin of the modern human species. There are a number of implications in this debate because the elucidation of the tempo and mode of the H. sapiens origins, even though being of great

ROSAS: Human Evolution in the Last Million Years — The Atapuerca Evidence

9

interest, goes beyond the study of a single species. Its resolution depends on the understanding of the evolution of the genus Homo in, at least, the last million years. In this sense, the human fossils from Europe, and especially those from Atapuerca, represent a key element in the clarification of the problem. The above mentioned debate has been focused on two models: the multiregional model and the “out of Africa” model, widely discussed in the literature [8-12]. The multiregional model supports the evolutionary continuity of human populations during the last million years, which is resolved with geographic differentiation of the living human groups during the Middle Pleistocene [8]. According to this interpretation of the fossil record, the H. sapiens species emerged as an anagenetic differentiation of the ancestor species H. erectus, considered of a wide geographic distribution. On the contrary, the model of the single origin maintains that the H. sapiens was differentiated in Africa, by means of an event of cladogenesis in a relatively recent time (no more than 300.000 years ago). From somewhere in Africa they would have colonised the remaining areas of the planet. A direct consequence of this hypothesis is that hominids from the Middle Pleistocene from Asia and Europe would become extinct without descendants. In this sense, the meaning of the Neanderthals from Europe has been and still is vital for clarifying in what way and under what processes human evolution is resolved (Figure 1). Therefore, the questions about the phylogenetic relationships between H. sapiens and Neanderthals, their degree of kinship and what has been its last common ancestor are important aspects for the explanation of the human evolutionary model.

Figure 1

The outstanding role that the European hominids play at the time of clarifying the origin of our species is recorded

ACTA ANTHROPOLOGICA SINICA

10

3

Supplement to Vol. 19, 2000

The European lineage. The fossils from the Sima de los Huesos site

From a paleontological point of view, defenders of a single and recent origin of H. sapiens have developed an evolutionary scenario in which Neanderthals and modern humans share a common ancestor, represented by the species H. heidelbergensis [12-13]. These authors, after the analysis of the Lower and Middle Pleistocene human remains, have concluded that at some time, at least 0.6 my ago, a speciation event that modified the primitive H. erectus and gave rise to a new species intermediate between H. erectus and H. sapiens took place. For some years, these intermediate populations were called archaic H. sapiens [14], but because of the exigencies of the International code of zoological nomenclature this intermediate human group was denominated H. heidelbergensis. Without going into technical details, the oldest linnean name given to a fossil remain attributed to this new species corresponds to the mandible from Mauer (Heidelberg, Germany), that was named H. heidelbergensis [15]. The most conspicuous change appreciated in the transit H. erectus - H. heidelbergensis concerns the increment of the cephalic volume as well as a series of morphological details that, in one way or another, are related to this cephalic increment. According to this model, H. heidelbergensis would have been originated in Africa by means of a genetic bottle neck [13]. From this hypothetical origin, the new species dispersed and colonised Europe, reaching an Afro-European distribution. The remains from Bodo (Ethiopia) and Kabwe (Broken Hill) (Zambia) are the most representatives from Africa, while the skull from Petralona has represented the H. heidelbergensis from Europe. There exist some remains in Asia, very specially the fossil skull from Dali, found in the Shaanxi province (China), with an estimated age of 0.3 my, whose advanced features have provoked discussion [16]. Authors like Rightmire [13] have proposed that Dali could be an Asian member of H. heidelbergensis. Nevertheless, other more detailed studies have shown that this cranium presents a morphology close to H. erectus, in spite of its size increment [17]. The scenario above summarised presents, however, some unsolved questions. A major problem to the model of H. heidelbergensis is the presence of Neanderthal features in, at least, some of the European Middle Pleistocene human remains, between 0.5 and 0.2 my. The European fossils of this period exhibit an unusual morphological diversity, in such a way that some of them show a large similarity with the Neanderthals whereas others display a more undifferentiated morphology. This pattern of variation has given rise to a variety of interpretations, among which the pre-Neanderthals and pre-sapiens theory should be noted [18]. This state of the art has begun to be solved in a large degree due to the discovery of a large collection of fossil remains in the Sima de los Huesos site at Atapuerca.

Figure 2

Three mandibular specimens from the Sima de los Huesos site, at Atapuerca, with an age of 0.3my. The Atapuerca-SH sample has allowed to ascertain the pattern of variability of the European Middle Pleistocene populations

The unique sample of human remains recovered at the Sima de los Huesos site is clarifying the pattern of variation of the populations of this period, revealing that some individuals express the Neanderthal features more clearly than others (Figure 2). On this basis, a more detailed study shows that all the specimens from the European Middle Pleistocene have already developed derived Neanderthal characteristics. Our conclusion is that the ancestors of Neanderthals were living in Europe at least 0.5

ROSAS: Human Evolution in the Last Million Years — The Atapuerca Evidence

11

my ago. Whatever the process of change giving rise to the Neanderthals this had already begun at least half a million years ago, being well represented in the Mauer mandible [3]. Therefore, the name H. heidelbergensis should be used only for defining the direct ancestors of the Neanderthals, and should not be applied for the Middle Pleistocene human populations from Africa and Asia.

4

The Gran Dolina site and the human fossils from the TD-6 level

In the context of the Atapuerca karst system, the Gran Dolina site is outstanding because of its chronological amplitude, with a long sedimentary sequence of 20 m, rich in archaeological and paleontological record. The upper part of the sequence is of a Middle Pleistocene age [2], while the inferior half dates from the late Lower Pleistocene [19]. The human remains of the species H. antecessor come from the lower half of the sequence[1-2, 20]. The lower levels of Gran Dolina (TD4 and TD5) were excavated in the nineties in a small area, and large mammals were recovered, e.g. equids, rhinoceros and cervids. The TD4 and TD5 levels also had abundant rodent remains, including the species Mimomys savini, of special interest in biochronology. Its presence allows dating the lower part of the Gran Dolina sequence as older than 0.5 my. In addition, as a result of this limited excavation, four stone tools made of quartzite were recovered[21], indicating human occupation in the Atapuerca Hills, and therefore in Europe, in an age older than previously thought. The oldest European hominid, until the discovery of human remains in the Gran Dolina site, had been represented by the Mauer mandible (Germany), whose antiquity was estimated in 0.5 my old. Based on the data known at that date, Roebroeks and kolfschoten [22] published a theory supporting the idea that Europe was depopulated in the lower part of the Middle Pleistocene. In their opinion, the archaeological record did not have enough information to support the hypothesis of human occupation in Europe before 0.5 my. In order to define better their theory, these authors established a biochronological reference. They maintained the genus Homo never coexisted in Europe with the vole Mimomys savini. The earliest human populations would have arrived to Europe after Mimomys savini evolved into Arvicola cantiana. These conclusions were not coincident with the recently published study by Carbonell y Rodríguez [21] regarding the stone tools discovered in the TD-4 level at Gran Dolina. These stone tools, though of a rudimentary appearance, were clearly of human manufacture, and they were associated to a faunal assemblage including Mimomys savini. The theory of a “young Europe”, that is, a first colonisation younger than 0.5 my, did not recognise this evidence. Motivated by this circumstance, a stratigraphic survey of approximately 6 m2 was undertaken in 1994 in the Gran Dolina site in order to look for more evidence supporting an “older Europe” model. To be right in our hypothesis, the results of this survey should offer more definite proof of human occupation in Europe in sediments of the beginning of Middle Pleistocene. In addition, this survey would provide a preliminary documentation of the site before starting extensive digging. Just before the beginning of the survey, experts in paleomagnetism had sampled the stratigraphic sequence of Gran Dolina. Paleomagnetism is a dating technique that relates the age of the sediments with changes of the magnetic polarity occurring in the Earth’s history. A first surprise occurred. At the level 7 of Gran Dolina, a change in the magnetic orientation of the sediments was identified. According to all the indications, change of polarity should correspond to the Matuyama/Brunhes reversal. This meant that the Gran Dolina stratigraphic levels from 1 to 7 are older than 780.000 years [19]. Under these promising antecedents we stated the survey in Gran Dolina. On the sixth of July 1996, the team found, approximately 1 meter below the Matuyama/Brunhes reversal, the first human remains associated to mammal fossils and stone tools. Therefore, the hominids were living in Europe more than 780.000 years ago [2], and furthermore, their archaeological assemblage had the extra value of being located within a long and fertile stratigraphic sequence. This discovery was going to change our picture of the human evolution. For some years, the survey in Gran Dolina has been going on, and has produced results well above the expectancies. It has been possible to delineate which of the levels in the sequence preserve M. savini

ACTA ANTHROPOLOGICA SINICA

12

Supplement to Vol. 19, 2000

and where the evolutionary transition to the derived species A. cantiana is located[23]. The mentioned transition is located in the TD-8 level, meaning that below this layer the age is older than 0.5 my. All these data ratify the evidence of human occupation in the TD-4 level, whose age is nowadays beyond all doubt.

5 The new species: Homo antecessor At present, 85 specimens compose the sample of human remains found at the TD-6 level. This hypodigm includes several fragments of the neurocranium, among which a nearly complete frontal bone is included, 14 isolated dental pieces, a fragment of mandible with M1 and M3 in situ (Figure 3), as well as several post-craneal remains. In 1995 an important fragment of facial skeleton was found. The specimen preserves part of the malar bones and several dental pieces in different stages of development that infer that the individual died at an age of 11 years. The complete set of fossils belongs to a minimum number of six individuals: two adults, possibly females, two individuals that died near to an adolescent age, and two others that died at an immature age of 3-4 years [1].

Figure 3

Essay of composition of the Homo antecessor face, made by a fragment of frontal bone and a reasonably well preserved portion of the middle face (specimen ATD6-69)

The human remains recovered at the Gran Dolina site (Atapuerca) present, among hominids, a unique combination of anatomical characteristics (Figure 4). Based on the human remains recovered at the TD-6 of Gran Dolina site, a new species has been proposed to accommodate the singular variability detected in the sample. The pattern of cranial, dental and mandibular features suggest these hominids belonged to a new species of Homo that was denominated Homo antecessor [1, 24]. The name «antecessor» comes from the Latin word meaning explorer, the pioneer, alluding that the human populations whose remains have been found in Atapuerca represent the first human populations arriving into Europe. The study of these remains has revealed that the anatomy of the first settlers of Europe had a peculiar combination of features. The cranial capacity of these hominids has been estimated over 1000cc, and their skeleton was of a gracile complexion, conversely to the great robusticity of the later

ROSAS: Human Evolution in the Last Million Years — The Atapuerca Evidence

13

hominids that inhabited Europe during the Middle Pleistocene (between 780.000 and 120.000 years). A double-arched browbridge in the Gran Dolina hominids -clearly different from the continuos torus of H. erectus- is to be noted. Furthermore, the dentition displays a primitive condition in H. antecessor, similar in several details to that of Homo ergaster, a hominid species living in East Africa between 1.8 and 1.4 my ago. At the same time, the anterior mandibular teeth are slightly enlarged, like in the European Middle Pleistocene hominids. The mandible is also similar in some features to that of the European populations. But, perhaps, the most surprising feature of H. antecessor is its facial architecture, with a similar configuration to that of Homo sapiens. In our species, the surface of the infraorbital plate has a backward inclination, giving rise to a depression called canine fossa; easily identifiable as a concavity below the cheekbone. The fragment of a malar bone, ATD6-58, belonging to an adult individual also presents a sketch of canine fossa. This circumstance excludes the possibility that the typically modern human middle face of H. antecessor is only an immature feature [25].

Figure 4

The combination of features detected in the human remains from the Lower Pleistocene of the TD-6 level, Gran Dolina site, is shown. H. antecessor, in the middle, shares primitive features with H. ergaster, from the Lower Pleistocene of Africa, as well as typical features of H. sapiens; most especially, the topology of the middle face

This singular combination of features is not found in any other hominid species previously known. In our work, the first step was to test whether the TD-6 hominids could be classified with the European Middle Pleistocene (Mauer, Arago or Sima de los Huesos, this last site also in Atapuerca). We confirmed that these European fossils already show features typical of the Neanderthals, while the TD-6 hominids do not display these sort of features. In our analysis, we also considered the possibility of classifying the TD-6 hominids in H. erectus. However, this latter species has a set of derived traits [26-27] that were not present in the Atapuerca hominids. Could the TD-6 hominids be primitive members of our own species Homo sapiens? The middle face seemed to show a close similarity; but many other features were too primitive. In view of these data, the adopted solution was to define a new species: Homo antecessor.

6

The middle face

The morphology of the middle face is perhaps the most surprising feature found in H. antecessor. The oldest remain showing this morphology before the discovery of the Gran Dolina hominids were the fossils from Djebel Irouhd (Morocco) [28], and Skuhl y Qafzeh, in the Near East, all of them of an age inferior to 0.2 my (late Middle Pleistocene/ early Upper Pleistocene).

14

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

The more singular features defining the architecture of the modern human middle face are the maxillary flexion and the presence of a canine fossa. In order to understand these features we should consider the configuration of the coronal planes of the face. These planes are defined as follows. On the one hand, the infraorbital plane is defined by the surface of the infraorbital plates; that is, the portion of the maxillary and malar bones located below the inferior margin of the orbit. On the other hand, the pyriform plane is defined by the virtual surface of the nasal aperture [25]. In the primitive forms of the genus Homo, both coronal planes of the face are located approximately at the same level, determining a flat facial topography. On the contrary, in the derived forms, such as Neanderthals and H. sapiens, a separation of the coronal planes is found, in such a way that the pyriform plane is located more anteriorly than the infraorbital plane, producing the development of a true nose. H. antecessor is the first species in the hominid evolution that shows a face with a marked relief and a real nose. According to our hypothesis, a divergent evolution takes place from the derived morphology detected in H. antecessor. In the Neanderthals, with the development of a marked mid-facial prognatism, the infraorbital plane undertakes a secondary bulking, as a consequence of the increment of the maxillary sinus located behind the bony wall forming the infraorbital plane. The result is a face where relieves become smoothed. In the evolution of H. sapiens the morphology detected in H. antecessor is maintained. That is, a canine fossa is maintained or increased, representing a depression located on the wall forming the infraorbital plate[29].

7 A new model and pending questions The association of features found in the human fossils from TD-6 lead us to pose the hypothesis that H. antecessor is the last common ancestor to H. sapiens and Neanderthals (Figure 5). In our opinion, H. antecessor originated in Africa 1 my ago, as a descendant of H. ergaster. The presence of a great number of primitive traits in H. antecessor supports this postulate. Once the new species was differentiated in Africa, populations of H. antecessor would have left this continent towards other regions of the planet. At present, we know the presence of H. antecessor in Southern Europe, though it is possible that this species reached some regions of Asia. The Nanjing skulls, dated to 0.4 my, in which a canine fossa can be appreciated, could be potential Asian members of H. antecessor. Recently, Wang[16] and Aguirre (in preparation) have proposed the hypothesis that the forms with a canine fossa would be the ancestors of H. sapiens. Because H. heidelbergensis (sensu Rightmire) does not have a canine fossa, neither the African nor the European members could be ancestors of H. sapiens. In our opinion, the first members of H. antecessor arrived to Europe and during the Middle Pleistocene originated the Neanderthals. Simultaneously, the African populations of H. antecessor evolved during the Middle Pleistocene to give rise to another intermediate species, in this case ancestral to H. sapiens, whose name should be either H. rhodesiensis or H. helmei [12]. This postulate poses the problem that the facial morphology should experience a short of reversion because a canine fossa has not been identified in the hypothetical direct ancestor of modern humans. At the time of understanding this phenomenon it should be considered that the specimen from Gran Dolina belongs to an immature individual of 11 years old; that is, the growth was not completed. One of the hypotheses for consideration is that adults of H. antecessor would have a smooth facial relief, meaning that the canine fossa would disappear or decrease along the growth. Conversely, H. sapiens would retain the immature morphology in the adults. It is open to the possibility that neoteny, a process of heterochrony, could from part of the evolutionary origin of H. sapiens; a classic view of human evolution [30]. All of these aspects raise a number of questions and offer a new scenario for research in paleoanthropology. There are several aspects to be studied, among which the possible relationship between North- and East African populations, on the one hand, and those from South Europe during the late Lower Pleistocene is outstanding.

ROSAS: Human Evolution in the Last Million Years — The Atapuerca Evidence

Figure 5

Phylogenetic scheme of the genus Homo after including the new species H. antecessor, recovered at the Lower Pleistocene of the Gran Dolina site, in Atapuerca. It can be seen that H. antecessor is located in a central position, as the last common ancestor of the Neandertals and H. sapiens. The species H. erectus evolved independently in Asia, and is identified as a lateral branch that is detached early from the basal stem defined by H. ergaster

15

ACTA ANTHROPOLOGICA SINICA

16

Supplement to Vol. 19, 2000

Acknowledgements: I am grateful to the people working every year in the Atapuerca sites. I am thankful to Markus Bastir and Cayetana Martínez for his comments and suggestions. I am especially grateful to Clubs de Rotarios for its financial support during my visit to China. This work is part of the project PB96-1026-C03 of the DGESIC (Spanish government), Programa de Unidades Asociadas, CSIC, and Junta de Castilla y León. References: [1] BERM ÚDEZ DE CASTRO JM, ARSUAGA JL, CARBONELL E et al. A hominid from the Lower Pleistocene of Atapuerca, Spain: Possible ancestor to neandertals and modern humans [J]. Science, 1997, 276:1392-1395. [2] CARBONELL E, BERM ÚDEZ DE CASTRO JM, ARSUAGA JL et al. Lower Pleistocene hominids and artifacts from Atapuerca-TD6 (Spain) [J]. Science, 1995, 269:826-829. [3] ROSAS A, BERM ÚDEZ DE CASTRO JM. The Mauer mandible and the evolutionary significance of Homo heidelbergensis [J]. Geobios, 1998, 31:687-697. [4] ROSAS A, BERM ÚDEZ DE CASTRO JM. On the taxonomic affinities of the Dmanisi mandible (Georgia) [J]. Am J Phys Anthropol, 1998, 107:145-162. [5] AGUIRRE E, ARSUAGA JL, BERM ÚDEZ DE CASTRO JM et al. The Atapuerca Sites and the Ibeas Hominids [J]. Hum Evol, 1990, 5:55-73. [6] ARSUAGA JL, CARRETERO JM, GRACIA A et al. Taphonomical analysis of the human sample from the Sima de los Huesos Middle Pleistocene site (Atapuerca/Ibeas, Spain) [J]. Hum Evol, 1990, 5:505-513. [7] ARSUAGA JL, MARTÍNEZ I, GRACIA A et al. Sima de los Huesos (Sierra de Atapuerca, Spain) [J]. The site. J Hum Evol, 1997, 33:109-127. [8] WOLPOFF MH, WU X, THORNE AG. Modern Homo sapiens origins: A general theory of hominid evolution involving the fossil evidence from East Asia [A]. In: The Origins of Modern Humans, Spencer FH ed. New York: Alan R. Liss, 1984, 411-483. [9] STRINGER CB, ANDREWS P. Genetic and fossil evidence for the origin of modern humans [J]. Science, 1988, 239:1263-1268. [10] LAHR MM. The multiregional model of modern human origins: A reassessment of its morphological basis [J]. J Hum Evol, 1994, 26:23-56. [11] LIEBERMAN DE. Testing hypotheses about recent human evolution from skulls [J]. Curr Anthropol, 1995, 36:159197. [12] STRINGER CB. Current issues in modern human origins [A]. Contemporary Issues in Human Evolution, 1996, 115134. [13] RIGHTMIRE GP. The human cranium from Bodo: Evidence for speciation in the Middle Pleistocene [J]? J Hum Evol, 1996, 31:21-39. [14] STRINGER CB, HOWELL FC, MELENTIS JK. The significance of the fossil hominid skull from Petralona, Greece [J]. J Archaeol Sci, 1997, 6:235-253. [15]

SCHOETENSACK O. Der unterkiefer des Homo heildergensisaus den Sanden von Mauer bei Heidelberg. W. Engelmann, 1908.

[16] WANG Q. An analysis of facial topography and its implication for Homo erectus. Phylogenetic position [A]. In: Abstracts International Symposium on Palaeoanthropology, Beijing 1999, 2. [17] CAPARROS M. Dali: archaic Homo sapiens or evolved Homo erectus?[A] In: Abstracts International Symposium on Palaeoanthropology, Beijing 1999, 21. [18] VALLOIS HV. Neandertals and Presapiens [J]. J R Anthropol Inst, 1954, 84:111-130. [19] PARÉS JM, PÉREZ-GONZ ÁLEZ A. Paleomagnetic age for hominid fossils at Atapuerca archaelogical site, Spain [J]. Science, 1995, 269:830-832. [20] CARBONELL E, BERM ÚDEZ DE CASTRO JM, ARSUAGA JL. Preface [J]. J Hum Evol, 1999, 37:309-311. [21] CARBONELL E, RODRÍGUEZ XP. Early Middle Pleistocene deposits and artifacts in the Gran Dolina site (TD4) of the "Sierra de Atapuerca" (Burgos, Spain) [J]. J Hum Evol, 1994, 26:291-311. [22] ROEBROEKS W, VAN KOLFSCHOTEN T. The earliest occupation of Europe. A short chronology [J]. Antiquity, 1994, 68:489-523. [23] CUENCA-BESC ÓS G, LAPLANA C, CANUDO JI. Biochronological implications of the Arvicolidae (Rodentia, Mammalia) from the Lower Pleistocene hominid-bearing level of Trinchera Dolina 6 (TD6, Atapuerca, Spain) [J]. J Hum Evol, 1999, 37:353-373.

ROSAS: Human Evolution in the Last Million Years — The Atapuerca Evidence

17

[24] ROSAS A, BERM ÚDEZ DE CASTRO JM. Human remains from the Gran Dolina (TD6 level, Sierra de Atapuerca, Spain), and the questionn of the common ancestor of Modern Humans and Neanderthals [A]. In: Abstracts International Symposium on Palaeoanthropology, Beijing, 1999, 37. [25] ARSUAGA JL, MARTÍNEZ I, LORENZO C et al. The human cranial remains from Gran Dolina Lower Pleistocene site (Sierra de Atapuerca, Spain) [J]. J Hum Evol, 1999, 37:431-457. [26] ANDREWS P. An alternative interpretation of characters used to define Homo erectus [J]. Cour Forsch Inst Senckenberg, 1984, 69:167-175. [27] WOOD BA. The origin of Homo erectus [J]. Cour Forsch Inst Senckenberg, 1984, 69:99-111. [28] HUBLIN JJ, TILLIER AM. Les enfants mousteriens de Jebel Irhoud (Maroc) comparaison avec les néandertaliens juvéniles d'Europe [J]. Bull. Mém. Soc. d'Anthrop. de Paris, 1988, 5 :237-246. [29] MAUREILLE B. La face chez Homo erectus et Homo sapiens: recherche sur la variabilité morphologique et métrique [D]. Thèse de l'Université Bordeaux I, nº 1157, Université Bordeaux, Bordeaux, 1994. [30] GOULD SJ. Ontogeny and Phylogeny [M]. Cambridge, Massachusetts: Harvard University Press, 1977.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

18-22

What Constitutes Homo erectus? Jeffrey H. SCHWARTZ1, 2, Ian TATTERSALL2 (1. Departments of Anthropology and History and Philosophy of Science, University of Pittsburgh, Pittsburgh, PA 15260, USA; 2. Department of Anthropology, American Museum of Natural History, New York, NY 10024, USA)

Abstract Although some paleoanthropologists maintain that the taxon Homo erectus not only subsumes Asian earlymiddle Pleistocene fossil hominids, but also contemporaneous specimens from Africa, morphology clearly sets off the Asian material from all other hominids. In recognition of notable morphological differences, the species H. ergaster has been proposed for the non-erectus African specimens. But even with this nod toward recognizing taxic diversity in the early-middle Pleistocene hominid fossil record, our studies indicate that neither “species” constitutes a unified taxon. Instead, within “erectus” as well as within “ergaster,” different cranial and dental morphs can be distinguished. In other groups of primates (e.g. lorisids), similar levels of difference serve to delineate genera. Although we are not necessarily advocating this degree of taxonomic representation across the board with regard to the morphs within “ergaster” and “erectus,” we do find this situation compelling in terms of calling for a greater recognition of species diversity within Homo. In this regard, we note that the more complete Sangiran crania, which are in external details similar to the type specimen of Homo erectus from Trinil, and thus also distinguished from the Ngandong and Zhoukoudian “Homo erectus,” are further distinguished from these as well as all other known hominids (and primates in general) in having a very derived pattern of intracranial sinus drainage. As such, the species erectus, which should be restricted to the Trinil and Sangiran hominid specimens, cannot be ancestral to any other known hominid.

Key words: Trinil; Sangiran; Ngandong; Zhoukoudian; Koobi Fora; Homo ergaster

1

Introduction

The history of Homo erectus as a recognized hominid species parallels that of hominids in general. Although early on in hominid studies many different taxa—species as well as genera— were recognized, the tendency during the latter half of the twentieth century was to collapse this acknowledgement of potential taxic diversity to conform to notions of a single evolving lineage, notions that were especially promulgated by two of the “founders” of the Evolutionary Synthesis, the geneticist Dobzhansky [1] and the ornithologist Mayr [2]. To be sure, separating Chinese from Indonesian H. erectus at the level of the genus (“Sinanthropus” and “Pithecanthropus,” respectively) is not systematically warranted at present. But the lumping together of hominid specimens into the same taxon largely because of the general time period they represent (indeed, the lumping together of any specimens on the basis of their chronostratigraphy) obscures not only a taxic diversity that typically characterizes other vertebrate clades, but also the morphologies that would serve to demonstrate this diversity by demoting their significance to the realm of mere “ individual variation.” Consequently, the differences that clearly exist not only among specimens of Asian “H. erectus,” but also between Asian and African “H. erectus,” are seen as resulting from “geographic variation” of the order that one expects only among “races” or “subspecies” of other vertebrate species. Wood’s [3] adoption of Groves and Mazak’s [4] species H. ergaster to recognize differences between African and Asian “erectus,” as bold as this was at the time, has not met with much support, as is evidenced by Walker and Leakey’s [5] monograph entitled The Nariokotome Homo erectus Skeleton and Rightmire’s [6] argument that neither morphological nor metric comparisons serve to distinguish significant patterns within the combined early-middle Pleistocene sample. Since tradition also has it that “Homo erectus” is ancestral to “Homo sapiens” (itself long-held to subsume widely differing “varieties” of human, even as uniquely configured as Neanderthals), it would be worthwhile to reopen the question for consideration: “What constitutes Homo erectus?”

Biography: The authors are currently engaged in a systematic study of the entire human fossil record to which they bring years of comparative experience from studies on the systematics and phylogenetic relationships of most other groups of fossil and living primates.

SCHWARTZ et al.: What Constitutes Homo erectus?

2

19

Dissecting the problem

From our perspective as mammalian systematists with particular interests in non-human primates, there is nothing biological that would preclude hominids from being approached methodologically in the same way as other taxa have been. Therefore, if we look at other primates, for instance lorisids, we find that at least four genera can be distinguished easily on the basis of various features of the skull (such as differences in orbital frontation, lipping, and orientation superiorly, elevation of the frontal, development of a postorbital sulcus, swelling of the snout by robust canine roots, anterior projection of the nasal bones beyond the lateral margins of the nasal aperture, rostral elongation of the premaxilla beyond the alveolar margin, robusticity of the zygoma and its outward flare relative to the lateral orbital margin, extension of the posterior root of the zygomatic arch relative to the superior margin of the acoustic meatus, completeness of petrosal expansion laterally, inflation of the mastoid region), mandible (relative height of corpus and roundedness of the gonial angle) architecture) as well as of the teeth (such as differences in relative sizes of upper incisors, canines, and anterior premolars, upper and lower last premolar morphology, cheek tooth cusp height and distinctiveness, and molar cusp patterns) [7-9]. In addition, lorisids are an interesting parallel to “Homo erectus” because they have African and Asian representatives, although, in the prosimians, an African genus pairs phylogenetically with an Asian genus, rather than with its geographic neighbor [7-9]. Turning to Homo erectus, and given the array of morphologically distinct specimens that have been allocated to the species, it would seem appropriate to begin discussion with the type specimen—“Pithecanthropus I” from Trinil, Indonesia. This is a thin-, not thick-boned calotte that is small in size, low in height, and relatively long. It sports a narrow, shelflike, and laterally flaring supraorbital region the flows without interruption into the gently sloped, long, and straight frontal plane. This latter bears an almost imperceptible midline keel, and is bounded low-down by extremely faint temporal lines that serve as the “borders” of the somewhat laterally swollen braincase. In posterior view, the specimen is very low and yet quite broad, with slightly inwardly tilted, short lateral vault walls and a severely posteriorly distended nuchal angle that presents itself as a horizontal torus-like structure lying between anteriorly angled occipital and nuchal planes. In comparison not only with other hominids, but also with hominoids and anthropoid primates more broadly, these features emerge by virtue of their singularity as potential apomorphies. These, in and of themselves, would certainly exclude Homo erectus from the ancestry of Homo sapiens. Sangiran 2, a virtually complete calvaria, represents a more robust individual than “Pithecanthropus I”, but the two are recognizably similar in their shared derived cranial features. It is thus reasonable to consider these specimens as belonging to the same morph, which, in this case, would be unambiguously identified as Homo erectus. Since Sangiran 2 is more complete toward its base than the Trinil calotte, additional morphological data can be gleaned from this specimen that expands our knowledge of H. erectus cranial morphology. During study of this specimen we found that the sigmoid sinus is unusual in that it bifurcates along the backside of the petrosal, with one branch descending inferiorly behind, and the other along the horizontal midline body of the petrosal, which is marked by an anteriorly opening groove or fissure that comes to engulf the region of the internal acoustic meatus. The inferior sigmoid branch may have exited the braincase via the jugular foramen, but it appears to have been coursing directly to the foramen magnum. It is not possible to follow the anteriormost extent of the superior branch because of damage to the specimen. Other Sangiran specimens, such as Sangiran 4, which is represented by the posterior half of the cranium, are of interest because they are more robust and thicker-boned than the Trinil and Sangiran2 specimens. In posterior profile, Sangiran 4 is not quite as low as the latter two H. erectus specimens, and it bears a distinct sagittal keel. Nevertheless, it is reasonable to include this specimen in erectus inasmuch as, accounting for variability, the occipital region does display the relevant derived features of this species. In addition, Sangiran 4 preserves internally a somewhat thin sigmoid sinus that bifurcates—actually arborizes—giving rise to two major branches: a superior one that courses along the fissured body of the petrosal and an inferior branch that

20

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

descends from the former just below the posterior extent of the thin superior petrosal sinus. As in Sangiran 2, the site of exit of the superior branch from the braincase cannot be identified. The inferior branch is coursing in the direction of the foramen magnum. In contrast to the condition of the Indonesian Homo erectus specimens, the typical configuration among mammals, including anthropoids, is for the single-channeled transverse sinus to descend uninterruptedly anteroinferiorly to the jugular foramen [10]. In such taxa as H. sapiens and H. neanderthalensis (and, see below, other “erectus”), the sigmoid sinus is strongly curved, while in many hominids (e.g. “australopiths”) as well as all other catarrhine primates, it is not. Nevertheless, since bifurcation of the sigmoid sinus is clearly not the common pattern, we can reasonably suggest that its presence in the Sangiran specimens would be a derived feature for them, and, given their clear association with the type specimen of H. erectus, derived for this species. In addition, since a fissured medial petrosal wall is not the rule in primates, this, too, emerges as a uniquely derived feature of H. erectus. Consequently, these features, in conjunction with the other derived cranial features, would preclude an ancestor-descendent relationship between H. erectus and any known hominid. But while the Sangiran specimens can reasonably be grouped with “Pithecanthropus” I, the Ngandong specimens are more enigmatic: Although bearing shelflike supraorbital tori, their crania are tall and relatively narrow [11], and thus totally unlike the Trinil and Sangiran crania in shape and proportions. Furthermore, as we discovered preserved in Ngandong 1, 7, and 13, these specimens also differ from those from Sangiran in not having an arborizing sigmoid sinus. Indeed, the Ngandong transverse sinus is single-channeled and, as the sigmoid sinus, arcs simply and primitively around the posterior margin of the unfissured petrosal. This is also the pattern that Weidenreich [12] described for “Sinanthropus” III, V, and XI, for which the temporal region was relatively intact; (Weidenreich illustrated only the temporal bone of “Sinanthropus” V). And, as the Ngandong crania differ markedly not only in size, but also in details of shape, from the Trinil and Sangiran specimens, so, too, as evidenced in the reconstruction by Tattersall and Sawyer [13], did Zhoukoudian “erectus.” While the systematic relations of the Ngandong and Zhoukoudian specimens awaits resolution, it is clear that by not sharing with the Sangiran and Trinil specimens their cranial and especially petrosal and sigmoid sinus apomorphies, the former should not be included in the taxon Homo erectus.

3

The African specimens

Compared to the type specimen of Homo erectus—with its long and low frontal flowing into a thin, laterally flaring shelflike brow, very acute nuchal angle, and, as it is wider than it is tall, its somewhat rectangular posterior outline—the African “ergaster/erectus” cranial specimens are clearly different. For instance, in KNM ER 3733 the brows arc over each orbit and project both up and forward, forming a posttoral sulcus behind; the frontal rises steeply from this sulcus and achieves the highest point of the cranial vault well forward in the profile; the temporal lines, which are distinctly crestlike and raised from the vault’s surface, arise behind the midpoints of the orbits; and, posteriorly, the skull is relatively taller than it is wide and the sidewall of the vault is arced. KNM WT 15000 differs from both Indonesian Homo erectus and KNM ER 3733. The braincase is short and well-rounded in profile, and the brows are merely thickenings of the superior orbital margins, which do not project superiorly, anteriorly, or laterally. Furthermore, the entire facial architecture below nasion is completely different from KNM ER 3733: for example, the lower face is narrower, longer and with greater alveolar prognathism, the nasal aperture is taller and narrower, and the long and relatively wide nasal bones are gently concave in profile and would not have projected above the nasal aperture. The specimen is subadult, and these features would, if anything, have become more exaggerated with growth, rather than transformed into KNM ER 3733 or the lower face of the cranially H. erectus-like Sangiran 17. This latter, although deformed upward, apparently broadened to the alveolar region and bore a narrowly triangular nasal aperture with short, superiorly tapering, and non-projecting nasal bones.

SCHWARTZ et al.: What Constitutes Homo erectus?

21

KNM ER 3883 differs yet again from Indonesian Homo erectus as well as from KNM ER 3733 and KNM WT 15000. The thickened supraorbital margins protrude out and slightly down, overhanging nasion and the face below; the flat-across nasal bones were apparently quite vertical below nasion and probably did not curve outward very much thereafter; and the frontal slopes strongly up and back, with the profile reaching its highest point well back along the sagittal suture. In notable contrast to KNM ER 3733 and KNM WT 15000, this specimen has a large and protrusive mastoid process and the zygoma flares out from top to bottom, whereas it is more vertical in KNM ER 3733 and KNM WT 15000. The distinctively different morphologies of each of the three “ergaster” skulls is highlighted by a second but more gracile specimen, KNM ER 3732, which is clearly similar to 3883 in preserved regions [14]. The unnatural association of specimens in a single species (erectus), or even two (ergaster and erectus), is further demonstrated by comparing the preserved M2 of KNM ER 3733 (with distinct trigon cusps, of which the paracone is much larger than the metacone; distolingually offset hypocone; well-marked cristae; and a thick precingulum, excavated trigon and talon basins, and smooth enamel) with the comparable tooth in KNM WT 15000 (which, like the other cheek teeth, is high crowned and almost flat occlusally with filled-in basins and subequal trigon cusps; it has a mesially arcing and thick preprotocrista, a thick postcingulum that broadens into a hypocone that extends lingually beyond and mesially part way around the protocone, and wrinkled enamel). If we were not dealing with hominids, these blatant differences in dental morphology would provoke any mammalian systematist to regard the two as representing different taxa. Comparison of these specimens with the much larger and almost ovoid M2 of Sangiran 4, with its subequal and low trigon cusps, massive and distally rounded hypocone, and accentuated postprotocrista, makes differences between the three even more clear-cut. If Sangiran 4 is Homo erectus, then, in terms of dental morphology the African forms are not. But is any of them H. ergaster? The only way in which one can try to answer that question is by comparing the type specimen of H. ergaster, KNM ER 992, which is a lower jaw with teeth, with the lower jaw of KNM WT 15000, which is the only skull with an associated mandible. In KNM ER 992 the lower canines are somewhat tall and pointed and compressed buccolingually; the anterior premolar is dominated by the protoconid and it bears small mesial and distal foveae; the posterior premolar and molars would not have had very pronounced basins; the posterior premolar protoconid and metaconid are subequal in size; all molars are elongate with rounded and protrusive hypoconulids and somewhat wrinkled enamel. In KNM WT 15000, the lower canine is short crowned with deep and relatively large mesial and distal fovea on either side of a stout lingual pillar that descends from the apex of the cups to the swell out the base; the premolars had deep mesial and distal basins, being even larger in the posterior of the pair; the anterior premolar is distended mesially; the two erupted molars bear deep though restricted talonid basins ringed by distinct, somewhat bulbous cusps; and the hypconulid on both molars is large and offset lingually. Clearly, since KNM ER 992 is the type specimen of H. ergaster, the morphological differences between it and KNM WT 15000 would preclude the latter from being included in the species. And since the much larger, and morphologically differing, preserved lower premolars and molars of Sangiran 9, a presumed representative of H. erectus, are not like either KNM ER 992 or KNM WT 15000, then neither of the African forms can be regarded as belonging to that taxon either. Even the morphology of the mandible of Sangiran 9, being much thicker boned with a long postincisal slope, differs markedly from KNM ER 992 as well as KNM WT 15000. KNM ER 992 is the type specimen of H. ergaster. And since it is distinguished from KNM WT 15000 on the basis of morphology of the lower dentition, and the latter is distinguished from KNM ER 3733 on the basis of M2 as well as cranial morphology, then the latter cannot be regarded as H. ergaster. With neither KNM ER 3733 and KNM WT 15000 allocable to H. ergaster, and each probably representing a distinct taxon, that leaves KNM ER 3883 and 3732 as the only cranial candidates of this species. But until specimens that have lower teeth associated with cranial remains are discovered, this part of the puzzle will remain unsolved.

ACTA ANTHROPOLOGICA SINICA

22

4

Supplement to Vol. 19, 2000

Conclusion

We hope to have demonstrated that even this small portion of the hominid fossil record provides a window onto a picture taxonomic diversity. Further, this diversity resembles that which systematists have long known characterizes the histories of virtually all other vertebrate groups. Using lorisids as an example, the degrees of difference one finds among these four prosimian genera are not appreciably different from those distinguishing the hominid specimens we have discussed. Clearly, there is nothing biological that precludes hominids from being analyzed by the standards that prevail in mammalian systematics generally. Acknowledgements: We thank Dr. Dong Wei and the organizing committee for their hospitality during the conference, and to the many curators and colleagues who graciously granted us permission to study the specimens in their charge that were crucial to this study. We are also grateful to Drs. H. McHenry and D. Pilbeam for reviewing this contribution. References: [1] DOBZHANSKY T. Evolution, Genetics, and Man [M]. New York: John Wiley, 1955. [2] MAYR E. Taxonomic categories in fossil hominids [J]. Cold Spring Harbor Symposium on Quantitative Biology, 1950, 5: 109-118. [3] WOOD B. Koobi Fora Research Project, Volume 4, Hominid Cranial Remains [M]. Oxford: Oxford University Press, 1991. [4] GROVES C, MAZAK V. An approach to the taxonomy of the Hominidae: gracile Villafranchian hominids of Africa [J]. Casopis pro mineralogii a geologii, 1975, 20: 225-246. [5] WALKER AC, LEAKEY R. The Nariokotome Homo erectus Skeleton [M]. Cambridge: Harvard University Press. 1993. [6] RIGHTMIRE GP. Evidence from facial morphology for similarity of Asian and African representatives of Homo erectus [J]. Am J Phys Anthropol, 1998, 106: 61-85. [7]

SCHWARTZ JH. Primate systematics and a classification of the order [A]. Comparative Primate Biology, Vol. 1: Systematics, Evolution, and Anatomy. New York: Alan R Liss, 1985. 1-41.

[8] SCHWARTZ JH. Issues in prosimian phylogeny and systematics [A]. Topics in Primatology, Vol. 3, Evolutionary Biology, Reproductive Endocrinology, and Virology. Tokyo: University of Tokyo Press, 1992, 23-36. [9] SCHWARTZ JH, TATTERSALL I. Evolutionary relationships of living lemurs and lorises (Mammalia, Primates) and their potential affinities with European Eocene Adapidae [J]. Anthropol Pap Am Mus Nat Hist, 1985, 60: 1-100. [10] SCHWARTZ JH, TATTERSALL, I. Variability in Hominid Evolution: putting the cart before the horse? [A]. Ú ltimos Neandertais em Portugal (Last Neandertals in Portugal): Odontologic and Other Evidence. Lisboa: Academia das Ciéncias de Lisboa, 2000. 367-401. [11] SANTA LUCA AP. The Ngandong Fossil Hominids: A Comparative Study of a Far Eastern Homo erectus Group [M]. Yale University Publication in Anthropology, No. 78, 1980. [12] WEIDENRIECH F. The Skull of Sinanthropus pekinensis: A Comparative Study on a Primitive Hominid Skull [M]. Palaeontol Sin, new series D, No. 10. 1943. [13] TATTERSALL I, SAWYER G. The skull of “Sinanthropus” from Zhoukoudian, China: a new reconstruction [J]. J Hum Evol, 1996, 31: 311-314. [14] SCHWARTZ JH, TATTERSALL I. The Human Fossil Record [M]. New York: John Wiley & Sons, in prep.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

23-33

Review of the Phylogenetic Position of Chinese Homo erectus in Light of Midfacial Morphology WANG Qian1,2, Phillip V. TOBIAS2 (1. Institute of Vertebrate Paleontology and Paleoanthropology, Chinese Academy of Sciences, Beijing,100044, China; 2. Sterkfontein Research Unit, Department of Anatomical Sciences, University of the Witwatersrand, Parktown 2193, Johannesburg, South Africa)

Abstract Facial morphology is perhaps more informative in disclosing evolutionary trends than neurocranial morphology. Five midfacial morphological categories and two topographical forms can be recognized in Pleistocene hominids based on comparisons between Chinese Homo erectus and Afro-European H. heidelbergensis. Similarities between the low and flat faces with flexion of Chinese H. erectus and modern humans suggest their ancestor-descendant link, while a similarity in central puffiness reflects a link between H. heidelbergensis and H. neanderthalensis. But only the European branch of H. heidelbergensis evolved into the Neandertals, while the African one seems to have disappeared from the scene without issue. The facial evidence also discloses that H. erectus was once widespread in the Old World. The result appears to support the ancestral status of Chinese H. erectus and the “Multi-regional Evolution Hypothesis” for the origin of modern humans.

Key words:

Midface; Morphology; Topography; Chinese Homo erectus; Phylogenetic position

1

Introduction

Excavation at Zhoukoudian (Peking Man site) in the 1920s catalyzed the serious recognition of Homo erectus and also began a controversy on its destiny. The issue whether Asian H. erectus became extinct by replacement, or evolved into or is conspecific with H. sapiens is the topic of a vigorous debate, which is connected closely to models of the origin of modern humans [1,2]. Weidenreich noted a couple of anatomical traits in skeletons jointly shared by Zhoukoudian H. erectus (under the old name of Sinanthropus pekinensis) and modern “Mongoloids”, and he therefore proposed an ancestor-descendant relationship of H. erectus and modern Mongoloids[3]. This kind of regional evolutionary continuity was supported by later scholars on the basis of abundant fossil and cultural materials found in China and in Australia, and the “Multi-regional Evolution Hypothesis” for the origin of modern humans was formulated [1, 4-11]; With the recognition of genetic and cultural elements coming from outside, a “Continuity with Hybridization Model” was proposed by Wu Xinzhi to embrace both the local scenario of human evolution and the model of origins of modern humans in China [6, 12]. However, the robust nature of the Asian H. erectus neurocranium with its thick wall and superstructures is perceived by many scholars as a specialization and as a barrier against further evolution towards modern humans. Hence it is asserted that the Asian H. erectus is a side branch of human evolution, becoming extinct without issue in the late Middle Pleistocene [13-16, 18]. The denial of ancestral status to Asian H. erectus’s accompanied the birth of the “Replacement Model” or “Out Of Africa” hypothesis as an alternative to the “Continuity Model” in the interpretation of how modern humans originated. Although currently the denial of Asian H. erectus as an ancestor has resulted from research in genetics [19-20], paleolithic archeology [21-22], etc., the decisive reason still rests on anatomy [13-16]. The alternative claimant for the transition between early Homo and modern humans is believed to be the Afro-European Middle Pleistocene hominids, including African Bodo and Kabwe (Broken Hill), European Arago and Petralona etc., now often grouped in H. heidelbergensis, while the latter is also asserted to be the ancestor of H. neanderthalensis [16].

Biography: WANG Q, current post-doctoral fellow at the University of the Witwatersrand in Johannesburg, South Africa, specialized in the research of Homo erectus.

ACTA ANTHROPOLOGICA SINICA

24

2

Supplement to Vol. 19, 2000

The basis of effective phylogenetic analysis

If the current estimate of the oldest date for H. heidelbergensis, over 600ka (e.g. Bodo [16]) is correct, this western assemblage is roughly contemporary with the Middle Pleistocene Eastern Asian classic H. erectus, among which Chinese H. erectus represents an important part. It is true that the Afro-European H. heidelbergensis has more progressive features than the Chinese H. erectus represented by Peking Man at Zhoukoudian and comparable to Chinese Early H. sapiens (e.g. Dali, Jinniushan), in terms of overall cranial dimensions, cranial capacity and weak development of ectocranial superstructures[16, 23-25]. However, given that there are two assemblages at about the same geochronological level, but seemingly at different evolutionary grades, and that they probably represent different evolutionary directions or clades, a logical question arises: Does the evolutionary grade reflect the phylogenetic position? Morphologically, Chinese H. erectus and Early H. sapiens share many common characteristics, and from the former to the latter, there are similar morphological trends to those in other parts of the world [6, 12]. This hypothesized progressive transformation from Chinese H. erectus to Early H. sapiens would suggest that the former is still evolutionarily active and would tend to invalidate the view that it is an evolutionary cul-de-sac. When we take into consideration the fact that from the earliest hominids, the australopithecines, via H. habilis to modern humans, the neurocranium becomes increasingly bigger and rounder (or brachycephalized), it is quite probable that neurocranial morphology as a whole serves to indicate the evolutionary grade rather than the evolutionary clade , and we are led to conclude that neurocranial morphology alone cannot constitute a convincing foundation for rigorous phylogenetic analysis, and is not of complete phyletic valence. Tobias once warned against such partial characterization and developed an effective way of phylogenetic analysis that emphasized the overall comparison among different hominid taxa on the basis of Le Gros Clark’s concepts of “total morphological pattern” and “taxonomic relevance” and of Robinson’s “phyletic valence”[26-28]. To determine the phylogenetic position of Chinese H. erectus, a broader comparison based on more anatomical materials from a broader geographical range and longer geochronological framework is needed. By virtue of incomplete preservation of most hominid fossils, the analysis of the whole head-end would probably be adequately effective for the understanding of phylogenetic position. Therefore, extension of the analysis from the neurocranium alone, so as to include facial parts seems to be a good solution. This extension results in a smaller sample size of Eastern Asian including Chinese H. erectus, but the current accumulation of facial skeletons is sufficient to reveal a general facial pattern in Chinese H. erectus. Even in the face of neurocranial and dental analyses, facial parts still attract the attention of some scholars, such as Tobias [27, 29], Rak [30-31], Wu Xin-zhi [6], Pope [7, 32], Kramer [33], Rightmire [34] and Lockwood [35-36]. Among them, Rak’s detailed work on the faces of the australopithecines shows that the facial morphological and topographical patterns have important implications for our understanding of the diversity and relationships of early hominids [30]; and when Wu Xinzhi sums the common characters shared among Chinese fossils and modern humans, facial characters occupy a greater percentage of all assorted common features (for example, 8 of 11), while all the remarkable diachronic changing features are concentrated almost exclusively in the neurocranial part[6]. This implies that facial morphology can better reveal the real evolutionary scenario in China than neurocranial morphology. Their works as a whole reflect the phylogenetic value of facial morphology and also indicate that facial studies are no longer subordinate to cranial and dental analyses in the assessment of the taxonomic and phylogenetic status of certain early hominids. The analysis of facial morphology among fossils and extant hominids may be expected to disclose phylogenetic relationships more reliably. The aim of this article is to review the status of Chinese H. erectus in human evolution in the light of facial analysis, on the basis of the evolutionary stages disclosed by neurocranial characters. This analysis concentrates on the general mid-facial morphological pattern. The definition of

WANG et al.: Review of the Phylogenetic Position of Chinese Homo erectus in Light of Midfacial Morphology

25

midface adopted in this article is Pope’s [32], which is modified from Rak [30]. Pope defines the middle face as that portion of the anterior cranium that is visible in norma frontalis, and is bounded by the projective distance from the alveolar plane of the maxilla to nasion and transversely from zygion to zygion. The materials are the original fossils or casts of AfroEuropean and Chinese hominids housed in the Institute of Vertebrate Paleontology and Paleoanthropology, Beijing, China, and the Department of Anatomical Sciences of the University of the Witwatersrand, Johannesburg, South Africa.

3

The general midfacial morphology of Chinese H. erectus

An entire intact facial skeleton of H. erectus in China has not yet been found. However, the accumulation of incomplete facial skeletons of H. erectus in China enables us to draw an outline midfacial configuration by viewing the midface as a whole in morphological terms, rather than by emphasizing isolated characters. The facial fragments of the Zhoukoudian hominids permitted Weidenreich to reconstruct a Peking Man skull with a face (female) [3]. Although the face is compounded of facial bones belonging to different individuals of both genders, it provides a general image of Peking Man’s midface. The midface is low and flat. There are two well-defined angulations or flexions. Medially, the portion of the maxilla lateral to the pyriform aperture faces laterally, while the infraorbital part faces anteriorly; thus they jointly constitute a concave flexion. Laterally, a convex flexion is formed between the maxillary process which faces anteriorly and the temporal process of the zygomatic which faces laterally. A bony tubercle is present here, which can be construed as a torus accompanying the bony angulation, like the supraorbital torus and the occipital torus. From the norma basilaris, this lateral flexion is well shown by the angulation between the lower margins of the zygomatic process of the maxilla and the maxillary process of the zygomatic bone. The angle is about 105 in both Zhoukoudian No. II and Tangshan I. A partial skeleton found in 1993 corroborates Weidenreich’s reconstruction. It is attached to the fossil remains labeled Tangshan skull I found in a karstic cave in Tangshan hill, 30 kilometers east of Nanjing. The morphology of the cranium is very comparable to that of Zhoukoudian specimens.[37] The partial left facial skeleton is in perfect condition without deformation. It contains the almost complete nasal bones of both sides, the almost complete left zygomatic bone and the major portion of the left maxilla. The part lateral to the pyriform aperture and the part near the alveolar margin are missing. It is the first time that we have a tell-tale facial skeleton of classic H. erectus found in China to the present. The midface as a whole is low and flat with two well-defined flexions, just like those of the reconstructed Peking Man. A more important contribution that the Tangshan face makes towards the understanding of the Chinese H. erectus is that it factually and materially demonstrates that the low, flat face of modern Mongoloids has ancient roots extending through Early H. sapiens stage as far back as H. erectus. The specimens of Chinese Early H. sapiens likewise display this kind of flexed face, as in the relatively complete Dali skull and Jinniushan skulls. Even before the discovery of the informative Tangshan face, Wu Xin-zhi had proposed that the low flat face had a long history in China and that Dali was not the earliest example [24]. In the Maba skull, despite poor preservation of the facial skeleton, it is possible to observe that the frontal process of the zygomatic bone shows a plane facing forwards just like other Chinese hominids, an indirect sign of a flexed face. It is true for the specimens of Chinese Late H. sapiens such as the Liujiang skull, which has been claimed to be Proto-Mongoloid.[38] Meanwhile, it should be kept in mind that a close examination of the mid-facial region reveals discernible differences between Chinese H. erectus and modern Mongoloids, for example, in the nature of the medial flexion: in the former there is a furrow as Rightmire [34] points out and in the latter there is a real canine fossa. However, these differences can be read as stages in a morphogenetic process (see below). Though displaying variations of dimension and of the degree of robusticity in the facial skeleton, the faces of Chinese ancient hominids and extant humans all follow the same pattern:

ACTA ANTHROPOLOGICA SINICA

26

Supplement to Vol. 19, 2000

low and flat with well-defined flexion. The fact that a general common facial morphology or topography exists among Chinese fossil and extant humans supports the claimed genetic link between Chinese H. erectus and modern Mongoloids including modern Chinese. In brief, the similarity among Chinese H. erectus, Early H. sapiens, and modern humans in general facial morphology and topography is strong supporting evidence for evolutionary continuity in China and also for the ancestral status of H. erectus.

4 The difference between Chinese H. erectus and Afro-European H. heidelbergensis and its implications With the dismissal by many workers of the view that H. erectus was ancestral to H. sapiens, alternative assemblage, the Afro-European Middle Pleistocene hominids, now frequently grouped in H. heidelbergensis, embracing Bodo of Ethiopia, Kabwe (Broken Hill) I of Zambia, Arago XXI of France, Petralona of Greece, have been proposed to be the intermediate link between early African small-brained hominids and Homo sapiens [18]. As mentioned above, the overall neurocranial morphology and endocranial capacities of these Afro-European hominids make them comparable to Chinese Early H. sapiens. However, their faces are distinctly different from those of Chinese H. erectus and Early H. sapiens, in possessing relatively high faces and, moreover, emerging inflation or puffiness in the central part of the face. H. heidelbergensis lacks the medial flexion of the midface by its puffiness in the portion lateral to the pyriform aperture. As a result, the infraorbital portion faces more laterally than in the faces of Chinese H. erectus. Therefore, even the anterolateral surface of the frontal process of the zygomatic bone faces more laterally in H. heidelbergensis than in Chinese H. erectus. This orientation should have made the lateral flexion more acute; however, the lateral orientation of the puffy infraorbital portion in H. heidelbergensis not only offsets this shift, but also weakens the degree of angulation between them. The angle between the lower margins of the zygomatic process of the maxilla and the maxillary process of the zygomatic bone is 125-130 in Petralona, Kabwe (Broken Hill) I and Arago XXI (left side), which is more obtuse than the 105 in Chinese H. erectus. Generally speaking, the face of H. heidelbergensis is weaker in the degree of flexion but shows signs of emerging puffiness in the central facial region. Its high and puffy face contrasts sharply with the low, flat face possessed by Chinese H. erectus. It is a significant difference. Although the degrees of central puffiness are different in different specimens, the face of H. heidelbergensis is readily topographically linked to that of the Neandertals. In short, Chinese H.erectus and Afro-European H. heidelbergensis differ from one another not only in neurocranial development, but also in facial morphology and topography. On the basis of the evolutionary stages reflected by the neurocranial parts, the significant topographic differences in the faces of Chinese H. erectus and Afro-European H. heidelbergensis suggest that Chinese H. erectus acquired the low, flat face and then gave birth to modern humans via Early H. sapiens, whilst H. heidelbergensis with a moderately puffy face was ancestral to H. neanderthalensis. H. neanderthalensis finally attained an evolutionary end-point and became extinct without issue [39], the high and puffy face being not present among modern humans. Thus facial comparison between Chinese H. erectus and H. heidelbergensis is informative. A wider range of general facial morphology and topography in the Pleistocene may help us to see more clearly the evolution of the hominid face and its phylogenetic value.

5

General facial patterns in the Pleistocene and their relationships

Five facial morphological patterns and two topographical variants may be recognized in the Pleistocene after early H. erectus, according to the basic superficial morphology including angle and size in the middle facial region. Facial Pattern I : Moderately high, flat or slightly centrally puffy face.

WANG et al.: Review of the Phylogenetic Position of Chinese Homo erectus in Light of Midfacial Morphology

27

Africa: SK 847, ER3733, ER3883 Facial Pattern II: Low and flat, with two well-defined flexions, well-developed canine jugum, no real canine fossa. well defined sub-infraorbital foramen groove. The infraorbital plane is flat and faces forward. Low middle face. Nasal bones pinched. Low orbit. Eastern Asia: Zhoukoudian, Tangshan, Gongwangling, Yunxian I, Sangiran 17, Dali, Jinniushan Africa: Ndutu Europe: Gran Dolina, Steinheim Facial Pattern III: Moderately or rather high face with moderate central puffiness. Weak first flexion, well defined sub-infraorbital foramen groove. The infraorbital plane is convex and faces a little upward. Asia: None Africa: WT15000, Kabwe (Broken Hill) 1, Bodo Europe: Arago XXI, Petralona, Atapuerca (Sima de los Huesos) Facial Pattern IV: Modern face. Well defined canine fossa, no strong canine jugum, maxillary portion lateral to the pyriform aperture is small, less robust. Specimen: Modern humans, Upper cave, Liujiang, Djebel Irhoud, Cro-Magnon, Wadjak, Qafzeh, Skhul, Tabun, Omo I, Kabwe (Broken Hill) 2, Laetoli 18, ?Border Cave1, ?Florisbad. Facial Pattern V: No first flexion, total central projection. Mid-face is high and puffy. The orbit is high and round, the whole infraorbital region forms a single plane sloping from the orbit antero-inferiorly and from the pyriform aperture postero-laterally. Europe: the Neandertal specimens Western Asia: Amud, Shanidar Eastern Asia: None Africa: None A remarkable phenomenon is that the specimens belonging to these five facial categories could be roughly grouped geochronologically or geographically, or both, which means we may be able to trace their phylogenetic relationships in the light of the facial patterns by the geochronological and geographical groups. Facial Pattern I occurs mainly in African Early H. erectus or H. ergaster. Facial Pattern II occurs mainly in Chinese hominids since the Middle Pleistocene, and also in Middle Pleistocene specimens from African Ndutu and European Gran Dolina. Facial Pattern III occurs exclusively in the Middle Pleistocene Afro-European H. heidelbergensis, and not in Eastern Asian examples. Facial Pattern IV is in Late H. sapiens and modern humans all around the world, while Facial Pattern V is in the European and Western Asian Neandertals. In addition, the five morphological types can be divided into two topographic categories: the puffy one and the non-puffy one. One keeps the short and flat, and less robust pattern, one is high with central puffiness. The non-puffy form includes Patterns I, II, IV. The puffy form includes Patterns III and V. The relationships among these facial types are clear if we consider their representatives in chronological and geographical framework. In Facial Pattern II, if it became less robust and there was modification with the emergence of the real canine fossa, the midface would be modern. In Facial Pattern III, if its emerging central puffiness intensified, Facial Pattern V would result. If Facial Pattern IV had led to Facial Pattern III, the modern one, it world have had to go back to Facial Pattern II first, with shortening of the face and flattening of the middle part; this would have been an example of an evolutionary reversal and we doubt whether this would have been likely. When we go back to the Early Pleistocene, the facial pattern we encounter is not puffy, but flat. Both Facial Pattern II and Facial Pattern III may be traced back to Facial Pattern I, the facial form of Early H. erectus or H. ergaster. Facial Pattern I is a kind of prototype, from which two kinds of faces could have been introduced through two different pathways of modification , to

ACTA ANTHROPOLOGICA SINICA

28

Supplement to Vol. 19, 2000

Facial Pattern II by lowering of the face, posterior migration of the lower part of the infraorbital region, and shortening of the dental arcade; to Facial Pattern III by projecting of the central part and prolonging of the height of the face. Type I is a logical modification from the flat and inferoanteriorly sloping face of H. habilis, the latter, introduced from the “dished face” possessed by the australopithecines by shortening of the facial width, weakening of the buttress with less masticatory demand. If the links proposed between Facial Patterns I and III, and Patterns II and IV are correct, the model of facial evolution in the Pleistocene could be reconstructed as follows:

Facial Pattern I (Prototype)

Pattern II

Pattern IV (extant)

Pattern III

Pattern V (extinct)

When we incorporate the hominid assemblages grouped by facial patterns, the relationships among the Pleistocene hominids could be formulated as follows (here we group Chinese H. erectus in Late H. erectus ): Late H. erectus

H. sapiens

H. heidelbergensis

H. neanderthalensis

Early H. erectus

Therefore, based on facial morphology, two general human evolutionary trends can be recognized in the Pleistocene. From Early H. erectus, two kinds of faces emerged during the Middle Pleistocene, a rather low and flat face of Late H. erectus and a high face and emerging central puffiness in H. heidelbergensis. They attained different evolutionary stages and headed along different evolutionary pathways, then reached different ends. The former facial patterns evolved into that of H. sapiens and the latter into that of the Neandertals followed by extinction without issue. The remarkable topographic split happens at least in the Middle Pleistocene. It is interesting to note that there are already signs of the beginnings of the separation into two facial patterns in Early H. erectus specimens. For example the maxillae lateral to the pyriform aperture face forward in ER3733 or are slightly puffy in WT15000. Maybe after them the differentiation became increasingly marked. The puffy face is a derived character, that flourished in Africa, Europe and West Asia since the Middle Pleistocene, but disappeared in the Late Pleistocene. The non-puffy face is a continuous and common phenomenon in the Pleistocene; it can be traced back to Early H. erectus and even to H. habilis. Hence the non-puffy face with flexion is not necessarily a modern or apomorphic character as favoured by de Castro et al.[40]. On the contrary, it may be seen as a plesiomorphic character. From Early H. erectus to Late H. erectus and then H. sapiens, the neurocranium continues to enlarge while the facial part retains the same non-puffy topography. Therefore, it would be safe to assert that H. erectus displays increasing evolutionary progress in the neurocranial part, while the facial topography shows a relative stasis. The nature of this dynamic combination of neurocranial and facial developments may be used as the basis for a tentative phenetic approach to the defining of H. erectus, although we are well aware that dental size and form, cranial form, thickening and pneumatization, ectocranial superstructure and mandibular traits, not to speech of postcranial morphology, which we do not consider here may all constitute valuably to the definition of H. erectus.

6 6.1

The issue of European and African H. erectus

European H. erectus No fossils unequivocally classified as H. erectus were reported before the 1990s; for quite a long time, there was virtually no solid fossil evidence of European H. erectus. However, the

WANG et al.: Review of the Phylogenetic Position of Chinese Homo erectus in Light of Midfacial Morphology

29

Spanish Gran Dolina[40] and Italian Ceprano[41] specimens found in the 1990s have helped to overcome the dearth of early hominids in Europe by extending the fossil evidence of European human history back to 780ka B.P. Also they have provided new evidence of the possible existence of H. erectus in Europe. The face of juvenile specimen ATD6-69 is the earliest occurrence of the modern face in the fossil record. As discussed above, the flexed face if of plesiomorphic nature and hence does not of itself constitute an effective taxonomic basis for the proposed new species H. antecessor in which to classify the fossil materials found at Gran Dolina. We suggest that if complete cranial specimens are found in the future, they may well be comparable to those of the Peking Man. On the facial morphology, we tentatively regard the Gran Dolina specimens together with the Ceprano cranium as falling in the category of Late H. erectus together. They represented the descendants of early immigrants from Africa at the stage of Early H. erectus or earlier, and gave birth to European H. heidelbergensis. This may be the reason that we can pick up some features usually encountered in specimens of Late H. erectus in this European assemblage, such as the angular torus in the Arago skull [23, 42]. If this is correct, Pope’s proposal that the near human midfacial morphology first appears in Eastern Asia and later spreads to other regions would not be correct [7]. This kind of face is a pan-Old World phenomenon of the Middle Pleistocene. It appears also in Africa. 6.2

African H. erectus The midface of the Tanzanian Ndutu skull is placed in our list in Facial Pattern II. It is in Rightmire’s assemblage of H. heidelbergensis. Clarke has discussed the significance of the Ndutu skull. He at first believed this 400ka old specimen belonged to H. erectus [43]. Later he re-classified it as African archaic H. sapiens [17]. However the overall skull morphology, low endocranial capacity (930-960cc) and especially the general facial configuration of the Ndutu skull as reconstructed by Clarke are very much what we encounter in Chinese H. erectus. The differences between them probably reflect geographical and geochronological variations. We therefore propose to group the Ndutu skull in the category of Late H. erectus with Chinese H. erectus. Although Late H. erectus is still poorly documented in Africa, the Ndutu skull seems to disclose the presence of this taxon. More specimens might be found if more efforts were directed to the identification and excavation of Middle Pleistocene deposits. Clarke argues also that previously classified African H. erectus is a separate species and he calls it H. leakeyi [17]. He suggests that H. erectus is confined to Eastern Asia and is not associated with Acheulean handaxe technology. These views lead him to propose that both the morphology and the cultural nature of H. erectus point to its being an evolutionary dead-end. Recently, however, an unequivocal Acheulean industry has been found in Eastern Asia and especially at Bose Basin in South China in the Middle Pleistocene.[44] This vitiates the argument - that dates back to Movius [21] - that Acheulean technology is totally absent from Eastern Asian sites. The fossils assigned to H. ergaster and H. leakeyi are on our thinking representative of Early H. erectus [16, 34]. They are simply more primitive than the specimens of Chinese and Indonesian H. erectus, and it is proper to refer to Eastern Asian Middle Pleistocene H. erectus as Late H. erectus in terms of their advanced nature. (The words “Early” and “Late” here have to do only with the evolutionary stage, not with taxonomic nomina.) From African Early H. erectus, at least two human forms emerge in Africa in the Middle Pleistocene. One is H. heidelbergensis, and the other is Late H. erectus. While the European H. heidelbergensis evolved into the Neandertals, the apparent absence of unequivocal Neandertals in Africa suggests that the African branch of H. heidelbergensis became extinct without issue. The Late H. erectus seems to have given rise to H. sapiens. The coexistence of Late H. erectus and H. heidelbergensis in Africa can provide a better interpretation of the broad spectrum of variation among African hominids of the Middle Pleistocene [25]. 6.3

The earliest hominid species out of Africa It is generally believed that the earliest hominid species to leave the African continent, cradle

ACTA ANTHROPOLOGICA SINICA

30

Supplement to Vol. 19, 2000

of humankind, was H. erectus over 1 million years ago. Now the new cultural and geochronological findings in Eastern Asia, such as Longgupo in China [45], and Modjokerto in Indonesia [46], suggest that early hominids left the African continent earlier than previously believed, and that the hominids involved in this first exodus were perhaps H. habilis or H. ergaster [47- 48]. If this is correct, the interpretation of Tobias and von Koenigswald in the 1960s that hominids at the stage of H. habilis existed in Asia would be vindicated [49]. However, because these new scenarios of early human evolution are not yet widely supported, we tentatively place all the European and Asian hominids of the Early Pleistocene in Early H. erectus even though they are not yet well documented by fossil materials.

7

A hypothesis of human evolution in the Pleistocene

By incorporating the fossil findings of all the Old World according to their classification into the general ancestor-descendant links, we hypothesize from the facial evidence a general evolutionary model in three geographical zones as follows (E: Early; L:Late; X:Extinct): Eastern Asia Terminal Middle Pleistocene

H. sapiens

Africa H. sapiens

Europe H. sapiens H. neanderthalensis(X)

Middle Pleistocene

L. H. erectus L. H. erectus H. heidelbergensis(X)

Early Pleistocene

E. H. erectus

E. H. erectus

H. heidelbergensis

E. H. erectus

H. habilis

This model is a linear model and is based on a linear facial evolutionary model recognized above. It is admittedly open to criticism. In fact, gene exchange should be expected in the formation of H. sapiens and other species between African and Asian branches. As the second author (PVT) states[50], “Of course, the picture must have been far more complex than a simple linear progression from early to late forms in each region: gene flow and drift would have been expected.” Yet this model, based on facial evolution, can offer a basis for further investigation and interpretation and an alternative human evolutionary scenario especially in the Middle Pleistocene. On this model, the Asian and especially Chinese H. erectus occupies an ancestral position and thus does not support the narrowly-interpreted Out-of-Africa model. It can be classed as one of the variants of the Multi-regional Origin model, or another kind of “Di-regional model of human evolution” [51]. This simple model does not cover portions of Western Asia and Australasia, where the issues of human evolution may be more complicated (We are aware also that the classification of the fossil record into geographical zones is an artifact of geological sampling and fortuitous fossil discoveries. Most of the Old World was a single, diversified geographic area, almost certainly without great discontinuities). There are two key features to this model. The first is the continuity of facial continuity in Africa and Eastern Asia and discontinuity with Europe, suggesting a dual origin of modern humans; the second is the coexistence of L. H. erectus and H. heidelbergensis in Africa in the Middle Pleistocene, or a dual morphological trend, resulting from a prior split of the last common ancestor of these two clades. The story of the African part points

WANG et al.: Review of the Phylogenetic Position of Chinese Homo erectus in Light of Midfacial Morphology

31

to the continuity with Asia and discontinuity with Europe. The respective human evolutionary trends in Eastern Asia and in Europe, based on analysis of facial morphology and topography, help us to understand better the nature of the greater variation of Middle Pleistocene hominids in Africa and to formulate a dual evolutionary model in Africa since Early H. erectus. This model of dual clades awaits further finds and interpretations to be tested. It will not be surprising if more specimens of fossil hominids comparable to Chinese H. erectus, as was claimed by Arambourg for the Ternifine remains form Algeria under the original name of Atlanthropus mauritanicus [52], or specimens with features related to the Neandertals, come to light in the African continent. An issue introduced by this analysis is the mechanism of the facial split. Facial growth is not a simple thing. It relates to neural (brain and eyes), nasal (respiratory and olfactory systems), and oral (dental, masticatory and spoken language) complexes. Facial modification is achieved by genetic, biomechanical and clonal factors [53]. How to explain the split during the Middle Pleistocene, including the functional, developmental and selective aspects, and the extinction of the puffy pattern, is challenging, we do not attempt it here. Another problem would be the issue of the co-existence of two human species in Africa, their ecological associations and mutual relationship. The phenomenon of the synchronic and even sympatric co-existence of two or more hominid species exists also at the stages of Australopithecus (of which we have at least nine species have been recognized), and early Homo in the Plio-Pleistocene. The reason for the different fates of H. heidelbergensis in Africa and in Europe awaits interpretation too. Perhaps competition with H. erectus may be responsible for the earlier extinction of H. heidelbergensis in Africa.

8

Conclusion

From the analysis of facial morphology and topography starting with Chinese H. erectus, some preliminary conclusion or extrapolations may be drawn. The result supports the ancestral status of Chinese H. erectus and appears to be in keeping with a modified version of the “Multiregional Evolution Hypothesis” for the origin of modern humans. 1. The similarities in the possession of low and flexed faces by Chinese H. erectus and at least some modern humans (especially Mongoloids) strongly support their ancestor-descendant link, while the similarities in central puffiness reflect a close link between H. heidelbergensis and the Neandertals. But only the European branch evolved into H. neanderthalensis, while the African populations of H. heidelbergensis seems to disappeared from the scene without issue. 2. H. erectus is not confined to East Asia. It is a pan-Old World phenomenon, occuping almost the whole Old World during the first half of the Pleistocene. 3. The African hominids show more variants than those of the other two major continents in the Old World and probably embrace at least two clades which appear in Eastern Asia and in Europe respectively during the Middle Pleistocene. The Ndutu skull is probably an African representative of Late H. erectus. 4. The facial morphology is more informative in disclosing evolutionary trends than neurocranial morphology. The latter can better disclose the evolutionary stage. The facial pattern could be predicated on evolutionary stages reflected by neurocranial morphology in certain regions. Acknowledgment: We are grateful to Professor Wu Xin-zhi for reviewing this article. The first author (QW) sincerely thanks the National Research Foundation of South Africa (NRF), and for Special Subjects of the Natural Scientific Foundation of China (NSFC) for financial support, and also thanks the Institute of Vertebrate Paleontology and Paleoanthropology (IVPP), Chinese Academy of Sciences and the Department of Anatomical Sciences of the University of the Witwatersrand, Johannesburg. The second author (PVT) is grateful to the PAST Fund, the

ACTA ANTHROPOLOGICA SINICA

32

Supplement to Vol. 19, 2000

Department of Arts, Culture, Science and Technology of the South African Government and the Department of Anatomical Sciences of the University of the Witwatersrand, Johannesburg. We appreciate the help of Mrs. Heather White. References: [1]

WOLPOFF MH, WU X,THORNE AG. Modern Homo sapiens origins: A general theory of hominid evolution involving the fossil evidence from East Asia [A]. Origins of Modern Humans: A World Survey of the Fossil Evidence. .New York: Alan R. Liss, 1984, 414-484.

[2]

STRINGER CB. Middle Pleistocene hominid variability and the origin of Late Pleistocene humans[A]. Ancestors: The Hard Evidence. New York: Alan R. Liss, 1985, 289-295.

[3]

WEIDENREICH F. The skull of Sinanthropus pekinensis: A comparative study on a primitive hominid skull [M]. Pal Sin Ser D, Vol 7, 1943.

[4]

WU R. Chinese human fossils and the origin of Mongoloid racial group [J]. Anthropos (Brno), 1986, 23:151-155.

[5]

THORNE AG,WOLPOFF MH. Regional continuity in Australasian Pleistocene hominid evolution [J]. Am J Phys Anthropol, 1981, 55:337-349.

[6]

WU X. The evolution of humankind in China [J]. Acta Anthropol Sin, 1990, 9:312-321.

[7]

POPE GG. Craniofacial evidence for the origin of modern humans in China [J]. Year Book of Phys Anthropol, 1992, 35:243-298.

[8]

WU X, POIRIER FE. Human Evolution in China: A Metric Description of the Fossils and a Review of the Sites [M]. New York:Oxford University Press, 1995.

[9]

LIU W, YANG M. The changes of tooth size of Chinese and the systematic status of Homo erectus in East Asia [J]. Acta Anthropol Sin, 1999, 18:176-192.

[10] LING S. Comparison of technological mode of Paleolithic Culture between China and the West [J]. Acta Anthropol Sin, 1996,15:1-20. [11] ZHANG S. On the important advancement of the Paleolithic archeology in China since 1949 [J]. Acta Anthropol Sin, 1999, 18:193-214. [12] WU X. Chinese human paleontological study in the 20th century and prospects [J]. Acta Anthropol Sin, 1999, 18:165-175. [13] DELSON E , ELDREDGE N, TATTERSALL I. Reconstruction of hominid phylogeny: a testable framework based on cladistic analysis[J]. J Hum Evol, 1977, 6:263-278. [14] WOOD BA. The origin of Homo erectus [J]. Cour Forsch Inst Senckenberg, 1984, 69:99-111. [15] STRINGER CB. The definition of Homo erectus and the existence of the species in Africa and Europe [J]. Cour Forsch Inst Senckenberg, 1984, 69:131-143. [16] RIGHTMIRE GP. The Evolution of Homo erectus: Comparative Anatomical Studies of an Extinct Human Species [M]. Cambridge: Cambridge University Press, 1990. [17] CLARKE RJ. The Ndutu cranium and the origin of Homo sapiens [J]. Am J Phys Anthropol, 1990, 19:699-736. [18] RIGHTMIRE GP. The human cranium from Bodo, Ethiopia: evidence for speciation in the Middle Pleistocene? [J] J Hum Evol, 1996, 31:21-39. [19] CANN RL, STONEKING M, WILSON AC. Mitochondrial DNA and human evolution [J]. Nature, 1987, 325:31-36. [20] STRINGER CB, ANDREWS P. Genetic and fossil evidence for the origin of modern humans [J]. Science, 1988, 239:1263-1268. [21] MOVIUS HL. Lower Paleolithic archaeology in southern Asia and the far East [J]. Studies in Anthropol, 1948, 1:1781. [22] IKAWA-SMITH F. Early Paleolithic in South and East Asia [M]. Mouton: The Hague, 1978. [23] WU R, WU X. Comparison of Tautavel man with Homo erectus in China [A]. L’Homo erectus et la place de l’Homme de Tautavel parmi les hominides fossiles. Nice: 1er Congres International de Paleontologie Humaine, 1982, 606-616. [24] WU X. Comparative study of early Homo sapiens from China and Europe [J]. Acta Anthropol Sin, 1988, 7:287-293. [25] WU X, BRAUER G. Morphological comparison of archaic Homo sapiens crania from China and Africa [J]. Acta Anthropol Sin, 1994, 13:93-103. [26] TOBIAS PV. Single characters and the total morphological pattern redefined: the sorting effected by a selection of morphological features of the early hominids [A]. Ancestors: The Hard Evidence. New York:Alan R. Liss, 1985, 94101.

WANG et al.: Review of the Phylogenetic Position of Chinese Homo erectus in Light of Midfacial Morphology

33

[27] TOBIAS PV. The Skulls, Endocasts and Teeth of Homo habilis (Olduvai Gorge:Volume 4) [M]. Cambridge: Cambridge University Press, 1991. [28] LE GROS CLARK WE. The Fossil Evidence for Human Evolution [M]. Chicago: Chicago University Press, 1964. [29] TOBIAS PV. The Cranium and Maxillary Dentition of Australopithecus (Zinjanthropus) boisei (Olduvai Gorge: Volume 2) [M]. Cambridge: Cambridge University Press, 1967. [30] RAK Y. The Australopithecine Face [M]. New York: Academic Press, 1983. [31] RAK Y. The Neanderthal: A new look at an old face [J]. J Hum Evol, 1986, 15:151-164. [32] POPE GG. Evolution of the zygomaticomaxillary region in the genus Homo and its relevance to the origin of modern humans[J]. J Hum Evol, 1991, 21:189-213. [33] KRAMER A. Human taxonomic diversity in the Pleistocene: Does Homo erectus represent multiple hominid species[J]? Am J Phys Anthropol, 1993, 91:161-171. [34] RIGHTMIRE G. Evidence from facial morphology for similarity of Asian and African representatives of Homo erectus[J]. Am J Phys Anthropol, 1998, 106:61-85. [35] LOCKWOOD CA. Variation in the face of Australopithecus africanus and other African hominoids [D]. Johannesburg: University of the Witwatersrand, 1997. [36] LOCKWOOD CA, TOBIAS PV. A large male hominin cranium from Sterkfontein, South Africa, and the status of Australopithecus [J]. J Hum Evol, 1999, 36:637-685. [37] LU Z. Hominid fossils[A]. Nanjing Hominid Site. Beijing: Wenwu Press, 1996, 15-82. [38] WOO JK.Human fossils found in Liujiang, Kwangsi, China [J]. Vertebr PalAsiatica, 1959, 3:109-118. [39] BRAUER G. “The Afro-European sapiens-Hypothesis” and hominid evolution in East Asia during the Late Middle and Upper Pleistocene[J]. Cour Forsch Inst Senckenberg, 1984, 69:145-165. [40] DE CASTRO JMB, ARSUAGA JL, CARBONELL E et al. A hominid from the Lower Pleistocene of Atapuerca, Spain: possible ancestor to Neandertals and modern human [J]. Science, 1997, 276:1392-1395. [41] ASCENZI A, BIDDITTU I, CASSOLI PF et al. A calvarium of late Homo erectus from Ceprano, Italy [J]. J Hum Evol, 1996, 31:419-423. [42] GRIMAUD D. La parietal de l’Homme de Tautavel [A]. L’Homo erectus et la Place de l’Homme de Tautavel parmi les Hominides Fossiles. Nice: 1er Congres International de Paleontologie Humaine. 1982, 62-109. [43] CLARKE R J. New cranium of Homo erectus from Lake Ndutu,Tanzania [J]. Nature, 1976, 262:485-487. [44] HOU Y, POTTS R, YUAN B et al. Mid-Pleistocene Acheulean-like stone technology of the Bose basin, South China [J]. Science, 2000, 287:1622-1626. [45] HUANG W, CIOCHON R, GU Y et al. Early Homo and associated artifacts from Asia [J]. Nature, 1995, 378:275278. [46] SWISHER CC, CURTIS GH, JACOB T et al. Age of the earliest known hominids in Java, Indonesia [J]. Science, 1994, 263:1118-1121. [47] CIOCHON R. The earliest Asians yet [J]. Nat Hist, 1995, 104:50-54. [48] WOOD BA, TURNER A. Out of Africa and into Asia [J]. Nature, 1995, 378:239-240. [49] TOBIAS PV, VON KOENIGSWALD GHR. A comparison between the Olduvai hominines and those of Java and some implications for hominid phylogeny [J]. Nature, 1964, 204:515-518 [50] TOBIAS PV. Africa-derived skulls and Africa-derived mitochondrial DNA: Towards a reconciliation [A]. The Origin and Past of Modern Humans as Viewed from DNA. Tokyo: World Scientific Press, 1995, 189-215. [51] BABA H. Diregional model of human evolution [A]. The Origin and Past of Modern Humans as Viewed from DNA. Tokyo: World Scientific Press, 1995, 244-266. [52] ARAMBOURG C. Le gisement de Ternifine I. Deuxieme Partie:L’Atlanthropus mauritanicus [M]. Arch De l’Inst De Pal Hum, 1963, 32: 37-190 [53] MOORE WJ, LAVELLE CLB. Growth of the Facial Skeleton in the Hominoidea [M]. London: Academic Press, 1974.

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

34-40

Restoration of the Face of Javanese Homo erectus Sangiran 17 and Re-evaluation of Regional Continuity in Australasia Hisao BABA1, Fachroel AZIZ2, Shuichiro NARASAKI3 (1. Department of Anthropology, National Science Museum, Tokyo, 3-23-1 Hyakunincho, Shinjuku-ku, Tokyo, 169-0073 Japan; 2. Quaternary Geology Laboratory, Geological Research and Development Centre, Bandung, Jl. Diponegoro 57, Bandung, 40122 Indonesia; 3. Laboratory of Biological Anthropology, Gunma Museum of Natural History, 1674-1 Kamikuroiwa, Tomioka, Gunma, 370-2345 Japan)

Abstract The Javanese Homo erectus Sangiran 17 skull was reconstructed, using the plaster casts made from six portions of the original skull. The mandible was newly restored, modifying the Zhoukoudian Homo erectus mandible XII. The facial skeleton is much robust and less prognathic, compared to that of Zhoukoudian Homo erectus reconstructed by Tattersall and Sawyer [1]. Then, the face of Sangiran 17 was restored based upon the reconstructed skull, arranging the chewing and facial muscles and other organs. The restored face is wide, moderately low, and less prognathic, having a thick eyebrow and a small nose. Within the seven facial characters considered to be shared between Sangiran 17 and Australians by Thorne and Wolpoff [2], only two characters (eversion of the lower border of the zygoma and lack of a nasal sill) are present but the other five are not present in both original and reconstructed Sangiran 17 skulls, which does not support the hypothesis of regional continuity in Australasia.

Key words:

Homo erectus; Sangiran 17; Face restoration; Australasia; Regional continuity

1

Introduction

So far as we know, the Sangiran 17 skull is the best preserved skull of Asian Homo erectus, because it has a face (Fig. 1). The Sangiran 17 skull was found in 1969 from Puchung site in Sangiran, Central Java, by Mr. Tukimin, a local farmer [3]. The skull is believed to be derived from the Kabuh (Bapang) Formation and dates to 0.7 to 0.8 million yr. BP [4-5]. The original Sangiran 17 skull is kept in the Geological Research and Development Centre, Bandung, under the care of the second author (FA). The skull had partly been reconstructed and studied by several authors [1, 6-10]. Recently the skull was re-arranged and stabilized by us [11]. However, the face remains distorted considerably.

2

Morphology of Sangiran 17 Skull

The Sangiran 17 skull provides an almost complete skull vault (Fig. 1). But its face is more or less damaged, the mandible is missing, and the left one third of the upper face is broken off. The remaining portions of the face are also distorted considerably [2, 9-11]. The skull shows typical characteristics of Asian Homo erectus from Lower / Middle Pleistocene [9-11]. The vault is long, wide and low, with remarkable development of the superstructures. The vault is large, but the endocranial volume of 1,004 ml [12] is moderate due to thickness of the bones (10mm at the bregma). It provides thick brow ridge and occipital torus, a clear bregmatic eminence, bulged supramastoid crests, and distinct temporal crests, which makes the vault outline rhombic in the lateral aspect and heptagonal in the occipital aspect. The frontal sinus is well developed in the medial half of the brow ridge. The Sangiran17 face is wide and low. It exhibits large orbital openings, a low nasal bridge, a small nasal aperture, a swollen and flared right zygomatic bone (left one is missing), a considerably projected palate, and moderately sized teeth [11, 13].

Biography: Hisao BABA, 1968, graduated Faculty of Science, University of Tokyo; 1970, Master of Science (University of Tokyo); 1983, Doctor of Medical Science (University of Tokyo); 1995, Director of the Department of Anthropology, National Science Museum and Professor of the Department of Biological Sciences, University of Tokyo.

BABA et al.: Restoration of the Face of Javanese Homo erectus Sangiran 17 and Re-evaluation of Regional Continuity in Australasia

Figure 1

Re-arranged original skull of Sangiran 17

35

ACTA ANTHROPOLOGICA SINICA

36

Supplement to Vol. 19, 2000

In the Sangiran 17 skull, the temporal fossae are deep in both anterior and posterior portions, the temporal crests are well ridged, and the supramastoid crests are thick and projected about 8mm high from the temporal fossa. This indicates marked development of the temporalis muscles. The right zygomatic bone of the Sangiran 17 skull is located anteriorly and flares laterally. It is extremely large and bulged so that the inferior border, from which the masseter muscle arises, is wide and situated low, near to the alveolar surface. These features mean that the masseter muscle had to be thick and located low, which implies that the region around the mandibular angle, to which the masseter inserts, might have been well developed and located low [13].

3

Reconstruction of Sangiran 17 Skull Cast

Negative molds of the Sangiran 17 skull were made divided into six separated portions by Mr. Shokichi Miyamoto during joint research supported by the Japanese International Cooperation Agency (JICA) and stored in the Geological Research and Development Centre, Bandung, under care of the second author (FA). The original Sangiran 17 skull was distorted and crushed considerably. However, since the skull is too hard and brittle to modify, we had to give up to use the original skull and decided to make up the precise cast in a supposed original shape, in the following procedure. At first, we made positive casts using these molds. Then, in order to correct displacements and distortions, we cut casts into several pieces and adjusted the position, referring to the original specimen, according to our knowledge of Homo erectus morphology (Fig. 2). Thirdly, we restored missing portions of the left face based on the shape of the right face .

Figure 2

4

Reconstructed cast of the Sangiran 17 skull

Restoration of the Sangiran 17 Face

We asked Mr. Yoichi Yazawa, who has been working on reconstruction and restoration under our supervision for these ten years, to carry out further restoration with us. At first, we restored a mandible of Sangiran 17 using the Sinanthropus mandible (XII) [14]. That is, we made the dental arcade wider and the mandibular ramus a little higher. Thus we obtained a presumed whole restored skull of Sangiran 17 (Fig. 3). Second, using clay, we attached the temporalis and masseter muscles to the skull, of which area and thicknesses were determined based upon the muscle markings on the skull and upon our

BABA et al.: Restoration of the Face of Javanese Homo erectus Sangiran 17 and Re-evaluation of Regional Continuity in Australasia

37

knowledge of human and ape anatomy. The attachment area and thickness of the muscles are much larger in the Sangiran 17 skull than in recent humans and more or less larger than in other fossil hominids, as discussed above. Third, we attached facial muscles to the skull, using wax sheets of various thicknesses. There are no significant difference in the structure of facial muscles between apes and humans, as might be true in Homo erectus. Thus, we restored the facial muscles according to our knowledge of human anatomy (Fig. 3).

Figure 3

Process of reconstruction and restoration of the Sangiran 17 face. Skull reconstruction (upper right), masticatory muscle restoration (lower left), facial muscle restoration (upper left), and a live face (lower right)

Fourth, we attached ears by using wax sheets and salivary glands using clay to the face. We set eye balls in the orbital cavities, using ready made eye balls for mannequins, which are a little larger than those of the actual humans and fit well with the large orbital cavities in the Sangiran 17 skull (Fig. 3). Fifth, we restored the skin, using wax sheets covering all of the head and face (Fig. 3). The thickness of the skin including subcutaneous fat varies from portion to portion, e.g. it is thin in the nasal region (2-3 mm), medium over the skull (5-10 mm), and thick in the cheek (15-30 mm).

ACTA ANTHROPOLOGICA SINICA

38

Supplement to Vol. 19, 2000

Finally, we colored the skin dark brown, as is seen in recent humans in low latitudes. We did not reconstruct the hair and beard, because they conceal the details of shape in the head and face. The Sangiran 17 head, of which shape directly reflects the skull vault shape, is low, long and wide with its maximum width at the lower part of the vault (Fig. 3). In the lateral view, there are three projections (the brow ridge, occipital torus and bregmatic eminence), which make the vault outline rhombic in shape. All these characteristics should have been more or less shared in other Homo erectus in Asia and Africa. The forehead is flat and strongly receded, showing Javanese Homo erectus features. The Sangiran 17 face is wide and moderately high, with a rounded rectangular outline, which might represent presumed common features shared in Homo erectus (Fig. 3). The mouth is, however, moderately projected compared with those of other Homo erectus. In addition, the cheeks are much swollen, and the nose is small. Consequently, the face looks very flat [13]. These features in Sangiran17 show the uniqueness of this specimen, and curiously resemble those of recent Northeast Asians, which imply some similarity in masticatory adaptation rather than direct phylogenetic relationship between them [13].

5

Re-examination of the Australasian Regional Traits in Sangiran 17

Thorne and Wolpoff [2] stated that there were twelve morphological characters shared in the Sangiran 17 and Australians, including fossil and recent specimens, which reflects regional continuity in Australasia. Among them, we re-examined seven facial characters, such as marked prognathism, presence of a marked ridge paralleling the course of the zygomaxillary suture (or malar tuberosity), the eversion of the lower border of the zygoma, the rounding of the inferolateral border of the orbit, lack of the nasal sill, marked expression of the dental plane curvature, and the degree of facial and dental reduction. These characters had been obscure, but were revealed clearly by the present observation and reconstruction of the Sangiran 17 skull (Fig. 1, 2). The degree of facial prognathism is moderate in the reconstructed Sangiran 17 skull face as in other later Homo erectus (Fig. 2). Moreover, the zygoma is extraordinary bulged anteriorly as well laterally, exceeding the condition of flat “generalized” faces in other Homo erectus and archaic Homo sapiens (cf. [15]). Consequently, the Sangiran 17 face looks flat. Fenner [16] originally described the malar tuberosity in Australians, which is a prominent ridge located on the external surface of the zygoma. Wolpoff argued that the tuberosity did exist in the original (personal communication in Habgood [17]). Thorne and Wolpoff [2] also pointed out the presence of the ridge paralleling the course of the zygomaxillary suture. We confirmed that there was neither a true tuberosity nor the ridge paralleling the suture. In our opinion, the ridge described by Thorne and Wolpoff [2] is actually a postmortem deformation as described above, but a few small (1-2 mm in length) processes were seen on the inferolateral border of the external surface of the zygoma (Fig. 1). As for the eversion of the lower border of the zygoma, it exists in Sangiran 17. But in Sangiran17, the whole zygoma is bulged laterally, and the partial eversion is not seen on the lower border (Fig. 1). Weidenreich [18], Howell [19], Thorne and Wolpoff [2], and Habgood [17] have mentioned that the rounding of the inferolateral border of the orbit is often seen widely in Homo erectus and archaic Homo sapiens. According to the present observation, Sangiran 17 does not exhibit this rounding on the inferolateral border (Fig. 1). Some rounding is, however, seen on the inferomedial border, although it is somewhat obscured by the deformation. In most Homo erectus and archaic Homo sapiens, there is no distinct sill (line or ridge) in the lower border of the nasal aperture which divides the nasal floor and the nasoalveolar clivus [18-19]. Our observation on the preserved right half of the lower border confirmed Thorne and Wolpoff’s claim that neither a line or ridge existed. The marked expression of the curvature of the posterior alveolar plane of the maxilla was described by Thorne and Wolpoff [2]. In addition, Rightmire [9-10] stated that the occulusal surface

BABA et al.: Restoration of the Face of Javanese Homo erectus Sangiran 17 and Re-evaluation of Regional Continuity in Australasia

39

slopes sharply (unnaturally) upward from front to back in the Wolpoff’s reconstruction. The occulusal as well as alveolar surface, however, slopes moderately or almost horizontally in the present reconstruction (Fig. 2). It does not make sense to compare the degree of facial and dental reduction between Sangiran17 and Australians, because masticatory adaptation pattern is completely different from each other. That is, Sangiran 17 has the largest middle face in Homo erectus ever recovered and small teeth as a later Homo erectus, which suggests a certain dietary adaptation, for example to eat tough and clean food substances in wet area such as forest. On the other hand, Australians’ teeth are the largest in the living humans but the middle face is not so large as those of recent Northeast Asians, which suggests that the dental attrition in Australians is mainly a result of contamination of sand grains in the food in arid areas such as desert. As a summary of our observations on these seven characters, the Sangiran 17 face shows the smooth lower border of the nasal aperture and eversion of the lower border of the zygoma. But, we confirm that Sangiran 17 face does not possess the marked facial prognathism, rounding of the inferolateral border of the orbit, malar tuberosity, and steep curvature of the posterior alveolar plane. Moreover, the comparison of facial and dental reduction does not make sense. Thus, so far as the facial morphological characters are concerned, the regional continuity in Australasia is far less evident than Thorne and Wolpoff [2] argued. Acknowledgements: We thank to Geological Research and Development Centre for the permission of the study of the Sangiran 17 skull. References: [1] TATTERSALL I, SAWYER GL. The skull of “Sinanthropus” from Zhoukoudian, China: a new reconstruction [J]. J Hum Evol, 1996, 31:311-314. [2] THORNE AG, WOLPOFF MF. Regional continuity in Australasian Pleistocene hominid evolution [J]. Am J Phys Anthropol, 1981, 55: 337-349. [3] SARTONO S. Discovery of another hominid skull at Sangiran, Central Java [J]. Curr Anthropol, 1972, 13:124-126. [4] MATSU7URA S. A chronological framing for the Sangiran hominids; Fundamental study by the fluorine method [A]. Bull Nat Sci Mus, Tokyo, Series D, 1982, 8: 1-53. [5] ITIHARA M, SUDIJONO, KADAR D et al. Geology and stratigraphy of the Sangiran area [A]. In: WATANABE N, KADAR D eds. Quaternary Geology of the Hominid Fossil Bearing Formations in Java. Geological Research and Development Centre, Special Publication, 1985, No. 4, 11-43. [6] SARTONO S. Implications arising from Pithecanthropus VIII [A]. In: TUTTLE RH ed. Paleoanthropology: Morphology and Paleontology. The Hague: Mouton, 1977, 326-360. [7] JACB T. Morphology and palaeoecology of early man in Java [A]. In: TUTTLE RH ed. Paleoanthropology: Morphology and Paleontology. The Hague: Mouton, 1975, 311-325. [8] SANTA LUCA AP. The Ngandong Fossil Hominid [M]. Yale University Publication on Anthropology, 1980, No. 78. 1175. [9] RIGHTMIRE BP. The Evolution of Homo erectus: Comparative Anatomical Studies of an Extinct Human Species [M]. Cambridge: Cambridge University Press, 1990, 1-260. [10] RIGHTMIRE BP. Evidence from facial morphology for similarity of Asian and African representative of Homo erectus [J]. Am J Phys Anthropol, 1998, 106: 61-85. [11] AZIZ F, BABA H, WATANABE N. Morphological study on the Javanese Homo erectus Sangiran 17 skull based upon the new reconstruction [A]. Geological Research and Development Centre, Paleontology Series, 1996, 8: 11-25. [12] HOLLOWAY RL. Early hominid endocasts: volumes, morphology and significance for hominid evolution [A]. In: TUTTLE RH ed. Primate Functional Morphology and Evolution. The Hague: Mouton, 1981, 393-415. [13] BABA H. Diregional model of human evolution [A]. In: BRENNER S, HANIHARA K eds. The Origin and Past of Modern Humans as Viewed from DNA. Singapore: World Scientific, 1995, 244-266. [14] WEIDENREICH F. The Mandible of Sinanthropus pekinensis, A Comparative Study [M]. Palaeontol Sin, Series D, 1938, VI-3, 1-169.

40

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

[15] SMITH FH, PAQUETTE ST. The adaptive basis of the Neandertal face form, with some thought on the nature of modern human origins [A]. In: TRINKAUS E ed. The Emergence of Modern Humans. Cambridge: Cambridge University, 1989, 182-210. [16] FENNER FJ. The Australian Aboriginal skull: its non-metrical morphological characters [J]. Trans R Soc South Aust, 1939, Vol. 63, Part 2, 248-306. [17] HABGOOD PJ. The origin of anatomically modern humans in Australasia [A]. In: MELLERS P, STRINGER CB eds. The Human Revolution: Behavioral and Biological Perspectives on the Origin of Modern Humans. Edinburgh: Edinburgh University Press, 1989, 245-273. [18] WEIDENREICH F. The Skull of Sinanthropus pekinensis: A Comparative Study on a Primitive Hominid Skull [M]. Palaeontol Sin, New Series D, 1943, 10: 1-484. [19] HOWELL FC. Hominidae [A]. In: MAGLIO VJ, COOKE HB eds. Evolution of African Mammals. Cambridge: Harvard University Press, 1978, 154-248.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

41-45

Two New Human Fossil Remains Discovered in Sangiran (Central Java, Indonesia) Dominique GRIMAUD-HERVE 1, Harry WIDIANTO 2, Teuku JACOB 3 (1. Laboratoire de Préhistoire du MNHN, UMR 6569, Institut de Paléontologie Humaine, 1 rue rené Panhard, 75013 Paris, France, UAMI: Université de Provence, UAMII: Université de la Méditerranée; 2. Balai Arkeologi, Jl Gedongkuning 174, Kota Gede, 55171 Yogyakarta, Indonesia; 3. Department of Physical Anthropology, Faculty of Medicine, Gadjah Mada University, Yogyakarta, Indonesia)

Abstract The discovery of two new human fossil remains in the Sangiran dome confirms that observed morphological characters such as a low and elongated skull with distinct maximal and biparietal breadths, the presence of sagittal keeling and supra-orbital, angular and occipital toruses, and nucchal plane and occipital squama angulation are common to the asian Homo erectus population.

Key words:

Homo erectus; Sangiran dome

1

Grogol Wetan

1.1

Discovery and stratigraphical position of the hominid fossil This human fossil remain was discovered in 1993 by Sugimin in the Grogol Wetan site, in the Sangiran dome (Central Java).The fossil was found in the Kabuh layers whose base is dated at approximately the lower/middle Pleistocene boundary. A first attempt to date by the Argon method gives an estimated age of 0.78 ± 0.29 million years [1]. This quite fragmented skull is now kept in Suakade Prambanan. 1.2

Conservation, age and sex The general preservation of the fossil is quite good. The fossil, which is in need of a careful reconstruction, possesses almost the whole skullcap. Several isolated bone fragments, broken at the time of discovery, were also discovered. The well conserved parts of the cranium are: the entire left side of the frontal bone, the sagittal part of the right frontal region, both parietal bones, the occipital bone (nuchal part is missing), the left and right posterior parts of the temporal bones, together with the upper part of the right temporal squama. The anterior right part of the broken maxillar bone shows both incisors, the canine, the first premolar and the root of the second premolar. Another maxillar fragment has conserved the second and third right molars. The only unbroken isolated teeth found are the first and the third left molars. The synostosis of the cranial sutures is complete. All the superstructures (occipital torus, metopic and bregmatic eminences, sagittal keeling and torus angularis) defined by Anton [2] are present; thus, we may infer that the remains of the Grogol Wetan hominid represent an adult specimen. The cranial superstructures are not well developed and the bones are quite thin (7mm). In essence, this fossil is very similar to Sangiran 2. These characteristics would indicate that this specimen is a female hominid. 1.3

Morphological description This morphological description is preliminary; a complete restoration ought to improve the first observations presented here. 1.3.1 Lateral view The preserved part of the superior supra-orbital torus shows a thickness identical to Sangiran2’s in norma lateralis. The supra-orbital sulcus is not marked. The frontal bone in the region of the forehead does not show a marked convexity.

42

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

The sagittal curvature is regular up to the prelambda plane. The occipital squama’s convexity is slight, similarly to other Sangiran skulls. It is separated from the transversal occipital torus by a discrete relief. This torus presents a clear angulation between the inferior and superior occipital planes, which is characteristic of the Homo erectus group sensu stricto[3]. The temporal lines present an apparent but blunt relief, and are in a high position on the parietal bones, as we have observed on Sangiran 2, 10, 12, 17 and on Trinil 2 [4-5]. The superior and inferior lines are separated as they rise from the frontal, their relief stays constant until its termination, at which point the superior line thickens in a slight angular torus. The convexity of the superior temporal border, well preserved on the right, is not marked; this character is common to the Sangiran hominids from this stratigraphic level, such as Sangiran 12 or 17.

Figure 1

Grogol Wetan human fossil skull, left lateral view

1.3.2

Superior view The superior outline of the Grogol Wetan skull has a sphenoïd shape, with a low and posterior position of the maximal cranial breadth and an accentuated narrowing in the post-orbital region. The beginning of a very marked sagittal keeling is noticeable, just after the supra-orbital sulcus. The parietal eminences do not constitute individualized protrusions; the same state applying to the preserved left frontal part. 1.3.3

Posterior view The cranial outline in posterior view is trapezoïdal as observed on the other Sangiran skulls, with a very low maximal cranial breadth at the level of the supramastoidal crests. This breadth is different from the biparietal maximal breadth which is situated at the end of the inferior temporal lines. The superior region of the skull is rather horizontal and not at all convex. The occipital torus, clearly apparent, is ligthly marked, but less than on Sangiran 12 ( 17 ); it shows a slight superior sulcus.

GRIMAUD-HERVE et al.: Two New Human Fossil Remains Discovered in Sangiran (Central Java, Indonesia)

43

1.3.4

Anterior view The two preserved elements of the supra-orbital torus are totally fused. We suggest that this torus corresponds to type III of Cunningham [6]. This character is again common to the others Homo erectus from Sangiran and Trinil.

2 Bukuran 2.1

Discovery of the fossil In 1996, a new hominid skull was discovered in the Bukuran site, in the Sangiran dome (Central Java). It was found in the Kabuh layers. This fossil is kept in the department of Physical Anthropology of Gadjah Mada University, in Yogyakarta. 2.2

Conservation, age and sex The state of preservation of the Bukuran fossil is quite good. It consists of two parts, the parieto-occipital region and the frontal region. All the cranial sutures are clearly apparent, the lambdoïdal one being open. The robustness of the supra-orbital and occipital toruses is very marked. These characters allow us to attribute this hominid to a young male. 2.3

Morphological description

2.3.1

Lateral view The skull outline is elongated and low. The supra-orbital torus and the glabellar region are strongly developped. The post-orbital sulcus is marked. The sagittal convexity of the frontal and parietal bones is regular. The convexity of the occipital squama is low, and so is the nuchal plane’s; these two regions are separated by a marked occipital torus with the characteristic angulation of the Homo erectus group. The temporal lines are situated in the middle part of the parietal. Their relief is discrete and blunt. There seems to exist a pathology, given that the relief of the inferior temporal line is more pronounced that the superior one. We observe an angular torus separated from the superior line by a depression; this is rather uncommon. A large number of wormians bones is noticeable: 5 in the lambdatic region, 2 on the left lambdatic suture and 1 on the right. No wormian bones have been observed on the others cranial regions. The convexity of the superior temporal border is not very accentuated. It is similar to the one of Trinil 2 or 17. 2.3.2

Superior view The cranial outline of Bukuran is sphenoïdal, similar to those of the hominids discovered in the Kabuh layers of Sangiran, such as Trinil 2, Sangiran 2, 10, 12 or 17. The maximal cranial and biparietal breadths are distinct and situated in a low and posterior position. The first one is at the level of the supra-mastoïdal crest while the second is in the posteroinferior part of the parietal, on the angular torus. The post-orbital constriction is very marked, and the narrowing of the frontal squama is accentuated. A sagittal keeling is observed on the medial part of the frontal squama; it disappears up to the bregmatic eminence and continues from there on. Parietal protrusions have not been noted. The observed occipital convexity is regular.

44

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

2.3.3

Anterior view No frontal eminences has been noted on the Bukuran skull. All the elements of the supra-orbital torus are fused. This torus corresponds to the type III of Cunningham. It is robust with a deep sulcus on it, similarly to Grogol Wetan, Trinil 2, Sangiran 2 or Sangiran 17. 2.3.4

Posterior view The outline is pentagonal with a horizontal superior vault. The sagittal keeling is apparent from this view. The occipital torus is developped and shows a strongly individualized external occipital eminence.and a supra-toral sulcus. Like the others skulls of the same of this site, the inferior part of the occipital (the nucchal part) is more developped than the superior part. The convexity of these two occipital regions is not accentuated.

Figure 2

Bukuran human fossil skull, ¾ left view

3

Conclusion

The two new hominid fossil remains found in the Sangiran dome at the Grogol Wetan and Bukuran sites represent adult specimens. The presence of the characteristic occipital torus, the metopic eminence, the bregmatic eminence, a sagittal keeling and an angular torus are well differentiated on these two subjects. We know, according to Anton [2, 7], that the differentiation of these superstructures appear ontogenitically in this order as a function of age. Thus, these two skulls represent the adult stage. The first observed morphological characters show a low and elongated skull for both fossils, with namely a sphenoïdal type outline, and a maximal cranial breadth (situated in a low and posterior position at the level of the supramastoïdea crests) distinct from the maximal biparietal one (situated on or near the torus angularis). All these characters are common to the asian Homo erectus population [8]. We observed a supra-orbital torus whose elements are fused both in Grogol Wetan and Bukuran,with no apparent frontal or parietal protrusions.

GRIMAUD-HERVE et al.: Two New Human Fossil Remains Discovered in Sangiran (Central Java, Indonesia)

45

The presence of a sagittal keeling and angular torus have been noted, so are a strong occipital torus along with the characteristic angulation found in the Homo erectus group. Finally a more developped nucchal plane than the occipital squama is apparent. The morphological characters described are common to the hominids discovered in this geological region (Kabuh layers). These observations allow us to integrate the two fossils in the Trinil - Sangiran population; this illustrates the very marked homogeneity of this fossil group. Acknowledgments: We are grateful to Dr Teuku Jacob, Gadjah Mada University, and to the director of Ditlinbinjarah, Yogyakarta, for access to specimen in their care, François Semah and Miguel Caparros for their criticism and helpful discussion. References: [1] SALECKI H. Apport d’une Intercomparaison de Méthodes Nucléaires (230 th/234u, ESR et 40Ar/39Ar) à la Datation de Couches Fossilifères Pléistocènes dans le Dôme de Sangiran (Java Central) [D], Thèse de Doctorat du M.N.H.N., Paris: 1997, 238. [2] ANTON SC. Developmental age and taxonomic affinity of the Modjokerto child Java, Indonesia [J]. Am J Phys Anthropol, 1997, 102, 497-514. [3] WIDIANTO H. Unité et Diversité des Hominidés Fossiles de Java: Présentation de Restes Humains Fossiles Inédits [D]. Thèse de Doctorat du M.N.H.N., Paris: 1993, 284. [4] GRIMAUD-HERVÉ D, JACOB T. Les pariétaux du Pithécanthrope Sangiran 10 [J]. L ’Anthropologie, 1983, 87:469-474. [5] SARTONO S, GRIMAUD-HERVÉ D. Les pariétaux des Pithécanthropes Sangiran 12 et 17 [J]. L ’Anthropologie, 1983, 87: 475-482. [6] CUNNINGHAM DJ. The evolution of the eyebrown region of the forehead with special reference to the successive supraorbital development in the Neanderthal race [J]. Trans R Soc Edinb, 1908-1909, 46:283-311. [7] ANTON SC. Cranial growth in Homo erectus: How credible are the Ngandong juveniles [J]? Am J Phys Anthropol, 1999, 108:223-236. [8] GRIMAUD-HERVÉ D. The parietal bone of indonesian Homo erectus [J]. Hum Evol, 1986, 1:167-182.

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

46-51

Finding of a Hominid Lower Central Incisor During the 1997 Excavation in Sangiran, Central Java Hisao BABA1, Fachroel AZIZ2, Shuichiro NARASAKI3, SUDIJONO2, Yousuke KAIFU1, Agus SUPRIJO4, Masayuki HYODO5, Eko Edi SUSANTO2, Teuku JACOB4 (1. Department of Anthropology, National Science Museum, Tokyo 169-0073, Japan; 2. Geological Research and Development Centre, Bandung 40122, Indonesia; 3. Laboratory of Biological Anthropology, Department of Biology, Gunma Museum of Natural History, Gunma 370-2345, Japan; 4. Laboratory of Bio- and Palaeoanthropology, Faculty of Medicine, Gadjah Mada University, Yogyakarta 55002, Indonesia; 5. Research Center for Inland Seas, Kobe University, Kobe 657-8501, Japan)

Abstract A new hominid lower central incisor with incomplete root formation was found during our excavation in 1997 in the Sangiran area. The stratigraphic level of the specimen was tentatively inferred as between the Upper and Lower Tuffs of the Bapang Formation. Comparisons with various Plio-Pleistocene hominid specimens from Eurasia and Africa were made and the specimen showed morphological affinity with Lower/Middle Pleistocene Homo erectus or Homo aff. H. erectus, as expected from its assigned time frame. The background of the find was explained and some information concerning developmental stage of the owner of the tooth was given.

Key words:

Homo erectus; Hominid incisor; Sangiran; Indonesia

On June 24, 1997, a hominid lower left central incisor with incomplete root formation was unearthed from the Bapang (Kabuh) Formation in the Sangiran area by the Indonesia-Japan joint research team. This find is important in that it was found through a systematic excavation, and therefore the find spot is precisely known. So far almost all the Javanese hominid fossils have been found and collected by local inhabitants, and therefore their stratigraphic positions are variously ambiguous [1-3]. This new specimen has been provisionally designated as Bs 9706 following the numbering system of the Geological Research and Development Centre, Bandung. Basic description, systematic comparisons with other fossil specimens from Indonesia, China, Africa, and Europe, and discussion on the affinity of the specimen have been published elsewhere, together with a discussion on the stratigraphic level of this specimen [4]. This paper presents more detailed information on the background of the find and some additional information concerning developmental stage of the owner of the tooth.

1

Excavation at the Bukuran Site

The Bukuran excavation site (Figure 1, 2) is located in the ESE area of the Sangiran Dome (7º27 ’23”S; 110º51 ’17”E), where the uppermost portion of the Sangiran (Pucangan) and most of the overlying Bapang (Kabuh) Formations are exposed. Several hominid fossils have been previously discovered from the Bapang Formation within a one km radius from this excavation site. Such previous finds include skull fragments (Sb 7904 a-d) [5], fragment of the right mandibular corpus with P4-M3 (Sb 8103) [6], and an unpublished small skull fragment. The excavation was conducted from June 10th to 28th with the help of 39 local inhabitants. Three stair-like trenches were excavated at two cliffs (Trench-I-1, -I-2, and –II) (Figure 1). The square grid was set 1.5 m by 1.5 m in size for the three trenches as shown in Figure 3. The depth was measured from the highest point of each trench. The total area and mass volume of the excavation amounted to 144 m2 (64 grids) and about 400 m3, respectively. The sandy part of the excavated earth was screened by dry screening with 5 mm mesh screens. The screening was done by local inhabitants under the supervision of our team staffs. About 1800 vertebrate fossils including Biography: Hisao BABA, 1968, graduated Faculty of Science, University of Tokyo; 1970, Master of Science (University of Tokyo); 1983, Doctor of Medical Science (University of Tokyo); 1995, Director of the Department of Anthropology, National Science Museum and Professor of the Department of Biological Sciences, University of Tokyo.

BABA et al.: Finding of a Hominid Lower Central Incisor During the 1997 Excavation in Sangiran, Central Java

47

small fragments were unearthed. Among these, 66 were found in situ. The taxa represented among this collection were typical of the Bapang Formation [7]. The vertebrates identified were Stegodon trigonocephalus, Axis lydekkeri, Cervus zwaani, Sus brachygnathus, Rhinoceros sondaicus, Bubalus palaeokerabau, Bibos palaeosondaicus, crocodile, and tortoise. Bs 9706 was found during the screening of the sediment from a medium to coarse grained sand layer with granules in one of the trenches (Trench-I-1) (Figure 4). No artifacts were found from the excavation.

Figure 1

Upper: Schematic plan view of the Bukuran excavation site. TR-I-1, -I-2, and –II are the trench number. H(79) indicates the location where an unpublished hominid cranial remain was found in 1979. Scales in meter

2

Stratigraphy and Chronology

Relative stratigraphic level of Bs 9706 within the Bapang Formation can not be precisely determined at the present stage of our research mainly because all the three key tuff layers of the Bapang Formation (Upper, Middle, and Lower Tuffs) [8] are missing owing to their more or less discontinuous character in the Bukuran excavated area. However, the stratigraphic level of Bs 9706 could be inferred with some reliability through correlation with the stratigraphy in the neighboring Bapang region, the type locality of the Bapan (Kabuh) Formation. Our analyses on paleo- and rock magnetism of several sediment samples from both the Bukuran excavation site and the Bapang region, as well as relative vertical position of the find spot of Bs 9706, strongly suggested that the stratigraphic level of Bs 9706 was between the Upper and Lower Tuffs of the Bapang Formation [4]. Thus far, there are no published radiometric dates for the Upper and Lower Tuffs. The magnetostratigraphic study by Hyodo et al. [9] identified the location of the Brunhes/Matuyama boundary (0.78 Ma [10]) as being just below the Upper Tuff. These same authors placed the top of the Jaramillo subchron (0.99 Ma [10]) just below the Grenzbank zone, which is situated at the lowermost part of the Bapang Formation. The above chronological data, thus, tentatively assign the Bs 9706 specimen to the latest phase of the Matuyama chron or to the latest Early Pleistocene.

48

ACTA ANTHROPOLOGICA SINICA

Figure 2

Figure 3

Excavation at Trench-I-1 and –I-2

Grid setting of the excavated trenches

Supplement to Vol. 19, 2000

BABA et al.: Finding of a Hominid Lower Central Incisor During the 1997 Excavation in Sangiran, Central Java

3

49

Affinity and Developmental Stage of Bs 9706

The specimen is a lower left central incisor (Figure 5). The crown of Bs 9706 preserves its original dimensions thanks to virtually complete preservation, minimal incisal wear, and probable absence of interproximal wear. The size, shape, and external morphology of the crown show affinity with Lower/Middle Pleistocene Homo erectus or Homo aff. H. erectus from Asia, Africa, and Europe, though it is somewhat smaller in its mesiodistal and labiolingual diameters. It is smaller compared to a small sample of Homo habilis and differs from australopithecines in the combination of high crown shape index, relatively low crown height, the possible presence of five mammelons, and a moderate degree of shoveling [4].

Figure 4

Lithological succession in the east wall of the Trench-I-1. Views of the Bs 9706 lower central incisor

Figure 5 Labial (left), distal (central left), lingual (central right), and incisal (right)

ACTA ANTHROPOLOGICA SINICA

50

Supplement to Vol. 19, 2000

The root formation of Bs 9706 is incomplete. Here we describe some features that permit insight into developmental stage of the owner of the tooth. The root of Bs 9706 is unusual in that its transverse diameters are markedly less than those at the cervical portion of the crown. This morphology and the existence of traces of surface erosion on both the crown and root surfaces indicate that the root had been disproportionately severely eroded relative to the damage on the crown. This extensive surface damage of the root makes us hesitate to estimate root formation stage of this specimen from its preserved outer morphology, but it may be inferred with some degree of reliability from the existing root height. Most of the published root heights of the lower central incisors of the known Plio-Pleistocene hominids are around 18 mm (Table 1). Therefore, if the height of the mature root of this specimen is accepted as having been approximately 18 mm, the labial height of the existing root of Bs 9706, 8.4 mm, would indicate that the root is approximately half complete. Table 1

Root heights of Plio-Pleistocene hominid lower central incisors (mm)

Locality/ specimen

Side

Root height

Measurement method

Reference

Homo erectus and Homo aff. H. erectus Zhoukoudian 5

L

>17.2

Labial height

[11]

Zhoukoudian 54 (BI)

R

>16.8?

Labial height

[11]

Zhoukoudian 55 (BI)

L

>16.8?

Labial height

[11]

Zhoukoudian 57 (BV)

R

18.0

Labial height

[11]

Zhoukoudian 58 (BV)

L

18.0

Labial height

[11]

Zhoukoudian 135’

R

>14.2

Labial height

[11]

KNM-WT 15000

R

20.4

No description

[12]

KNM-WT 15000

L

19.9

No description

[12]

Tighenif (isolated I1)

R

12.2*

No description

[13]

R

(18.0)

Lingual height

[14]

SKX 3559

R

17.2

No description

[15]

SKX 5004b

L

>17.7 (20.0)

No description

[15]

SKX 26967

L

>14.4

No description

[15]

SKX 35416

R

>16.1 (16.5)

No description

[15]

KNM-ER 3230

R

19.6

Labial height

[16]

KNM-ER 3230

L

21.5

Labial height

[16]

Australopithecus afarensis LH 14 Paranthropus robustus

Paranthropus boisei

* Calculated as (total tooth height) – (crown height).

There is a distinct worn facet along the incisal edge, but it is minimal in degree and restricted within the labiolingually narrow incisal surface. This incisal worn facet does not form a distinct angle with the long axis of the tooth in lateral view. Interproximal contact facets may well have been absent both on its mesial and distal surfaces. Numerous small erosional pits on the entire crown surface obscure the judgment, but at least distinct facets are not identified on the unrecorded portions of the interproximal surfaces of the specimen. Therefore, we infer that the individual died

BABA et al.: Finding of a Hominid Lower Central Incisor During the 1997 Excavation in Sangiran, Central Java

51

shortly after the accomplishment of preocclusal eruption of the permanent lower central incisors, and possibly during the eruption of the permanent lower lateral incisors. Acknowledgments: This study was conducted under the cooperation of the Geological Research and Development Centre, Bandung; Gadjah Mada University, Yogyakarta; National Science Museum, Tokyo; and Gunma Museum of Natural History, Gunma. We thank the many individuals of these institutions for their support. We also thank Mr. Slamet Sudjarwadi, Mr. Iwan Kurniawan (GRDC), and Mr. Hisao Kato (University of Tokyo) for their assistance in the field. Grant sponsor: Japanese Ministry of Education, Science, Sports and Culture; Grant number: 08041163. References: [1] HOOIJER DA. The geological age of Pithecanthropus, Meganthropus and Gigantopithecus [J]. Am J Phys Anthropol, 1951, 9: 265-281. [2] KOENIGSWALDT GHR. Australopithecus, Meganthropus and Ramapithecus [J]. J Hum Evol, 1973, 2(6): 487-491. [3] POPE GC, CRONIN JE. The Asian Hominidae [J]. J Hum Evol, 1984, 13(5): 377-396. [4] BABA H, AZIZ F, NARASAKI S et al. A new hominid incisor from Sangiran, Central Java [J]. J Hum Evol (in press). [5] BABA H, AZIZ F. Hominid skull fragments found in 1979 from Sangiran, Central Java [J]. Bull Natn Sci Mus, Series D, 1991, 17: 1-8. [6] AZIZ F, BABA H, NARASAKI S. Preliminary report on recent discoveries of fossil hominids from the Sangiran area, Jawa [J]. J Geol Min Resources, 1994, 29(4): 11-14. [7] AIMI M, AZIZ F. Vertebrate fossils from the Sangiran Dome, Mojokerto, Trinil and Sambungmachan area [A]. In: Quaternary Geology of the Hominid Fossil Bearing Formations in Java. Geological Research and Development Centre, Special Publication 4, 1985, 155-197. [8] ITIHARA M, SUDIJONO, KADAR D et al. Geology and stratigraphy of the Sangiran area [A]. In: Quaternary Geology of the Hominid Fossil Bearing Formations in Java. Geological Research and Development Centre, Special Publication 4, 1985, 11-43. [9] HYODO M, WATANABE N, SUNATA W et al. Magnetostratigraphy of hominid fossil bearing formations in Sangiran and Modjokerto, Java [J]. Anthropol Sci, 1993, 101(2): 157-186. [10] CANDE SC, KENT DV. Revised calibration of the geomagnetic polarity timesclae for the Late Cretaceous and Cenozoic [J]. J Geophys Res, 1995, 100(B4): 6093-6095. [11] WEIDENREICH F. Dentition of Sinanthropus pekinensis: A Comparative Odontography of the Hominids [M]. Paleontol Sin, New Series D 1, 1937. 1-180. [12] BROWN B, WALKER A. The dentition [A]. In: The Nariokotome Homo erectus Skeleton. Cambridge: Harvard University Press, 1993, 161-192. [13] ARAMBOURG C. Le gisement de Ternifine, II. L’Atlanthropus mauritanicus [A]. Archives de l’Institut de Paléontologie Humaine, Mémoire 32, 1963, 37-190. [14] WHITE TD. New fossil hominids from Laetolil, Tanzania [J]. Am J Phys Anthropol, 1977, 46(2): 197-230. [15] GRINE FE. New hominid fossils from the Swartkrans Formation (1979-1986 excavations): Craniodental specimens [J]. Am J Phys Anthropol, 1989, 79(4): 409-449. [16] WOOD, B. Koobi Fora Research Project: Volume 4. Hominid Cranial Remains [M]. Oxford: Clarendon Press, 1991.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

52-61

Thickness Mapping of the Occipital Bone on CT-data –- a New Approach Applied on OH 9 Gerhard W. WEBER1, Johann KIM2, Arnold NEUMAIER2, Cassian C. MAGORI3, Charles B. SAANANE3, Wolfgang RECHEIS4, Horst SEIDLER1 (1. Institute for Anthropology, University of Vienna, Althanstr. 14, A-1090 Vienna. AUSTRIA; 2. Institute of Mathematics, University of Vienna, Strudlhofgasse 4, A-1090 Vienna, AUSTRIA; 3. Dept. of Anatomy & Histology, Muhimbili University College of Health Science, P.O. Box 65453, Dar-es Salaam, TANZANIA; 4. Dept. of Radiology II, University Hospital Innsbruck, Anichstr. 35, A-6020 Innsbruck, AUSTRIA)

Abstract A new approach for the analysis of cranial bone thickness is introduced. The study focuses on the occipital bone of modern humans and of a 1.25 Myr-old H. ergaster/erectus specimen from Olduvai Gorge (OH 9). A semiautomatic algorithm detects a multitude of thicknesses from CT-data of the investigated bones. We find that every bone is characterized by its own distribution pattern of cranial thickness, which is then analyzed statistically. The results demonstrate that the thickness distribution of the occipital bone of OH 9 is within the normal range of the H. sapiens sample (which itself shows a remarkably high variance). This contributes to a further analysis of phyletic differences of hominid morphology by including distribution patterns of thickness combined with aspects of functional anatomy.

Key words: Occipital bone; Bone thickness; Hominid evolution; Virtual anthropology; Computed tomography

1

Introduction

Information about the thickness of cranial bones are not only of great medical interest, particularly for preoperative surgical planning [1], but can be as useful for investigations of fossil hominid material [2]. However, not much data is available for both these disciplines. Intra- and interspecific variation [3-4] is poorly known and mostly depends on measurements taken on a handful of landmarks or other not well defined points. These studies fall short of offering adequate information about the structural details of skulls, especially when considering specific endo- and exocranial qualities. Other authors [5-6] have undertaken efforts to develop thickness maps of the cranial vault but again with the restriction of a very limited number of measuring points. We demonstrate a new approach, using CT-data of modern Homo sapiens skulls and of a skull of Homo ergaster/erectus from Tanzania, namely the 1.25 Myr-old OH 9. As the method is still under development we had to limit the formulation of the problem and so we are focusing on the occipital bone only. The points we use for the analysis are defined by the resolution of the CT-scan (0.4 mm). From every point on the surface of the bone we can measure the occipital thickness by using a new algorithm and the results can be given as a matrix as well as a topographical thickness map of the investigated bone. The method is part of our “Virtual Anthropology” project [7-9] concerned with the 3D-analysis of CT-data of recent and fossil hominids. The aim of the present study is to obtain a sufficient number of thickness measurements by a semiautomatic process to characterize the thickness distribution and to analyze the morphology variation of phyletic species.

2

Material

Our sample consists of 12 H. sapiens occipital bones (Table 1) and we tried to get as much variation as possible by including skulls from different populations (4 Europeans, 3 Africans, 3 Asians, 2 Australiens) of different sex (5 female, 7 males). Our first candidate of a fossil specimen to be compared was the occipital bone of the Tanzanian H. ergaster/erectus OH 9.

WEBER et al.: Thickness Mapping of the Occipital Bone on CT-data - a New Approach Applied on OH 9

Table 1 Skull

Sex

VA 1

53

Individuals in the study

Age

Origin

Female

25

Europe

335

VA 2

Male

45

Europe

LE 54

VA 3

Male

25

Europe

NL 320

VA 4

Female

30

Europe

NL 371, HY

VA 13

Female

20

Australia

Aboriginal, C.80

VA 20

Male

40

Australia

Aboriginal, C.70

VA 23

Male

50

Africa

Bantu, S 66

VA 24

Female

20

Africa

Bantu, S 157

VA 25

Male

30

Africa

Bushman, S 60

VA 26

Male

35

Asia

Chinese, 2587

VA 27

Male

35

Asia

Chinese, 2576

VA 28

Female

30

Asia

Chinese, 2584

OH 9

-

-

Africa

Tanzania

3

Notes

Methods

3.1

Data The occipital bones were isolated from the CT-data sets of the complete skulls with the software package ANALYZE AVW in such a way that the cut was roughly orthogonal to the surface along the sutures of the occipital bone. To avoid thickness artefacts of the occipital condyles, we decided to cut cross the foramen magnum approximately in the region of the condylarian canals. The data was then thresholded according to the HMH-standard method [10] and exported for the further mathematical procedure into a binary three dimensional matrix. Subsequent computations were performed in MATLAB 5.2.

Figure 1

Computation of thickness on CT-scans of the occipital bone (here one slice); thickness measurements are not symmetric (blue: from outside to inside; yellow: from inside to outside)

ACTA ANTHROPOLOGICA SINICA

54

Supplement to Vol. 19, 2000

3.2

Computation of the thickness As many thicknesses as possible of the occipital bone were measured. For computation purposes mathematical definitions of biological categories included reductions. An occipital bone is a connected and bounded subset of the three dimensional space

OCC ⊆ ∇3 The complementary set

∇3 \ OCC is called outside. A surface point (SP) is an element of OCC and has a border to outside. An occipital bone has a surface S which is the set of all SP. Defining the bone by its interior and exterior surface is a first reduction because the cutting surface of the occipital bone is not considered. For the definition of the surfaces we need to introduce the observer’s viewpoint which can be chosen as the center of gravity within the skull. A surface point is called interior surface point (ISP) if the ray from the viewpoint to SP is a subset of the outside, i.e. no further point of OCC lies between the viewpoint and ISP. The interior surface (IS) is the set of all ISP. The exterior surface (ES) is the complementary set.

S \ IS i.e. an exterior surface point (ESP) is a SP which is not an ISP. The thickness d(ISP) at an ISP is the minimal distance from the ISP to ES.

d ( ISP) = min ∆( ISP, ESP ) ESP∈ES

The measurement of thickness is not symmetric because, in general, the thickness measured from the interior surface is not the same as that measured from the exterior surface.

∆(ISP,ESP) ≠ ∆(ESP,ISP) In practice, the data acquisition by CT-scanning includes a discretization of the set OCC from all points to a finite subset because OCC is approximated by voxels. A voxel is a volume element with x/y/z dimensions, comparable to pixels in 2D. Each voxel is represented by a triple of integers, so OCC is then a subset of ∧3, defining a discretized surface (DS). On an intact occipital bone of a H. sapiens approximately 100,000 points remain on the discretized interior surface (DIS). The computational costs for this number of points are still too high, so a reduction in the cardinality of DIS is necessary, ensuring no loss in geometric information. The reduction of the DIS is obtained by a stepwise refinement of a starting triangulation. 1. A set of arbitrary points (lattice points) is initialized and the lattice is triangulated. 2. The edge is divided into two parts if the edge is longer than a given mesh size specified. 3. Step two is repeated until every edge is smaller than the mesh size.

WEBER et al.: Thickness Mapping of the Occipital Bone on CT-data - a New Approach Applied on OH 9

55

Figure 2

3D-reconstruction of the CT-data on the computer screen and scheme of triangulation procedure to further reduce the discretized interior surface (DIS)

Figure 3

Thickness optimization procedure leads to the minimal distance between an interior surface point and its corresponding exterior surface point

The remaining points of DIS are called the reduced interior surface points (RISP). In order to compute the thickness over a RISP it is now necessary to find its corresponding reduced exterior surface point (RESP).

ACTA ANTHROPOLOGICA SINICA

56

Supplement to Vol. 19, 2000

1. A first approximation of RESP (pRESP – provisional reduced exterior surface point) is found as the intersecting point of the discretized exterior surface (DES) and the line through the viewpoint and RISP. 2. pRESP is the starting point for a local optimization process which leads to the oRESP (optimal reduced exterior surface point). Starting with pRESP we find the adjacent neighbor DESP (not RESP) with the smallest distance to RISP. pRESP is overwritten by the neighbor DESP if the distance between RISP and DESP is smaller than the distance between RISP and pRESP. 3. Step two is repeated until no better DESP is found.

4

Results

In a first run, using a resolution of four voxels (thus we have a measuring point at least every 1.6 mm) the semiautomatic thickness measuring algorithm resulted in a number of measurements between 770 and 1,973 per occipital bone. Later, the number will be increased to 5,000 – 40,000 points.

Figure 4

OH 9 lies within the range of variation of Homo sapiens (distribution of the normalized thicknesses)

For statistical analysis, the thickness distribution was approximated by a histogramm with 13 classes, ranging from 0 to 26 mm. To compensate for the different number of individual measurements on the bone, we normalized the data by computing the corresponding percentage for each class. The distributions of the normalized data are surprisingly heterogeneous among the moderns, but more surprising is the fact that OH 9 lies within this range. If parameters like the mean thickness, the median or the maximum of thickness are considered, OH 9 turns out to be on the upper end of the general distribution but has not one extreme value. VA 20, a male individual from Australia, and VA 23, a male individual from Africa, have higher means than OH 9. VA 1, VA 20, VA 23, VA 24, VA 25, VA 26, VA 27and VA 28 have higher maxima than does OH 9. Among these skulls are also female specimens (Table 2).

WEBER et al.: Thickness Mapping of the Occipital Bone on CT-data - a New Approach Applied on OH 9

Table 2

57

Thickness of occipital bone

Skull

N

Mean

Std.dev.

Median

Min.

Max.

VA 1

1407

6.35

3.39

5.67

1.59

22.35

VA 2

770

4.34

2.14

4.13

1.49

15.94

VA 3

1513

5.37

1.87

5.13

1.59

12.62

VA 4

1412

5.73

2.27

6.01

1.49

14.14

VA 13

1160

4.53

1.73

4.47

1.59

11.46

VA 20

1350

8.52

3.18

8.70

1.82

20.75

VA 23

1311

9.49

3.36

9.14

1.82

24.22

VA 24

1383

6.97

3.25

6.19

1.67

22.30

VA 25

1286

6.38

3.43

5.78

1.49

19.46

VA 26

1298

7.01

3.00

6.92

1.89

20.39

VA 27

1440

6.01

3.08

5.58

1.67

20.62

VA 28

1101

7.03

3.62

6.64

1.89

23.78

OH 9

1973

8.16

3.30

8.23

1.49

18.70

The plot of the distributions of accumulated percentages (Fig. 4) makes it clear that the distribution of OH 9 is somewhat special compared with most H. sapiens skulls but two modern skulls show more deviation from these group than OH 9 does. In a factor analysis (principal component) where all the relative frequencies in the 13 classes of thickness are variables, two major components which explain more than 88 % of the variance are extracted. Component one has high loads for the thickness classes 1, 2, 3, 5, 6 and 7 (0 – 6 mm, 8 – 14 mm), component two for 4, 5 and 6 (6 – 12 mm). The scatterplot of the two regression factor scores (Fig. 5) again shows that OH 9 lies well within the normal variation of our H. sapiens sample. Only VA 4 is remarkably distant to the cubic interpolation function plotted. A possible explanation for this is that VA 4 shows pathological changes on both the cranial base and the occipital condyles. The occipital of this female is relatively thin but has a very steep increase in thickness in the region of the internal occipital crest.

5 5.1

Discussion

Problems As the data needs to be thresholded for accurate measurements to the average HMH values, small empty holes are created within the bone in the regions where the density of the spongious bone is very low (Figure 6). Our algorithm is therefore designed to cope with this problem and was robust enough. The position of the viewpoint to find the pRESP’s can affect the results if the position is too far from the optimum. In a simulation with geometric objects we found a difference in mean thickness of around 8% for extreme positions. This problem only partly affects our results because the viewpoint was under our control and could always be placed in an acceptable location. Choosing different reasonable viewpoints and repeating the algorithm reduces the variability to an acceptably low value.

ACTA ANTHROPOLOGICA SINICA

58

< CASE Figure 5

Supplement to Vol. 19, 2000

 Total population

First two major components of the PCA explaining more than 88% of the variance. OH 9 fits well to the cubic interpolation function. The most distant individual VA 4 (H. sapiens) is a pathological case

All lattice points of IS are within the actual margin, introducing a slight error, depending on how close to the margin the furthest lattice point is. Improvement by subdivision of lattice spacing solves this problem, but at the expense of increasing the number of lattice points in the set IS. The distribution analysis is sufficiently robust so that we feel confident in our results. If the occipital bone is isolated and scanned, the CT-scan of the edges is highly serrated. As the triangulation process is restricted to a certain resolution, edge details are lost (Fig. 6, white points have no coordinates and are disregarded). 5.2

Conclusion Being thought to be more massive than those of modern humans, the occipital bone of OH 9 demonstrates the relativity of this statement in a quantitative analysis with a sufficient number of thickness measurements. It is not enough to measure a few thicknesses to characterize an occipital bone adequately. It is more important to analyze the thickness distribution and to detect the peculiarities of this distribution in comparison with others. The topographical thickness plots (Fig. 7) of our measurements show some subtle structural differences. The occipital bone thickness of OH 9 seems to vary more regularly yet shows patterns similar to H. sapiens occipital bones if the occipital torus (thickened) or the cerebellar fossae (thinned) are included. Analysis of functional anatomy characterized by thickness distributions in defined regions should distinguish between different

WEBER et al.: Thickness Mapping of the Occipital Bone on CT-data - a New Approach Applied on OH 9

59

hominid morphologies. The high variance among H. sapiens occipital bone thickness and the similarity to a H. ergaster/erectus suggests that occipital bone thickness was not a feature under selection pressure within the last million years.

Figure 6

Small holes are created by the thresholding process in regions where the density of the spongious bone is low (above). The thickness algorithm is designed to cope with this problem. Some edge details are lost because the resolution of the triangulation process is limited (below). Using an appropriate meshsize, this effect hardly affects the distribution of thickness measurements

ACTA ANTHROPOLOGICA SINICA

60

Figure 7

Supplement to Vol. 19, 2000

Topographical thickness plots of the 12 H. sapiens occipital bones and the one of OH 9; thin bone is dark gray, thick bone is white. Thickness distribution in defined regions can be analyzed

WEBER et al.: Thickness Mapping of the Occipital Bone on CT-data - a New Approach Applied on OH 9

61

References: [1] ELAHI MM, LESSARD ML, HAKIM S et al. Ultrasound in the assessment of cranial bone thickness [J]. J Craniofac. Surg, 1997, 8: 213-221. [2] GAULD SC. Allometric patterns of cranial bone thickness in fossil hominids [J]. Am. J Phys Anthropol, 1996, 100: 411426. [3] LIEBERMAN DE. How and why humans grow thin skulls: experimental evidence for systemic cortical robusticity [J]. Am J Phys Anthropol, 1996, 101: 217-236. [4] ZIPNICK RI, MEROLA AA, GORUP J et al. Occipital morphology. An anatomic guide to internal fixation [J]. Spine, 1996, 21: 1719-1724. [5] ROSS AH, JANTZ RL, MCCORMICK WF. Cranial thickness in American females and males [J]. J Forensic Sci, 1998, 43(2): 267-272. [6] HWANG K, KIM JH, BAIK SH. Thickness map of parietal bone in korean adults [J]. J Craniofac Surg, 1997, 8: 208-212. [7] WEBER GW, RECHEIS W, SCHOLZE T et al. Virtual anthropology (VA): Methodological aspects of linear and volume measurements - First results [J]. Coll Antropol, 1998, 22: 575-583. [8] CONROY GC, WEBER GW, SEIDLER H et al. Endocranial capacity in an early hominid cranium from Sterkfontein, South Africa [J]. Science, 1998, 280: 1730-1731. [9] BOOKSTEIN F, SCHAEFER K, PROSSINGER H et al. Comparing frontal cranial profiles in archaic and modern Homo by morphometric analysis [J]. The Anatomical Record, 1999, 257: 217-224. [10] Spoor CF, Zonneveld FW, Macho GA. Linear measurements of cortical bone and dental by computed tomography: Applications and problems [J]. Am J Phys Anthropol, 1993, 91: 469-484.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

62-68

The Period of Transition between Homo erectus and Homo sapiens in East and Southeast Asia: New Perspectives by the Way of Geometric Morphometrics Florent DETROIT (Laboratoire de Prehistoire du Muséum National d’Histoire Naturelle, Institut de Paleontologie Humaine, UMR 6569 du CNRS, 1, rue R. Panhard, 75013 PARIS FRANCE)

Abstract Anatomically modern humans origin is one of the most passionately debated questions of the moment. The objective of this work, using a new methodology (3D geometric morphometrics) for studying human cranial shape evolution, is to shed some light on the evolution of the genus Homo in East and Southeast Asia, with African fossils for comparisons. This is a region of major palaeoanthropological interest due to the large number of fossil remains discovered beginning at the end of the 19th century. This part of the Old World is a key geographical area as far as the debate on the origin of anatomically modern humans is concerned. We present here our first results of architectural comparisons of human skulls dating from about 2.5-2 Ma to present days (from H. habilis to extant H. sapiens). We attempt to underline the main architectural differences between Homo erectus and Homo sapiens, but also to analyse eventual geographical and/or temporal intraspecific architectural variability.

Keywords:

Modern humans origin; Homo erectus; Homo sapiens; Cranial vault; 3D geometric morphometrics; Procrustes analysis; East Asia; Southeast Asia

1

Introduction

1.1

The Origin of modern humans Two major conflicting evolutionary models are classically proposed to explain the evolution from Homo erectus to Homo sapiens. The replacement - or “Out of Africa” - model [1-3] considers that anatomically modern Homo sapiens appeared first in Africa, at the end of the Middle Pleistocene. They subsequently migrated to the Middle East and Asia about 100 ky ago and into Europe and Australia 50 ky later. During these migrations, modern humans totally replaced archaic populations without any interbreeding. This model appears to be strongly supported by the majority of recent molecular studies [4-6]. The multiregional model [7-11], inspired from Weidenreich’s work, is essentially based on the observation that, to some extent, Australian Upper Pleistocene Homo sapiens cranial morphology is inherited from Javanese Homo erectus while the Chinese human fossil record would tend to show an in situ evolution from early Homo erectus to recent Homo sapiens [12-16]. After the dispersal of Homo erectus outside Africa, about 1.5 My ago, an uninterrupted gene flow allowed the gradual and continuous evolution of Homo erectus into Homo sapiens in all the regions, without population replacement. This gene flow was stronger within than between the main regions. Consequently, this heterogeneous gene flow explains the persistence of regional phenotypic differences observed on human fossils during 1.5 My [8]. However, some scholars argue in favour of less extreme models [17-18]. They propose the possibility of replacement in Europe (Neandertals replaced by modern Homo sapiens) and at the same time of evolutionary continuity in Asia. This evolutionary continuity could be the result of interbreeding between in situ archaic populations in place (“late Homo erectus”) and the newly evolved Homo sapiens migrants from Africa. 1.2

Comparisons of human crania In palaeontological studies, two main approaches based on fossils studies are traditionally used to deal with evolutionary problems. The first one is phylogenetic (mainly cladistic) and is based on characters state analyses to construct parsimonious evolutionary trees. The second one is morphometric: with a more phenotypic approach, fossil or present skeletal parts are statistically

DETROIT: The Period of Transition between Homo erectus and Homo sapiens in East and Southeast Asia: New Perspectives by the Way of Geometric Morphometrics

63

compared to make groups of morphologically more related specimens in order to demonstrate and interpret morphological and/or morphometrical changes in the course of evolution. For years, this second approach, mainly based on analyses of linear measurements (“traditional morphometrics”), has been used in palaeoanthropoloy to assess regional or temporal differences from human cranial morphologies. But interpretations of such analyses are often very complex and unable to account for slight variations of the geometry of anatomical parts such as human skulls. Geometrical morphometrics in three dimensions, which considers shape as a whole and uses coordinates of homologous landmarks, appears to be appropriate for the shape analysis of such a complex structure [19-20]. Procrustean landmarks superimpositions allow accurate architectural comparisons [21-22]. Separating shape from size during the study provides the possibility to investigate relationships between size and shape (allometry) and prevents the confusion arising from size and shape differences in the analysis. We present here our first results of architectural comparisons of human skulls dating from about 2.5-2 Ma to present days (from H. habilis to extant H. sapiens). We compare the configurations of the skull cap, the best documented portion of fossil skeletons. It is also, without any doubt, the most studied human anatomical part with the other methodologies described above. This is an important point for testing and sometimes guiding some of the methodological choices we made during this study.

2

Material and methods

Indonesian Homo erectus from Sangiran (casts) and Ngandong (originals) and Chinese Homo erectus from Zhoukoudian are compared with fossil Homo sapiens from North Vietnam (Lang Cuom: originals), from Indonesia (Wajak, Liang Momer, Gua Nempong: originals) from China (Zhoukoudian Upper Cave) and from Australia (Cohuna). We also include comparative individuals in this sample, in particular African Homo habilis and Homo erectus / Homo ergaster and extant Homo sapiens: three extant Homo sapiens have been randomly chosen and three have been chosen for their geographical origin (Australia, China & Java). 2.1

Cranial landmarks As the skull cap is very often the only preserved part of fossil skulls, we focus on this portion for architectural comparisons. As landmarks we selected classical craniometric points that modelise the global architecture as well as possible. Twenty seven landmarks were digitized on each skull (Figure 1) using the Microscribe® 3DX digitizing arm. Seven landmarks are sagittal points and twenty landmarks are parasagittal points (ten on each side). Following the classification of Bookstein, the majority of the landmarks belongs to the type I (intersection points) and type II (maxima of curvature). They are relatively easy to localise precisely on fossil or extant skulls. Only euryon (n°16) and coronion (n°17) could be considered as constructed points (type III). 2.2

Procrustean superimpositions For each of both analyses we present below, a Generalized Least Squares fitting [23-24] was computed using the GRF-ND and Morpheus et al. software [25]. All the skulls are superimposed on their respective centroïds after what they are scaled down and rotated for the least squares fitting. Then the mean reference configuration for the whole sample is calculated. Superimposed coordinates were analysed by Principal Component analysis using the SAS software, version 6.11. Along the axis of the principal component analysis, we illustrated architectural variability with the presentation of the extreme configurations (extreme individuals) compared to the mean reference configuration.

ACTA ANTHROPOLOGICA SINICA

64

Figure 1

Supplement to Vol. 19, 2000

Location of the cranial landmarks and visualisation of the cranial modelisations obtained. Only the left half skulls are statistically studied (17 landmarks)

2.3

Damaged or missing anatomical parts The entire skull cap were digitized but only the left half skulls (seventeen landmarks) were statistically studied. Very often, when studying fossil skulls, points are missing only on one side. So we use here a method to reconstruct a mean half configuration for each fossil. This mean configuration is the mean between the right and the left half skull after the landmarks procrustean superimposition. When one point is missing on the left but is present on the right, it seems to be the more rigorous way to reconstruct this right point on the left side.

3

Results

The first analysis is the principal component analysis of the coordinates of the seventeen superimposed landmarks (Figure 2). The number of individuals in this analysis is very low because some of the points are missing on the left side and on the right side. So, incomplete fossils are automatically excluded from this analysis. There is some interesting observations to make onto the plane 1-2. The axis 1 which explain 53% of the total variance clearly separate both fossil and present Homo sapiens from older African fossils (KNMER 3733, 1813 & Broken Hill). On the left side along axis 1, we found individuals with very low brain cases: in proportion, the bregma and the euryon are very low, the occipital bone is angulated, the supraorbital torus is large, horizontal and straight above the orbite and behind this broad supraorbital torus, the frontal bone is very narrow. On the opposite side, the cranial architecture is more rounded: bregma and euryon are proportionally higher, the glabella is no more projecting; from the frontal view, the supraorbital complex is vertival and rounded above the orbite continuing into a wide and rounded frontal bone. Along this axis Broken Hill is clearly grouped

DETROIT: The Period of Transition between Homo erectus and Homo sapiens in East and Southeast Asia: New Perspectives by the Way of Geometric Morphometrics

65

with the Homo erectus (Homo ergaster?) KNMER 3733 and even the Homo habilis KNMER 1813 which is surprisingly very close to the African Homo erectus morphology when the size parameter is eliminated.

Figure 2

PCA of the coordinates of the 17 superimposed landmarks, axes 1 & 2 ; plot of individuals and extreme configurations on each axis, dotted lines correspond to the mean reference configuration

Along the second axis, which explain 13.6% of the total variance, the upper Pleistocene Australian fossil Cohuna appears on an extreme position. When analysing the configurations, the variability in the anteroposterior proportions of the frontal bone is clearly the dominant factor along this axis. On the top, we found the Lang Cuom 12 individual which exhibit a proportionally very short frontal bone. On the bottom, Cohuna exhibit a very particular frontal bone architecture. This frontal is proportionnaly very long and this is particularly true for the frontotemporal, the stephanion and the coronion which are in very posterior positions. In this analysis, we have the confirmation that the cranial morphology of the Cohuna cranium is abnormal certainly due to an artificial deformation as some scholars argued. In this perspective, it should have been very interesting to include in this analysis the Upper Cave 102 specimen that also look artificially deformed. But the cast we have exhibit severe post mortem damages so it was impossible to include it. For the following analysis, due to its abnormality we decided to exclude the Cohuna cranium from the calculations. The second analysis is the principal component analysis of the coordinates of only 11 superimposed landmarks (Figure 3). We eliminated some landmarks that are absent on many fossils and we kept landmarks involved in the modelisation of the sagittal outline, the frontal bone and the euryon.

ACTA ANTHROPOLOGICA SINICA

66

Figure 3

Supplement to Vol. 19, 2000

PCA of the coordinates of 11 superimposed landmarks, axes 1 & 2 ; plot of individuals and extreme configurations on each axis, dotted lines correspond to the mean reference configuration

Onto the plane 1-2, we have three groups. Along the first axis, which explain 57.7% of the total variance, we find again two groups really distinct from each other. As in the first analysis, individuals on the left side of the first axis, exhibit low brain cases (low bregma and low euryon in proportion) with broad and straight supraorbital torus whereas on the opposite side the cranial morphology is more rounded with a very weak supraorbital complex continuing into a wide and rounded frontal bone. Along this axis fossil and present Homo sapiens form a group clearly opposed to the Homo erectus (sensu lato) – Homo habilis group (including also Broken Hill) without any overlap. It is impossible to distinguish along the axis 1 any geographical or temporal trends inside one of both groups. On the other hand, the second axis which explain 9.9% of the total variance cut the so-called Homo erectus – Homo habilis group in two parts. The main architectural differences along the axis 2 appear to be localised in the frontal bone morphology. On the bottom of the axis, we find an exclusively African group (KNMER 1813, 3733, OH9 and Broken Hill) exhibiting strong and wide supraorbital torus associated with relatively narrow frontal bone. Whereas on the top of the axis individuals exhibit moderately developed supraorbital torus associated with relatively broad frontal bone: the postorbital constriction is reduced. In this second Homo erectus group there are Indonesian, Chinese as well as African specimens. It seems not possible to evoke a temporal evolutionary trend nor a sexual dimorphism because of the great diversity exhibited by both subgroups. Adding new specimens in the sample may help us to explain this dichotomy if confirmed. Observation of individuals plots onto plane 1-3 emphasis once again the clear architectural distinction between Homo sapiens and Homo erectus. The axis 3 which explain 8.5% of the total variance shows the variability of the anteroposterior proportion of the frontal bone. On the top of the axis, individuals such as Ngandong 6 exhibit very long and flat frontal bone in proportion with the overall skull whereas on the bottom, specimens like Lang Cuom 12 exhibit very short frontal bones. There is no particular trend along this axis in the Homo erectus group nor in the Homo sapiens one.

DETROIT: The Period of Transition between Homo erectus and Homo sapiens in East and Southeast Asia: New Perspectives by the Way of Geometric Morphometrics

4

67

Discussion

The methodology adopted - procrustean landmarks superposition (i.e. GLS) - seems to be very well suited for accurate cranial architectures comparisons. Interpretations of morphological variability during the course of evolution are easier and more understandable in terms of cranial geometry and separating size parameters from the shape information allows new observations. For example we have seen that KNMER 1813 which is a very small skull is architecturally very close to African and other Homo erectus / Homo ergaster. A global increase in size could be a sufficient phenomenon to evolve from an Homo habilis to an Homo erectus cranial vault architecture. Concerning the Australian Upper Pleistocene Homo sapiens cranial morphology that could be inherited from javanese Homo erectus, we pointed out without any doubt the abnormal cranial architecture of the Cohuna cranium. It is a very unusual Homo sapiens morphology but it is clearly not an Homo erectus nor an intermediate shape. Finally, we always have a very clear distinction between Homo erectus and Homo sapiens architectures. We never observed any overlap between these two groups even for specimens like Broken Hill. Broken Hill exhibit clearly an Homo erectus-like cranial architecture. We never observed any trend concerning geographical groups: Sinanthropus are never more closely to Chinese Homo sapiens than to any other fossil or extant Homo sapiens, nor are Ngandong specimens with Wajak 1 or other Indonesian or Australian Homo sapiens. Other analyses of different sets of landmarks always confirm this clear distinction: nothing seems to indicate any interbreeding between Homo erectus and Homo sapiens in East and Southeast Asia. Related with this clear separation between the erectus - shape and the sapiens - shape, we pointed here the fact that the Ngandong specimens, although sometimes considered as archaic Homo sapiens, exhibit a typical Homo erectus architecture. However our sampling is not exhaustive and we could not test in this work the position of the so-called transitional Chinese fossils. But we have a very interesting frame for future work and we intend now to include in our sample Chinese specimens like Dali, Jinniushan and Maba; new discovered Homo sapiens fossils from Indonesia and Thailand and Upper Pleistocene Australian fossils to go more precisely in the study of cranial shape evolution in East and Southeast Asia since the Middle Pleistocene. Acknowledgements: I would like to thank Prof. Teuku Jacob (Gadjah Mada University, Yogyakarta) and Dr. John de Vos (Nationaal Natuurhistorisch Museum, Leiden) for access to some of the original fossils included in this study. Dr Dominique Grimaud - Hervé and Dr Miguel Caparros are gratefully acknowledged for their help with this work. References: [1] STRINGER CB. The origin of early modern humans: A comparison of the European and non-European evidence [A]. In: BR ÄUER G, SMITH FH eds. Continuity or Replacement? Controversies in Homo sapiens Evolution. Rotterdam: Balkema, 1989. [2] STRINGER CB. Reconstructing Recent Human Evolution [A]. In: AITKEN MJ, STRINGER CB, MELLARS PA eds. The Origin of Modern Humans and the Impact of Chronometric Dating. Princeton University Press, 1993, 179-95. [3] STRINGER CB, ANDREWS P. Genetic and fossil evidence for the origin of modern humans [J]. Science, 1988, 239:1263-1268. [4] CANN RL, STONEKING M, WILSON AC. Mitochondrial DNA and human evolution [J]. Nature, 1987, 325: 31.36. [5] RELETHFORD JH, HARPENDING HC. Craniometric variation, genetic theory, and modern human origins [J]. Am J Phys Anthropol, 1994, 95:249-270. [6] TISHKOFF SA, DIETZSCH, E, SPEED W et al. Global patterns of linkage disequilibrium at the CD4 locus and modern human origins [J]. Science, 1996, 271:1380-1387. [7] THORNE AG, WOLPOFF MH. Regional continuity in Australasian Pleistocene hominid evolution [J]. Am J Phys Anthropol, 1981, 55:337-349. [8] WOLPOFF MH. Multiregional evolution: The fossil alternative to Eden [A]. In: Mellars P, Stringer CB eds. The Human Revolution. Edinburgh: Edinburgh University Press, 1989, 62-108.

68

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

[9] WOLPOFF MH, WU XZ, THORNE AG. Modern Homo sapiens origins: A general theory of hominid evolution involving the fossil evidence from East Asia [A]. In: SMITH FH, SPENCER F eds. The Origin of Modern Humans: A World Survey of the Fossil Evidence. New York: Alan R. Liss, 1984, 411-483. [10] WOLPOFF MH, SPUHLER JN, SMITH FH et al. Modern Human Origins [J]. Science, 1988, 241:772-773. [11] WOLPOFF MH, THORNE AG, SMITH FH et al. Multiregional evolution: A world-wide source for modern human populations [A]. In: NITECKI MH, NITECKI DV eds. Origins of Anatomically Modern Humans. New York: Plenum Press, 1994, 175-199. [12] WU X. The evolution of Humankind in China [J]. Acta Anthropol Sin, 1990, 9:320-321. [13] WU X. Continuité évolutive des homme fossiles chinois [A]. In: Hublin JJ, Tillier AM eds. Aux origines d'Homo sapiens. PUF. 1991, 157-179. [14] WU X, POIRIER FE. Human Evolution in China. New York: Oxford University Press, 1995, 317. [15] ETLER DA. The Chinese Hominidae: New Finds, New Interpretations [D]. Ph D in Anthropology, Graduate Division of the University of California, Berkeley. 1994, 471. [16] LI T, ETLER DA. New Middle Pleistocene hominid crania from Yunxian in China [J]. Nature, 1992, 357:404-407. [17] BR ÄUER G. The evolution of modern humans: A comparison of the African and non-African evidence [A]. In: Mellars P, Stringer CB eds. The Human Revolution. Edinburgh: Edinburgh University Press, 1989, 123-154. [18] BR ÄUER G. The occurrence of some controversial Homo erectus cranial feature in the Zhoukoudian and east African hominids [J]. Acta Anthropol Sin, 1990, 9:352-358. [19] ROHLF J, MARCUS L. A revolution in morphometrics [J]. Trends Ecol Evol, 1993, 8 (4):129-132. [20] BOOKSTEIN FL. Combining the tools of geometric morphometrics [A]. In: MARCUS LF, CORTI M, LOY A et al. eds. Advances in Morphometrics. New York: Plenum Press, 1996, 131-151. [21] BOOKSTEIN FL, SCH ÄFER K, PROSSINGER H et al. Comparing frontal cranial profiles in archaic and modern Homo by morphometric analysis [J]. The Anatomical Record (New Anat), 1999, 257:217-224. [22] PENIN X. Modélisation tridimensionnelle des variations morphologiques du complexe cranio-facial des Hominoïdea. Application à la croissance et à l'évolution [D] . Thèse de Doctorat Université Paris VI, Spécialité Sciences de la Terre. Paris, 1997. [23] DRYDEN IL, MARDIA KV. Statistical shape analysis [M]. Chichester, UK: Wiley, 1998. [24] BAYLAC M. Morphométrie géométrique et systématique [J]. Biosystema: Systématique et Informatique, 1996, 14:7389. [25] SLICE DE. 1994-2000 Software for morphometric research (GRF-ND, Morpheus et al.) available from http://life.bio.sunysb.edu/morph/.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

69-76

Neural Tube, Spheno-occipital Flexion and Semi-circular Canals in Modern and Fossil Hominids Anne DAMBRICOURT MALASSE1, Jean Pascal MARTIN 2, Eric de KERVILER 3 (1. UMR 6569 CNRS, Laboratoire d’Anthropologie, Université Aix-Marseille II, Institut de Paleontologie Humaine, 1 rue Rene Panhard 75013 Paris, France; 2. Hopital Saint Louis, Service de Chirurgie Maxillo-Faciale, Paris, France ; 3. Hopital Saint Louis, Service de Radiologie, Paris, France)

Abstract The position of the cartilaginous occipital, the sphenoidal angle, the frontalization of the petrous bone and the orientation of the foramen magnum, are major characteristics of basic-cranio-facial evolution in hominids. It has become standard to associate them and to notice their evolution or spatial organization according to the degree of spheno-occipital flexion. A study by scanning an ontogenetic series of Pan troglodytes and modern man's cranium, gives the first glimpse, with an application to complet fossilized craniums, or fragments of isolated petrous bone, such as Qafzeh (Homo sapiens), La Ferrassie and La-Chapelle-aux- Saints (Homo neanderthalensis), Sambugmacan and Solo 1 (Homo erectus). Paleontological and modern data indicate three groupings of around a same flexion: Great Apes, fossil Homo and Modern Man.

Key words: Computed tomography; Embryogeny; Hominids; Neural tube; Semi-circular canals; Sphenoidal flexion The semi-circular canals are intra-cranial structures only accessible via radiography and better via Computed Tomography (CT scan). They each occupy a plane in space and form a right angle with the two other canals (figure 3). Recent studies conducted by Spoor, Zonneveld and Wind [1-2] showed angular divergences between adult Pan, Australopithecus and Homo sapiens. The lateral canal of Homo sapiens is further frontalized in relation to the posterior than in Pan and Australopithecus. This divergence has not been explained although it represents a major criteria of distinction between Australopithecus and Homo. This angular opening reaches the angular differences which have been noticed between cranial basis. Numerous works, such as those by Delattre and Fenart in the 1960s, have showed that the Homo sapiens cranium distingues itself from the Paninae (Gorilla and Pan) by a closer sphenoidal angle. They also showed the opening of this angle after the visible birth in all primates - at the exception of the modern man which remains in flexion, around a transversal axis of rotation. They then noticed correlations between the value of the sphenoidal angle and the position of these three canals around the axis of rotation, and then between this same sphenoidal angle and the frontalization of the petrous bone. A closure of the adult sphenoidal angle, between the two present groups, seems to be correlated to a frontalization of the petrous bones and at a rotation of the two posterior and superior canal compared to the lateral canal taken as horizontal reference. What is the origin of this changes? And when do they occured in the phylogeny? Dean and Wood [3] found some of these correlations with Australopithecus. Indeed, the basis of the cranium shows a tridimensional architectural unit, distinct from the Great Apes, around a closer sphenoidal angle and a frontalization of the petrous more noticeable. We talk about the shortening of the cranial base, but the values are still superior to those of the Homo group. The correlations remain nonetheless visual and consensual, without any calculation of the correlation coefficient between the angles. In an other part, the interpretation of the differences is brought back to the hypothesis of the differential development of the cerebellar territory [4-5]. It is thus even more recently that Spoor, Zonneveld and Wind have applied the new technics of medical imaging to the study of thirteen

Biography : Anne DAMBRICOURT MALASSE (1959), paleo-anthropologist, Charge de Recherche of the National Center of Scientist Research (1990), Consulting in Archaeology, Foreign Office, Department of Social Sciences and Archaeology (1995-1996), Head of the Hindou Kouch Pak-French archeological prospection (1996-1998), Member of the National Council of University (1995-1999).

70

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

fossil hominid cranium in two types, Australopithecus and Homo. The authors note the position of the otical capsul through the lateral canal, and evaluate the straightening of the clivus, the cranium placed in the Frankfurt plan. The orientation of the lateral canal remains the same for Homo and Australopithecus, it is close to 30°. Yet, the straightening of the clivus is largely more important in the Australopithecus than in the great Apes, but there does not appear to be different positioning between the lateral and posterior canals, at the difference of the Homo sapiens. Homo sapiens shows a straightening of the clivus even more marked and a new frontalization of the petrous. To summarize, the slope of the clivus straightens with Australopithecus, according to an ascending antero-posterior rotation of the sphenoïdal corpus on one hand, and the petrous becomes frontalized, on the other hand. But the lateral and posterior canals remain linked together as in Paninae. The clivus further straightens with Homo sapiens, the petrous further frontalize again, and this time the lateral canal detaches itself from the posterior canal. Thus, there may exist a dynamic relationhip between the flexion amplitude of human and the detachment of the lateral canal. To understand the origin of these changes, the authors still remain in the hypothesis of an angular difference caused by a differential development of the neo-cortex of telencephalon or cerebellum "The premize of all brain-size hypotheses is that because the cranial base is also the floor of the cranial cavity, brain size is a fundamental constraint on basicranial form" [6-7]. This point of view is established on an late analysis of cranial ontogeny. At the first ontogenic stages, the cranial base is overlayed not by the telencephalic brain, but by the neural tube. We are going to attempt to understand the origin of the straightening of the clivus in Homo sapiens, and follow the formation of petrous, as well as the three semi-circular canals, by developping an ontogenetic approach, since the embryonic period [7]. We have discovered that the morphogenesis of the basic cranial form was well known still 1900, and that the most important angles are acquired during the seventh week. We have reach numerous works describing the neural and the chondrocranial developments, and presented a global synthesis. Then, we applied the study protocol of Monkeys, Great Apes and analyse fossilized hominids cranium. Actually, numerous works have described the embryonic chondrocranium of human and monkeys since the beginning of this century, so that the compared anatomy of embryonic stages is possible. We could have thought that the straightening position of the clivus in a new born, is directely acquired during the ossification of the embryonic tissues. Yet, it is not the case. Like other mammals, in primate embryos (human included), the chondrocranium is flat. At the first embryonic stages, cartilageous tissues constitute the planum basale that is to say the sphenooccipital area, is plan. Levi [7] wrote as early as in 1900, the dynamic of this planum : during the seventh intra-uterine week, the sphenoidal part does a pivoting from top to bottom, back to forward, which thus brakes the rectitude of the planum and provoques a "plicature". At the beginning of the eighth week, the clivus, or the spheno-occipital slope, is acquired. The cartilageous tissues situated here and there of the sphenoidal body and the basi-occipital, that are the otic capsules, accompany the flexion. They will then translate by their positionning, the amplitude of this rotation. What is the origin of the sphenoidal rotation? The study of the neural tube growth trajectory underlying the chondrocranium, enables us to establish the dynamic correlations through the definition of an orthonorm analysis. This analysis is defined in lateral view. The chord defines the X axis, horizontal, and the apex defines the origin 0. The vertical axis Y, perpendicular goes through this apex (figure 1). An elongation of the tube is observed forward of the chord, at the same time as the beginning of a prial rotation from the bottom to the top, from the front to the back, around an axis Z, perpendicular to the two other axes. The neural tissue pursues the spiral rotation and goes beyond the chordal area. It is at this precise stage, that the authors, among whom Levi, have described the spheno-occipital rotation. The chord follows the movement, the shenoidal angle then appears. And the otic capsules associated to the basi-occipital follows the movement. The differentiation of the canals begins at the end of the fourth embryonic week. At the sixth week, the three canals are

DAMBRICOURT MALASSE et al.: Neural Tube, Spheno-occipital Flexion and Semi-circular Canals in Modern and Fossil Hominids

71

distinct, but the lateral canal is still linked to the posterior; after the flexion, it is separated. We therefore conclude that strains generated by the elongation-rotation of the neural tube, determine the morphogenesis of the chondrocranium, first with the sphenoïdal flexion aimed on the apex of the chord, then with lateral angular modifications such as those of the semi-circular canals. And it is therefore during the embryonic period, that one can trace the topographical differences between the different primate neuro-sphenoïdal dynamics. The phenomenon of rotation is common to all living primates, but the rotation of the chordal segment is less important in Monkeys and it is the entire basis of the cranium which is less bent. It will remain so during ontogeny. With the Paninae, Gorilla or Pan, comparison between an 8 month foetus of Gorilla and Homo sapiens, shows a sphenoidal angle more opened in the Gorilla than in the human, as well as a frontalization of the petrous and the posterior canal less marked. The origin of these angular divergences is therefore indeed linked to the intra-uterine morphogenesis of the cephalic pole. The embryonic brain of the Gorilla develops itself as in all primates, according to a spiral rotation of the neural tube which goes to the chord segment, but the rotation is of less amplitude than in human.

Figure 1

Homo sapiens neural rotation in lateral view [8]

ACTA ANTHROPOLOGICA SINICA

72

Supplement to Vol. 19, 2000

It is obvious that fossil primates, including hominids, have developped from a flat chondrocranium and that they went through a rotation of the neural tube. It is the amplitude in the chord part which has changed, very week in the first Primate, it became more important stating with the hominids. How do fossil craniums of Homo organize themselves according to this new key of understanding? In order to do so, the study material is made of cranium studied with X-rays and the CT scan for present species. Fossils are still in great majority studied from modern casts and exocranial measures. This study show the first result of the ontogeny of Pan and Gorilla, since the fetal stage. In the first step, we test the correlation between the intra and exo-cranial angular values, in profile and transversal view, from present species, in order to establish predictions on the intracranial flexion in fossiles (figure 2). They will be verified by CTs studies, according to the degree of mineralization. The results [8] are close to May and Sheffer [9] who compare the sphenoïdal angle with an external angle, namely the cranio-facial flexion. The first sample is established for the radios of adult craniums of Gorillas, Chimpanzees and Homo sapiens taken radomly in a pluri-ethnical population. For the CTs, we study one adult Homo sapiens, a serie of six chimpanzees of growing age from the age of one year, a formol fetus and adult Gorilla. For the original fossils, the skulls are: Homo sapiens; Le Rond du Barry, Qafzeh 6, Qafzeh 7, Homo erectus from Indonesia Solo 1 and Sambungmacan (collection of Professor Teku Jacob) and Homo neanderthalensis, La Chapelle aux Saints. The second sample comes from casts only. The results show first that for present species, two groups distinguish themselves according to the adult value of internal and external flexion, and the frontalization of petrous. Both groups are Sapiens and from its fossilized representatives, since Qafzeh, on one side, and the Paninae on the other hand, Pan et Gorilla. Concerning the orientation of the petrous in external view, and the sphenoidal angle, at the adult stage, the coefficient of correlaton is the highest between Gorilla alone and Homo sapiens (0,8), it is of 0,7 between Pan and Homo sapiens. A closing of the sphenoidal angle between Great Apes and Human does indeed accompany a frontalization of the petrous.

A

B Figure 2

Khirgiz, IPH Collection, X Ray analysis

A: Basi-cranio-facial angular analysis: 1: external nasal spine, 2: basion, 3: tuberculum sella, 4: lame criblée, 5: prosthion, 6: hormion, A1, A2, internal craniofacial contraction, a1, a2, external cranio-facial contraction, spheno: sphenoïdal angle. B: Petrous bone frontalization (beta) 1: intersection between the petrous bone and the clivus, 2: center of the carotidian canal, 3 and 4: porion

DAMBRICOURT MALASSE et al.: Neural Tube, Spheno-occipital Flexion and Semi-circular Canals in Modern and Fossil Hominids

Table 1

73

angular measurements, external, internal cranio-facial contraction, sphenoïdal angle and petrous frontalization, in Homo sapiens, Homo fossilis and Pan troglodytes

Pan

A1

A2

béta1

Anglsphéno

A 194328 A1943 35 A 197415 1974 20 A 1919 9 A 194327 19 902 1974 16 1957 70 A 194326

80 78 79 80 80 82 82 85 77 76

144 145 153 150 142 145 145 152 131 138

58 55 55 54 53 52 52 51 51 50

172 150 161 186 151 167 150 148 148 162

Homo sapiens h-69-73-1 h-69-3-4 h-69-19-1 h-69-61-5 h-69-67-2 h-69-71-1 h-69-81-6 h-69-69-1 h-69-86-6 h-1872 A 1919 7 1969 3 1 1969 13 8 1969 61 7 A 1955 111 1955-101-1 1969 8 24

59 48 50 55 45 56 47 49 47 53 50 42 42 50 36 59 57

96 74 79 88 78 83 69 80 70 85 101 84 88 107 68 95 94

49 47 46 46 45 45 45 43 43 41 51 33 38 39 38 37 32

129 140 121 131 122 127 124 134 123 132 145 135 133 136 133 135 131

Homo fossilis ER3733 ER 3883 Broken Hill OH9 Nariokotome Petralona Dali Sangiran 17 Ngandong Ngawi Sangiran Pit.4 Saccopastore La Chapelle La Ferrassie SkhulV Cromagnon

77 91 88 78 100 90 108 103 88 94

101 122 98 110 122 114 132 124 115 113

52 55 45 45 49 47 40 43 46 55 50 35 35

139

ACTA ANTHROPOLOGICA SINICA

74

Figure 3

Supplement to Vol. 19, 2000

Angular measurements between semi-circular canals ; cscl: lateral semi circular canal, cscp: posterior semi circular canal, cscs: superior semi circular canal, ax: great axis of the lateral semi circular canal, sag: sagittal plane, X: cross section of the posterior and superior canals in the lateral canal plan

Concerning the semi-circular canals and the sphenoidal angle (figure 3): - For the angular opening between the lateral and posterior semi-circular canals, the first measurements indicate a large difference of 20° between the child Chimpanzee of one year old and the adult Homo sapiens. Nonetheless, the value does not change during the post-natal ontogeny of the Pan, it varies from 9 to 11°, where the sphenoidal angle goes from 138° in a child less than 1 year old, and reach on average on 10 adults 160°. There appears a very clear rise of the semicircular angle, three times superior in Homo sapiens than in Pan, with a sphenoidal angle closer which does not enter the variabilitiy of Pan. The double angular discontinuity is clear. May and Sheffer describe the same differences for the sphenoïdal angle, but they indicate an ontogenic stability in Pan, whereas it is classic to consider an increasing angulation. Nevertheless, a recent study [10] highlights a distinction during the deciduous period in Paninae, and observe a fast phasis of growth in the second part of this period. In orthodontics, a cranio-facial analysis applied to Pan and Gorilla describe the same phenomenon. At birth the Paninae are closed to the fetal growth, in terms of flexion, then during the deciduous phasis, the face begins to develop while the flexion stops. - The frontalization of the lateral canal, given by its great axis relatively to the sagittal plane is the same in human and apes. In fact, the differences between the semi-circular canals are not the lateral canal relatively to the sagittal plane but that of the posterior canal. Therefore, this angulation is acquired during the intra-uterine development. It is during their formation, at the pre-cartilageous stage, that the movement of canal translations in their own planes are possible. Since the orthogonality of the three canals are maintained, the possible margin of modification remains the position of the canals in their own planes, in the direction of verticality or horizontality. That is what we observe for the lateral canal between the Chimpanzee and the Homo sapiens. The closing of the sphenoidal angle is accompanied by this angular divergence. These results are in convergence with the thesis of a possible rotation of the lateral canal in its plane, at the moment of the spheno-occipital rotation, once it goes beyond the embryonic step which would be at the minimum the one of Australopithecus. In Homo sapiens, the greater flexion of the clivus could explain greater tension at the level of the posterior semi-circular canal which leads to a "sagittalisation", and not the frontalization of the lateral.

DAMBRICOURT MALASSE et al.: Neural Tube, Spheno-occipital Flexion and Semi-circular Canals in Modern and Fossil Hominids

75

Dental stage of Pan : 1974-65 : dm2 unerupted 1974-33, c unerupted, 1974-35 M1 unerupted, 1974-51 M1 erupted, 1974-58 M2 erupted, 1974-29 M2 erupted. Table 2 Sphenoïdal angle Pan 1974-65 1974 3 1974-35 1974-51 Ado 1974 58 Ado 1974 29 Pan troglodytes Adulte n=10 Gorilla fetus Gorilla adulte n = 12 Sapiens n= 16 Solo 1 Qafzeh 6 Sambungm

142 150 136 158 151 159,5 [12,6] 164 151 [4,3] 120 [12,6] -

cscl/cscp angle (1) Cscs/sagpl Angle (2)

Axcscl/sagpl angle (3)

11 10 16 15 12 12

38 41 40 37 36 31

55

12

45

46 50

47

58 47 49

57 50 61 51

33 33 30

Concerning the casts of fossil hominids, the first exocranial measures of fossil Homo skull, indicates an external frontalization of the petrous more important than in Australopithecus, such as observed by Dean et Wood. It distinctly separates the craniums attributed to Homo, no matter the species considered. The frontalization is however even less than in Sapiens (table 2). Concerning the originals fossils, the study of the semi-circular canals is precious because it compensates for the very frequent absence of the basi-cranium. The cranium of Qafzeh 6 shows a divergence of the lateral canal of 30°. The petrous of Qafzeh 7 is too mineralized to be analysed. The two craniums of Homo erectus, Sambungmacan and Solo 1, only Sambungmacan is usable, but the only accessible measure is the internal frontalization of the petrous of 46° which does not give any information on the flexion. Neandertals are particular. A recent tomography of the juvenile petrous Arcy-sur-Cure [11], has permitted to notice a difference of position between the posterior canal, compared to the lateral, in the direction of verticality. The posterior canal went down, which is a characteristic found in La Chapelle-aux-Saints, La Ferrassie or La Quina. Yet, the application of a cephalometrical study in dynamic orthodontics [12], showed for La Chapelle-aux-Saints, a cranio-palatin equilibrium in extention relatively to the equilibrium of Homo erectus without any common point with CroMagnon or any contemporary Homo sapiens. Significant measurements of the basal skull are not the linear values, but the angular one. The Neanderthal basal skull is no longer than in modern Homo sapiens, thus this is not a shortening of the sphenoid which distinguishes Neanderthal from modern Man, as supported by Liberman, and discuted by Spoor et al. [13] but the sphenoïdal dynamics of rotation. This is found again with the larger sella turcica. The cranio-facial equilibrium is in extension relatively to Homo erectus. In this perspective, the low position of the posterior Neanderthalian canal could go in the direction of this basi-cranio-facial extension. The frontalization of the lateral canal is more important than in oldest skull, that is correlated with a greater external frontalization of the petrous. The entire sphenoïdal area in Neanderthals develops specific dynamics which has no equivalent in past, neither in modern human. A better

76

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

understanding of the occipito-spheno-ethmoïdal dynamics, as developed by Deshayes [12] could explain the singularity of classic Neandertals. Our hypothesis is that such angular changes illustrate a modification of the embryonic neuro-sphenoidal dynamic of European Homo antecessor or habilis [7]. Then here, Homo sapiens is no longer defined on empirical adult criterias such as the cranium capacity, but on more anterior datas which preceede telencephalization, not in the phylogeny, but in the ontogeny. The skull of modern man first appears as an embryonic evolution of the chondrocranium of Homo group, and not as a sub-species of the same embryonic organization. All the cranio-facial ontogeny is different. It would be interesting to study Dali [14], in the polycentric evolutionary perspective [15] while the fossil indicates a modern basal skull, but we notice a post-mortem compression effect. It would also be necessary to compare Homo antecessors with Qafzeh and the Neandertals. To conclude, a systematic study of semi-circular canals would enable to introduce the embryonic dimension in the discourse on the evolutionary modalities, and to better define the belonging of a fossil to one phylum rather than another. In general, since the first hominids, from the Great Ape roots, it seems obvious that the chondrocranium presents itself as the reflection of an embryonic evolution relative to the neuro-chondrocranial dynamics. Acknowledgement: Many thanks to Dr. Yvette Deloison and Dr. Dominique Grimaud Hervé for their advices. References : [1] SPOOR F, WOOD B, ZONNEVELD F. Implications of early hominid labyrinthine morphology of evolution of human bipedal locomotion, [J]. Nature, 1994, 369:645-648. [2] WIND J, ZONNEVELD F. Radiology of fossil hominid skull [A]. In: Hominid Evolution : Past, Present, Future. 1985: 437442. [3] DEAN MC. Homo and Paranthropus similarities in the cranial base and developing dentition [A]. In: Wood B, Martin L, Andrews P eds. Major Topics in Primate and Human Evolution. Cambridge: Cambridge University Press, 1986, 249-265. [4] ROSS CF , HENNEBERG M. Basicranial flexion, relative brain size, and facial kyphosis in Homo sapiens and some fossil hominids [J]. Am J Phys Anthropol, 1995, 98:575-593. [5] ROSS CF, RAVOSA MJ. Basicranial flexion, relative brain size and facial kyphosis in nonhuman primate [J]. Am J Phys Anthropol, 1993, 91:305-324. [6] MAY R, SHEFFER D. Growth changes in internal and craniofacial flexion measurements [J]. Am J Phys Anthropol, 1999, 110(1):47-56. [7] STRAIT DS, ROSS CF. Kinematic data on primate head and neck posture : Implications for the evolution of basicranial flexion and an evaluation of registration planes used in paleoanthropology [J]. Am J Phys Anthropol, 108-2, 1999:205222. [8] DAMBRICOURT-MALASSE A. Continuity and discontinuity during modalities of hominization [J]. Quat Interna, 1993, 19:85-100. [9] DAMBRICOURT MALASSE A. Nouvelles approches de l'évolution crânienne des Homo erectus de Java [A]. In: Sémah F, Falguères C, Grimaud D eds. Actes du Colloque International Singer-Polignac "Origine des peuplements et chronologie des cultures paléolithiques dans le Sud-Est asiatique: récents développements". Artcom’ Paris, 1999 (in press). [10] MILLET JJ, VIGUIER B, DAMBRICOURT-MALASSE A et al. Ontogenèse crânienne de Pan et de Gorilla et hétérochronies [R]. Comptes Rendus de l’Académie des Sciences, Sciences de la Vie, (in press). [11] HUBLIN JJ, SPOOR F, BRAUN M et al. A late Neanderthal associated with Upper Palaeolithic artefacts [J]. Nature, 1996, 381:224-226. [12] DESHAYES MJ. A new ontogenetic approach to craniofacial growth [J]. J Masticat Health Soc, 1997, 7:1-104. [13] SPOOR F, O’HIGGINS P, DEAN C et al. Anterior sphenoid in modern humans [J]. Nature, 1999, 397 :572. [14] WU X, POIRIER FE. Human Evolution in China : A metric Description of the Fossils and a Review of the Sites [M]. New York: Oxford University Press, 1995, 317. [15] POPE GP. Craniofacial evidence for the origin of modern humans in China [J]. Yearbook Phys Anthropol, 1992, 35:243-29.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

77-82

Enamel Microstructure of Lufengpithecus lufengensis ZHAO Lingxia , LU Qingwu, XU Qinghua (Institute of Vertebrate Paleontology and Paleoanthropology, Chinese Academy of Sciences, Beijing 100044 , PR China )

Abstract The enamel microstructure of 5 permanent anterior teeth of Lufengpithecus lufengensis was observed with SEM. Incremental markings perikymata were clearly showed on the entire crown surface, and the density of perikymata showed a gradual increase towards the cervix. The crown formation times were estimated respectively using 7-days and 9-days periodicity of perikymata. Compared with fossil hominoids, modern humans and apes, crown formation time of Lufengpithecus lufengensis is close to that of Australopithecus afarensis and Australopithecus africanus, and closer to modern humans and apes; it is much longer than that of Proconsul heseloni and Proconsul nyanzae, Australopithecus robustus and Australopithecus boisei. The pattern of compactness of perikymata is similar to that of modern humans. Enamel prism patterns of Lufengpithecus lufengensis were observed. Concerning prism cross section patterns, Pattern 1 prisms occur in the very outer surface layer of enamel. Under super surface layer, Pattern 3 prisms predominate in the body of enamel, pattern 2 prisms are also found somewhere. In Lufengpithecus lufengensis, variants of pattern 3 exist, such as pattern 3A, 3B. It is strange and interesting that pattern 3B occurs at Lufengpithecus lufengensis, because up to date pattern 3B are recorded only in Homo sapiens, Homo erectus and Australopithecus, not found in extant and extinct apes. On longitudinal sections of enamel, Hunter-Schreger bands occur almost throughout the thickness from the enamel-dentine junction to the tooth surface. This is similar to Homo, and different from great apes. Of enamel microstructure, the preliminary results support the suggestion that Lufengpithecus lufengensis might be one of the members of hominoids related to early hominids.

Key words:

Lufengpithecus lufengensis; Enamel microstructure; Incremental markings; Crown formation time; Prism patterns

1 Introduction Studies of enamel structures and their implication to ontology and phylogeny have recently been realized by palaeoanthroplogists [1-2]. Two types of incremental growth lines are present within enamel: daily enamel prism crossstriation and circaseptan striae of Retzius or perikymata, these incremental markings provide an absolute timetable with which we can furthermore understand dental developmental events [3-5]. The ultrastructural unit of enamel is the prism, and prism patterns are an importance taxonomic tool. Scanning election microscopic analysis of enamel can provided new insights into hominoid evolution [6-10]. In this paper, enamel microstructure of Lufengpithecus lufengensis is addressed in (1) incremental markings and crown formation time, (2) enamel prism patterns.

2 Materials and Method The materials are 4 isolated complete permanent teeth (one upper right incisor, one upper right lateral incisor, one lower right incisor and one lower left canine) and one permanent canine fragment. The observed position is placed on the lateral crown. For enamel prism pattern, according Gantt’s [11] suggestion that the area of the tooth in which prisms are best arranged to study their pattern and organization is the mid-lateral crown area, a polished facet on the midlateral crown is etched with 0.1 M phosphoric acid for 40s. In addition, One bucco-lingual longitudinal section of the canine was prepared, in order to observe the cross-striations and shape and arrangement of enamel prisms. The specimen were analyzed with SEM (JSM-1600).

Foundation item: The present work was supported by a special Fund “Early Human Origin and Its Environmental Background” granded by NSFC and MOST. Biography: ZHAO Linxia, currently carrying out the research on the microstructure of hominoids.

ACTA ANTHROPOLOGICA SINICA

78

Supplement to Vol. 19, 2000

A

B Figure 1

Perikymata (A) and striae of Retzius (B) of Lufengpithecus lufengensis

Table 1 Preikymata counts and estimated crown formation times in Lufengpithecus lufengensis Specimen

Number of Perikymata

Crown formation time(yrs)* (7-days)

(9-days)

172

3.8

4.7

PA811.2 RI

151

3.4

4.2

PA895 RI1

128

3.0

3.7

161

3.6

4.3

1 2

PA811.1 RI

PA826 lower LC

*Crown formation times are calculated using 7-days and 9-days cross-striation repeat interval between adjacent striae of Retzius and including 6 months growth prior to visible perikymata.

ZHAO et al.:

Enamel Microstructure of Lufengpithecus lufengensis

Figure 2

79

Nomenclature of enamel prism outlines (after Boyde [9])

3 Results Incremental markings perikymata were clearly showed on the entire crown surface both before and after the polished and acid treatment , and the density of perikymata showed a gradual increase towards the cervix. Perikymata counts were 172 for I1, 151 for I2, 128 for I1, 161 for the lower canine. In order to know the periodicity of perikymata or striae of Retzius and estimate crown formation time, one permanent canine tooth fragment of Lufengpithecus lufengensis was longitudinally sectioned, and the daily incremental markings cross striatons occur along the enamel prisms. The number of the enamel prism cross-striations between adjacent striae of Retzius counts 9 in this tooth. So the periodicity of perikymata is 9 days, and we use it to estimate the crown formation time of other 4 teeth, including about 6 months time for hidden growth increments in hominoid incicors [4-5]. This result is different from the result of Zhao et al. [13] which used a 7 days periodicity of Perikymata without the number of enamel prism cross-striations between adjacent Striae of Retzius. So the crown formation time is longer than before. Enamel prism cross section patterns of Lufengpithecus lufengensis were observed.. According to the nomenclature of enamel prism outlines after Boyde [9] (Fig. 2), Pattern 1 prisms reveal in the outer surface layer of enamel, the cross section of the enamel prism is circular or subcircular. Pattern 3 prisms predominate in the body of enamel under the super surface, the prisms arrange in cross rows, the head of each prism is orientated towards the occlusal, and the narrow tail orients cervically, the tails of one row of prisms fit between the heads of the next row. Pattern 2 also occur somewhere, prisms arrange in longitudinal rows (Fig. 3). In Lufengpithecus lufengensis, variants of pattern 3 exist, such as pattern 3A and 3B. Pattern 3A has a half round head with a slender tail as tadpole-shape, while pattern 3B has a more than half circle head with a wide tail like a fish tail (Fig. 4) On the longitudinal sections, Hunter-Schreger bands (Fig. 5) occur almost throughout the thickness from enamel-dentine junction to the tooth surface.

80

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

4 Discussion Perikymata are easily visible on the buccal surface of most unworn or unabraded fossil hominid teeth, as well as on newly erupted unworn modern human teeth [3]. But it is unusual to see them easily on the surface of anterior teeth in great apes, especially extending clearly from the incisal edge to cervix. Perikymata on the anterior teeth surface of Lufengpithecus lufengensis shows clearly.

Pattern 1

Pattern 2

Pattern 3 Figure 3 Enamel prism patterns of Lufengpithecus lufengensis

ZHAO et al.:

Enamel Microstructure of Lufengpithecus lufengensis

81

The pattern of compactness of perikymata of Lufengpithecus lufengensis is similar to that of modern humans. Modern human incisors have perikymata that widely spaced at the incical third of the tooth but which are close together at the cervix, incisor teeth of Autralopithecus afrensis, Australopithecus africanus and of early Homo also show this pattern [3], incisors of Lufengpithecus lufengensis show this pattern too. This pattern indicates changes in the rate of enamel secretion during the period of formation: incicor teeth begin forming quickly but gradually, slower down toward the third cervix. But incisor teeth of Australopithecus robustus have widely spaced perikymata that remain so even at the cirvix, and incisor teeth of Australopithecus boisei also do not show a marked reduction in the spacing of perikymata [3]. Although there is some debate over the periodicity of perikymata or striae of Retzius, there is considerable evidence [3, 5-6] that suggests that in extant hominoids they reflect a circaseptan(7-9) rhythm. The periodicity of enamel striae of Lufengpithecus lufengensis is within the range of extant hominoids’, it is longer than that of Proconsul’s of 5 or 6 days rhythm [8] which is resemble some extant New and Old World monkeys.

Figure 4

Enamel prism patterns 3A (left) and 3B (right) of Lufengpithecus lufengensis

Figure 5

Hunter-Schreger bands of Lufengpithecus lufengensis

Compared with fossil hominoids [4-5, 7-8], modern humans and apes, incicor crown formation time of Lufengpithecus lufengensis is close to that of Australopithecus afarensis and

82

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

Australopithecus africanus, and closer to modern humans and apes, but longer than that of Proconsul heseloni and Proconsul nyanzae, Australopithecus robustus and Australopithecus boisei. Enamel prism pattern of Lufengpithecus lufengensis occur mainly as pattern 3. It is strange and interesting that pattern 3B are seen in Lufengpithecus lufengensis, because up to now pattern 3B are recorded only in Homo sapiens, Homo erectus and Australopithecus, not found in extant and extinct apes. Gantt [11-12] proposed that hominids, including Homo, Australopithecus, have 3B enamel prism pattern, 3B enamel prism pattern and the marked increase in enamel thickness are unique features in human evolution, just as is bipedality. However, this hypothesis is still in question, it should be confirmed in future. If it is ture, how to evaluate the prism patterns of Lufengpithecus lufengensis is very interesting. Patter 3 enamel and Hunter-Schreger bands of Lufengpithecus lufengensis occur almost throughout the thickness from enamel-dentine junction to the tooth surface. This is similar to that of Homo, and different from Pongo and african great apes, Pongo has a relatively thin outer layer (less than 20% of the maximum thickness) of pattern 1 enamel overlying the deep pattern 3 enamel. Pan and Gorilla have a thick (greater than 40% of maximum thickness) outer portion of Pattern 1 overlying the deep pattern 3 enamel [10]. Above all, the preliminary investigation at present indicates: enamel microstructure of Lufengpithecus lufengensis is in some way similar to hominids, and it supports the suggestion [14-15] that Lufengpithecus lufengensis might be one of the members of hominoids related to early hominids. References: [1] WINKLER LA, SWINDLER DR. Primate dental symposium: old and new questions, new trends [J]. Am J Phys Anthropol, 1991, 86:107-111. [2] ROZZI FR. Enamel structure and development and its application in hominid evolution and taxonomy [J]. J Hum Evol, 1998, 35:327-330. [3] DEAN MC. Growth layers and incremental markings in hard tissues.A review of literature and some preliminary oberservitions about enamel structure in Paranthropus [J]. J Hum Evol, 1987, 16:157-172. [4] BROMAGE TG. The biological and chronological maturation of early hominids [J]. J Hum Evol, 1987, 16:257-272. [5] BEYNON AD, DEAN MC. Distinct dental development patterns in early fossil hominids [J]. Nature, 1988, 335:509514. [6] FITZGERALD CM. Do enamel microstructures have regular time dependency? Conclusions from the literature and a large-scale study [J]. J Hum Evol, 1998, 35:371-386. [7] MOGGI-CECCHI J, TOBIAS PV, BEYNON AD. The mixed dentition and associated skull fragments of a juvenil fossil hominid from Sterkfontein, south Africa [J]. Am J Phys Anthropol, 1998,106:425-465. [8] BEYNON AD, DEAN MC, LEAKEY MG et al.Comparative dental development and microstructure of Proconsul teeth from Rusinga Island, Kenya [J]. J Hum Evol, 1998, 35:163-209. [9] BOYDE A. The structure and development of mammalian enamel [D]. PhD dissertation, University of London, 1964. [10] MARTIN L, BOYDE A. Rates of enamel formation in relation to enamel thickness in hominoid primates [A]. In: FEARNHEAD RW, SUGA S eds. Tooth Enamel IV. London: Elsevier Science Publishers, 1984, 447-451. [11] GANTT DG. Neogene hominoid evolution--a tooth’s inside view [A]. In: KURTEN B ed. Teeth: Form, Function and Evolution. New York: Columbia University Press, 1982, 93-108. [12] GANTT DG. The enamel of Neogene hominoids —structural and phyletic implications [A]. In: CIIOCHON RL, CORRUCINI RS eds. New Interpretations of Ape and Human Ancestry. New York and London: Plenum Press, 1983, 249-298. [13] ZHAO L, OUYANG L, LU Q. Incremental markings of enamel and ontogeny of Lufengpithecus lufengensis [J]. Acta Anthropol Sin, 1999, 18:102-108. [14] WU R, XU Q, LU Q. Relationship between Lufeng Sivapithecus and Ramapithecus and their phylogenetic position [J]. Acta Anthropol Sin, 1986, 5:1-30. [15] WU R, XU Q, LU Q. A revision of classification of Lufeng Great apes [J]. Acta Anthropol Sin, 1987, 6:265-271.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

83-89

Arboreal Primates and Origin of Diagonal Gait LI Yu (Department of Human Anatomy and Cell Biology, The University of Liverpool, L69 3GE, UK)

Abstract It has long been noted that the primates normally adopt a diagonal gait in their quadrupedal walking, while other mammals use a lateral one. There is not a satisfactory interpretation about this behaviour difference though some researchers have suggested a number of hypotheses. This study is based on the analyses of kinematic and kinetic data, collected from a collection of primate and non-primate species. The results show that black and white ruffed lemurs (Varicia variegata) do not usually use a diagonal gait while on the ground, but they nearly always use this typical primate gait while on top of a branch. As regard non-primate, coatis (Nasua nasua) used lateral gait both on the ground and on the branch, but not when they are hanging-walking underneath a rope. This phenomenon suggests that the substrate is an important factor in the evolution from lateral to diagonal gaits in primates.

Key words:

Quadrupedal primates; Diagonal gait; Arboreal; Biomechanics

1 Introduction Quadrupedal gait characteristics of primates and other mammals have been attracting attentions from a large number of researchers in recent decades. One of the important topics in this field is the gait pattern. Muybridge [1] was the first to distinguish the gait sequence of primates from the other mammals. The forward cross type and backward cross type were one time used by Iwamoto and Tomita [2] as lateral and diagonal sequence. The former is the typical gait of non-primate mammal, and the latter is that of primate. Figure 1 shows the difference in these two sequences. While primate is adopting a diagonal sequence, it is also using the diagonal couplets. This means that a forelimb lands immediately after the opposite hind limb does. Therefore, a primate in walking is supported by a pair of diagonal limbs.

L

R

L

R

F(fore)

H(hind) (A) Figure 1

(B)

Diagonal (A) and lateral (B) gaits. If the counting starts from right hind limb (Rh), the sequence for diagonal gait is RhLfLhRf, and the lateral gait is then RhRfLhLf. Primates in general adopt a diagonal sequence, diagonal couplets gait

Rollinson and Martin [3] provided a detailed description of the gait pattern and a, then up-todate, review of the analyses in the quadrupedal locomotion studies. In the last 20 years, kinetics of

Foundation item: This research is carried out under a grant from BBSRC of the UK. Biography: LI Yu has obtained M.Sc in IVPP and Ph.D in Liverpool University. He is currently a research Fellow in Liverpool, with research interests in human and primates locomotion.

84

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

primates has been widely studied. With the assistance of digital computers and force plate, the contact forces during primate locomotion were measured. In this field, Kimura et al [4], Kimura [5], Reynolds [6-8], and Demes et al. [9] have made significant contributions. Schmitt [10] studied the compliant walking of primates, but the kinetic results were not reported. Primates have been considered unique to other quadrupeds for both their diagonal gaits (diagonal sequence and diagonal couplets) and larger hind-limb supporting force. While in the other mammals the forelimbs support most of the body weight, primates have a pair of dominant hind limbs. Reynolds [6-7] built a mechanical model to explain the reason, believing that the larger hind limb forces are due to larger flexion torque. His argument will be discussed later. Using the force and gait sequence data, this paper tries to explain the possible reasons for the important characteristics of primate's locomotion, the use of diagonal gait. The phenomenon of hind limb domination is also addressed.

2 Materials and Methods The data collection of primate locomotion was carried out at Chester Zoo, North-West England. A Kistle force plate (9281B) and two synchronized video cameras were set up to record the kinetic and kinematic data. The animals studied are black macaque (Macaca maurus), black and white ruffed lemur (Varicia Variegata), and tufted capuchin (Cebus apella). For comparative purposes, a non-primate species, coati (Nasua narica), was also included in the experiments. For the three primate species, the subjects were confined in their enclosures, and there was no or little interference from the researchers. As a result, the data collected were from natural and random move of the animal. For the coatis, an animal keeper provided help in data collection. Fruit was used to lure the animal to cross the force plate. However, there was no direct physical contact between the keeper and the animal when it was going over the force-recording device. An instrument simulating a horizontal branch was constructed. It consists of a strong metal frame, a wooden bar of 15 cm in length and 22 mm in diameter. The length is just enough to accommodate the two stance limbs, and the diameter is about the same as the largest horizontal branches in the enclosures of lemurs and macaques. The wooden bar was horizontally mounted on top of the frame with the support of two spring-pillar complexes. The complexes allow the bar to have a vertical movement when there is a force acting on it, but prevent any horizontal displacement over 1 mm from its central position. The stiffness of the spring was so selected that it can be depressed by about 2.5 cm with a force of 25N. In order for the animal to move on and off the measuring bar smoothly, two guiding bars, both about one metre long and one on each side, were built on two separated supporting frames. The detail of the setup is shown in Figure 2. Due to the gait characteristics, only the force/torque of the same side fore and hind limbs can be registered in a single record. The opposite limbs will not land at the measuring bar in a normal gait. One of the two video cameras is set at a right angle to the measuring bar to record the lateral view of the animals. The other camera was set in line with the bar, recording either the front or back of the animal. The signals from the two cameras were synchronized and recorded on the same video frame via a mixer. The frequency of the frame was 25 per second. The sample frequency was doubled in the lab, where a single frame was split into two fields through computer image processing. The sagittal torque for lemurs was recorded in a supplementary experiment. This was taken with a torque gauge mounted on the supporting frame. The gauge's body was fixed and its measuring head held a wooden bar with the same dimension as the measuring bar mentioned earlier (22 mm). When a lemur moved passing the system with its fore or hind limb holding the bar, the value of the torque was recorded (Fig. 2, right). The general behaviour of the animal in their enclosure was randomly recorded with a High 8 video camera.

LI:

85

Arboreal Primates and Origin of Diagonal Gait

D E

E

C

D

C

D

E

B

B A

A

E

Figure 2

A: Force plate; B: Supporting frame; C: Measuring bar; D: Guiding bars; E: Sprint-pillar complex

Experimental setup (left, general setup; right, torque-measurement equipment)

3 Results 3.1 Gait sequence The capuchins and the macaques always use the diagonal sequence, diagonal couplets (RhLfLhRf) gait, irrespective of whether they were on the ground or on the measuring structure. The pattern of lemurs differs with the substrates. On the flat surface, i.e. in terrestrial walking, the lemurs use lateral gait on most occasions, like non-primates mammals. Of the 11 observations, eight were recorded as lateral gait (RhRfLhLf); of the three occasions when the diagonal gait was observed, two were in a normal and continuous locomotion, while the other the result of an abrupt speed change. The lemurs change their gait pattern completely when walking on the measuring structure. In over 50 recorded video sequences, plus a large number of visual observations, a diagonal gait was employed when they were walking on a branch or similar structures. Coatis use the lateral gait in all the events on the ground, with the so called “singlefoot” (limbs falling time is evenly distributed). The same gait sequences were also adopted when they were walking on the measuring bar over the force plate (n>20). The coatis use the same lateral gait on top of a rope, which was hanging in their enclosure (n=6, and each case was continually recorded for from three to ten gait circles). The coatis only gave up the lateral gait when they walked underneath the rope. There were only four sequences recorded for this kind of locomotion. One of them with five gait circles showed a pattern RhLhLfRf. The other three records showed the diagonal sequences. Those sequences have from five to eight continuous cycles each. 3.2 Transverse force and its direction-cosine Figure 3 shows the direction cosines of transverse force. The direction cosine (dc) is defined as:

dcx =

Fx Fx + Fy 2 + Fz 2 2

Fx, Fy, Fz are transverse, sagittal, and vertical forces respectively. Transverse direction cosine represents the relative value of the transverse force in proportion to the limb force vector. By definition, the direction cosine has always the same sign as the force. Macaques have very small transverse forces, and the value is much more variable with no consistent pattern emerged; the value is therefore not shown here. The transverse forces of lemur have a much regular shape. For nearly all the records, the directions of the fore and hind limbs are always medial, with only 10% records showing irregular shapes.

ACTA ANTHROPOLOGICA SINICA

86

Forelimb

Supplement to Vol. 19, 2000

Forelimb Hind limb

Hind limb

Figure 3

Direction cosine values of Lemur (left) and coati (right). In these charts, a positive value indicates a laterally directed, and negative value a medial directed, force. The horizontal axis is time, which starts from touches down of a forelimb (time=0), and ends at the same side hind limb leaving the substrate (time=1)

Coati adopted a lateral gait on top of the measuring bar, which means that before a hind-limb has landed on the substrate, the same side forelimb has already lifted. As a result, the forces on fore and hind-limbs were separated. For the coati’s transverse force, the direction changes from lateral to medial shortly before middle stance for forelimb and after middle stance for the hind-limb, while in the lemur and macaque, the transverse force, especially for forelimb, does not change direction during the whole stance period.

0.2

0.2 0.1

0.1

0.1

0

0

0 0

0.5

1

1.5

0

0.5

(A)

2

-0.1

0 0.5 1 1.5 2 2.5 3 3.5 4 (C)

0.1

0.1

0

0 0

1.5

(B)

0.2

-0.1

1

-0.1 0.5

1 (D)

Figure 4

1.5

2

2.5

0

0.5

1

1.5

2

(E)

Saggital torque of lemurs. The unit of torque (vertical axis) is Nm, and the horizontal axis is time in seconds. For subcharts B-E, it should be noted that earlier part of the torque is from forelimbs, and later part from hind limb

LI:

87

Arboreal Primates and Origin of Diagonal Gait

3.3 Sagittal Torque of Lemurs When lemurs walked across the horizontal bar, their fore and hind limbs hold the bar to balance the body. A torque is then applied to the supporting bar. The value of this torque has been recorded with a torque gauge. It is shown for all the records, regardless of speed, that the forelimb rotates the bar laterally. In all the 16 records that have forelimb torque registration, only lateral torque was recorded (Fig. 4A). Hind limbs have a more complex pattern, which is largely dependent on the locomotion speed. For the high-speed excursion (the time from when the forelimb touches down to when the same side hind limb leaves the substrate is less than 1.0 second), the hind limb has the same rotation as the forelimbs, i.e. lateral (n=6, Fig. 4B). For lower speeds, in some occasions the hind limbs also have lateral rotation (n=2, Fig. 4C), while in some other occasions the rotation in both directions were shown (n=6, Fig. 4D), or medial direction only (n=2, Fig. 4E). The torque data were only recorded for lemurs, because the measuring structure is not robust enough to withstand manipulation by the other primate species. Detailed check of video records indicate that lemurs use their fore and hind-limbs differently when they walk on branches. Their hands never hold the branch closely in their normal continued walking (the distal segments of fingers do not touch the branch). Instead, their thumb and other fingers shape like an upside down U, containing the branch in the middle (Fig. 5A). Their feet hold the branch with the fingers forming a closed circle (Fig. 5B). Coatis never hold the bar like a lemur does. They simply land the limbs on top of the bar as if it is a narrower surface.

(A) Figure 5

(B)

(C)

How lemurs hold a branch: (A) Forelimb; (B) Hind limb, middle- stance; (C) Hind limb, landing

4 Discussion The gaits of lemurs and coatis provide us with a key to the question of the origin of the diagonal gait. When lemurs are walking on the ground, they like most non-primate quadrupeds, use a lateral gait. However, as soon as a lemur walks on a branch, its gait changes to diagonal exclusively. Prost and Sussman [11], and Vilensky and Patrick [12] noticed that another lower primate species, squirrel monkey (Saimiri sciureus) does not use diagonal gait in level ground walking either. It would be interesting to see what this primate would do when walking on top of a branch. The results show that lemurs change their lateral gait to diagonal when walking on top of a branch. In this situation, lemurs need to hold the thin branch for balance, and the substrate is then subjected to both torque and forces. Any deviation of the centre of gravity of the animal from the substrate in the transverse direction has to be balanced by a sagittal torque. For the coatis, a lateral gait is still used even when they are walking on a branch or a thick rope. The diagonal gait is only adopted when they are hanging-walking underneath the rope. This is partly because coatis do not hold the substrate like primates do. Coati’s transverse force (Figure 3b shows the direction-cosine of the force) indicates that each of the limbs has forces in both lateral and medial directions, so they have control for movement of both left and right. This differs fundamentally from arboreal lemurs. The force

88

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

characteristic of coatis enables them to control their transverse movement without holding the substrate. However, coatis must hold the rope when they are hanging underneath it, where a torque in sagittal direction is unavoidable. Only in this condition, coatis adopted the primate-like diagonal gait. It would thus seem that during arboreal walking, the diagonal gait is correlated with the holding of the branch and the resulted torque. Figure 5 shows the frontal view of a lemur walking above a branch. Figure 5A shows the way a forelimb is supporting on the branch. The hand does not closely hold the branch. Its thumb and the other fingers are on both sides of the branch to ensure stability, and the palm is on top for supporting the body weight. And Figure 5B shows the case for a hind-limb. Four toes are on the lateral side of the body, and the big toe is on the medial side. The hind limb holds the branch closely during the whole stance phase, except for the short periods immediately after touching down and before lifting off (Fig. 5C). It has been shown that the forelimb always produces lateral torque. Without more detailed information, we may assume from the available data that the action force of the forelimb passes the centre of the branch at the same side of the supporting limbs, resulting in a lateral torque. This may be called the default torque, which is produced by the limb's strut force [13], with no need of muscle activity. This inference is based on the fact that an open holding hand could not apply a substantial torque to the branch due to lack of friction on the contact. The hind limb holds the branch completely so that a couple may be generated apart from the torque from strut force, The results show that the torque are still lateral at fast walking speed without exception. It may be considered that during fast walking, only the default torque (lateral) is produced, for both fore and hind- limbs, because there is little demand in balancing the body in the sagittal plane. Only during slower walking, the time is long enough to accumulate a rotational movement on the lemur's centre of gravity and hence to endanger its balance. In this situation, a torque in either lateral or medial direction is required and the default torque is overridden, resulting in the complicated hind-limb torque patterns (Fig. 4C-E). In a natural environment, most of the substrates for primates are elastic, which change shape when forces/torques are applied. The balance for both substrate and the animal can be achieved by producing opposite torques with one of the another stance limb; this obviously results a diagonal gait. This is the most likely reason that primates adopted a gait of diagonal couplets and sequence, because arboreal is their most frequently used locomotion style. On a non-rigid substrate, the diagonal gait has another obvious advantage. The hind-limb is landing to a position of the substrate which is still under the control of the forelimb, and the forelimb can also be the reference point for hind-limb landing, hence the uncertainty for the landing point is greatly reduced. On the other hand, for the lateral gait, the forelimb has already lifted before the hind-limb lands. As a result, there would be more uncertainties for hind-limb landing in lateral gait. Based on observations of animal quadrupedal walking while show that the hind limb always lands at a position near the same side forelimb (Fig. 6), one of the characteristics of diagonal gait is obvious. For the diagonal gait, the step length is much larger than that of the lateral gait. For diagonal gait, when a hind limb starts to swing forward, the same side forelimb is at the most forward of all limbs. Therefore, the hind-limb will step cross the supporting position of both opposite limbs (Fig. 6A). On the other hand, for lateral gait, the hind-limb is not going to pass the opposite forelimb (Fig. 6B). For a given limb length, these characteristics mean that the diagonal gait requires a larger swing angle forward for the limb joints. Whether an advantage in locomotion or not, this explains the fact that primate has larger hind-limb forces. The fact that the hind limbs land at an anterior position in relation to other parts of the body changes the balance of the whole animal, resulting in more bearing of the force on the hind-limbs. Under this condition, the extension muscles at the hip joints must generate larger extension force to prevent it from collapsing. Reynolds [6] correctly identified this point, but wrongly reasoned it. Both hind limb support and larger extension torque are the results of the anterior landing of hind-limb, which is a consequence of a diagonal walking.

89

Arboreal Primates and Origin of Diagonal Gait

(A) Diagonal Gait

Figure 6

Distance for hind-limb to travel

Distance for hind-limb to travel

LI:

(B) Lateral Gait

Diagonal gait has a longer step length. Small circles represent fore limbs, and large circles the hind limbs. The open larger circles indicate the positions for the right hind limbs to land

What is the advantage of hind-limb supporting for primates? It seems reasonable to believe that it is the same as diagonal gait, i.e. to balance the body on a branch. With lighter supporting duty, the forelimbs will fulfil their exploring and grabbing function better. On top of a branch, the supporting condition is more variable than on the ground. As a result, the primates have to be tentative for each new supporting point, and put less weight on it to avoid possible danger. The same activity, walking on horizontal branch, has led the primates to a gait pattern with diagonal sequence, diagonal couplets, and hind-limb support. This pattern fundamentally differs from the traditional non-primate type of gait, and is possibly the first step to an even greater modification in locomotion style. References: [1] MUYBRIDGE M. Animal in Motion [M]. London: Chapman & Hall, 1899. [2] IWAMOTO M, TOMITA M. On the movement order of four limbs while walking and the body weight distribution to fore and hind limbs with standinf on all fours in monkeys [J]. J Anthropol Soc Nippon, 1966, 74:228-231 (in Japanese). [3] ROLLINSON J, MARTIN RD. Comparative aspects of primate locomotion, with special reference to arboreal Cercopithecines [J]. Symp Zool Soc London, 1981, 48:377-427. [4] KIMURA T, OKADA M, ISHIDA H. Kinesiological characteristics of primate walking: its significance in human walking [A]. Environment, Behavior, and Morphology: Dynamic Interactions in Primates. New York: Gustav Fischer, 1979. [5] KIMURA T. Bipedal and quadrupedal walking of primates: comparative dynamics [A]. Primate Morphophysiology, Locomotor Analyses and Human Bipedalism. Tokyo: University of Tokyo Press, 1985. [6] REYNOLDS TR. Mechanics of increased support of weight by the hindlimb in primates [J]. Am J Phys Anthropol, 1985, 67:335-349. [7] REYNOLDS T R. Stresses on the limbs of quadrupedal primates [J]. Am J Phys Anthropol, 1985, 67:351-362. [8] REYNOLDS T R. Stride length and its determinants in humans, early homonids, primates, and mammals [J] Am J Phys Anthropol, 1987, 72:101-115. [9] DEMES B, LARSON SG, STERN T et al. The kinetics of primate quadrupedalism: "hindlimb drive" reconsidered [J]. J Hum Evol, 1994, 26(4): 353-374. [10] SCHMITT D. Compliant walking in primates [J]. J Zool Soc London, 1999, 248:149-160. [11] PROST JH, SUSSMAN RW. Monkey locomotion on inclined surface [J]. Am J Phys Anthropol, 1969, 31:53-58. [12] VILENSKY JA, PATRICK MC. Gait characteristics of two squirrel monkeys, with emphasis on relationships with speed and neural control [J]. Am J Phys Anthropol, 1985, 68:429-444. [13] GRAY J. Studies in the mechanics of the tetrapod skeleton [J]. J Exper Biol, 1944, 20:88-116.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

90-97

Computer-Assisted Paleoanthropology: Methods, Techniques and Applications Christoph P. E. ZOLLIKOFER , Marcia S. PONCE DE LEÓ N (Anthropological Institute and MultiMedia Laboratory/Dept. of Computer Science, University of Zurich, Winterthurerstrasse 190, CH-8057 Zurich, Switzerland)

Abstract The rapid evolution of computer-based technologies has opened up a wide area of applications in the biosciences and has led to specific developments in paleoanthropology. The methodological trio of computer tomography (CT), computer graphics and stereolithography constitutes the paradigm of computer-assisted paleoanthropology (CAP): Combining CT-based 3D data acquisition techniques with dedicated computer graphics tools, it is possible to prepare and reconstruct fragmentary fossils in virtual reality, to correct taphonomic deformation and to subject them to morphometric analysis. Virtual fossils serve as a basis to derive a variety of morphometric data such as 3-dimensional landmark coordinates, regional distribution of bone thickness and curvature, endocranial volumes, etc. CAP has proven to be particularly helpful in the reconstruction and morphometric analysis of fragmentary Neanderthal specimens and in the investigation of Neanderthal phylogeny and ontogeny.

Key words:

Computer tomography; Computer graphics; Stereolithography; Virtual reality; Fossil reconstruction; Neanderthals

1

Introduction

One of the major difficulties that commonly arises in the comparative analysis of fossil morphology is the lack of extensive samples and the incompleteness of individual specimens. Given the necessity to gain a maximum of information from a minimum of material evidence, one of the main challenges of paleoanthropology is to enhance the investigative power of morphometric methods while minimizing the invasiveness of the methods used for fossil preparation, reconstruction and data acquisition. The framework of Computer-Assisted Paleoanthropology (CAP) represents a computational approach to tackle these problems. In its essence, CAP integrates computer tools for 3-dimensional data acquisition, handling and analysis that make possible to perform the complete set of tasks involved in fossil analysis in a Virtual Reality (VR) environment. CAP provides a systematic approach to the problem of fossil reconstruction and opens up new ways of morphometric analysis of fossil remains. Ultimately, the utilization of CAP might also help to solve a long-standing problem in paleoanthropology, the generally restricted access to original specimens, as their direct examination can essentially be replaced by the computer-assisted analysis of their virtual counterparts.

2

Computer tools for fossil reconstruction and morphometry

Prior to undertaking any analysis of a fossil specimen, it is necessary to take into account all potential processes that might have contributed to its present morphological state. In this regard, our primary step is to isolate the ontogenetic and phylogenetic morphological signals against a background of “diagenetic noise” in order to infer the in vivo state of the organism. Fossil reconstruction, therefore, consists of two diametrically opposite procedures: one concerns the removal of diagenetic disturbances, the other the reconstitution and extrapolation of missing information.

Biography: C.P.E. Zollikofer did his PhD in neurobiology. His current research focuses on computational morphology and computer-assisted surgical planning; M.S. Ponce de Leon did her PhD in anthropology. Her current research focus is on Neanderthal ontogeny.

ZOLLIKOFER et al.: Computer-Assisted Paleoanthropology: Methods, Techniques and Applications

91

2.1

Data acquisition, segmentation and visualization Computer Tomography (CT) has revolutionized non-invasive 3-dimensional data acquisition techniques through its capacity to provide X-ray-based cross-sectional images of solid objects. Since the mid-eighties, CT scanning has been extensively used not only in medical diagnostics, but also for "fossil diagnostics", most notably to reveal internal anatomical features and regions still covered by matrix [1-3]. The acquisition of quantitatively reliable CT image data from fossils with the aid of medical scanners poses a specific technical problem: compared to living skeletal tissue, fossil material typically exhibits elevated X-ray densities brought about by bone re-mineralization during diagenesis. CT image artifacts caused by high-density objects can be corrected using dedicated algorithms and software tools that were originally developed to suppress artifacts caused by metallic implants in CT images of patients [4]. CT technology can also be used to acquire 3-dimensional data, essentially by combining series of consecutive cross-sectional images. Once volume data of fossil specimens have been acquired, and before 3D object representations can be generated, data segmentation procedures are applied in order to extract object regions of specific relevance. Borrowing a term from technical sciences, the entire procedure of data sampling and 3D reconstruction corresponds to a reverse engineering process: data structures are derived with the aid of computer tools from pre-existing objects, as opposed to computer-assisted design of objects. 2.2

Data manipulation in Virtual Reality It is apparent that manipulating graphical object representations on a computer screen, rather than working with real fossil specimens, is of immediate practical and theoretical benefit for paleoanthropological applications. While manual procedures such as preparing, reconstructing and measuring fossil specimens are highly invasive, analogous computer graphics manipulations are completely non-invasive. Using computer tools, virtual fossils can be re-aligned to correct for taphonomic distortion, and incomplete specimens can be reconstructed by assembling isolated fragments and completing missing parts by mirror-imaging or using data from similar specimens. Furthermore, virtual objects provide an ideal basis for the analysis and visualization of various morphometric parameters. Fossil reconstruction and morphometry in a computer graphics environment involves complex interactive manipulations and modifications of individual 3D objects on a computer screen. To achieve maximum efficiency, it is necessary to combine two basic concepts of software technology in computer graphics, Virtual Reality and Computer-Assisted Design. Virtual Reality (VR) denotes a Computer Graphics environment in which a user interacts with geometric representations of realworld or model objects, utilizing tools and performing manipulations that emulate physical tools and actions [5]. In a Computer-Assisted Design (CAD) environment, engineering principles are implemented that permit quantitative construction and mechanical analysis of user-designed objects[6]. These features turn out to be of major importance during fossil reconstruction. It is possible to plan every single reconstructive step according to predefined quantitative criteria. The necessity to explicitly formulate each stage of reconstruction renders the procedures transparent and accessible to examination or replication by other researchers. Furthermore, by performing alternative reconstructions and comparing them to each other, it is possible to evaluate the reliability of the process as a whole and to provide a range of possible reconstructions. 2.3

Reconstruction of fossil morphology Classical physical reconstruction of a fossil is a process during which fragments are isolated from rock matrix, assembled and completed to yield a best approximation of the in vivo state of skeletal morphology. This procedure seems relatively straightforward, but it is fraught with difficulties and limitations that have consequences for the interpretation of the inferred morphology. This is of special significance in paleoanthropology, where inferences drawn from fossil morphology are traditionally far-reaching with respect to the scarcity of the available material [7]. Virtual fossil reconstruction, on the other hand, combines anatomical and computational

92

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

considerations throughout the whole process and attempts to establish criteria of reliability for the reconstructed morphology [8]. 2.4

Correction of taphonomic deformation To correct taphonomic deformation of a fossil specimen, it is first necessary to distinguish between in vivo and post mortem causes that might bring about deformation. With respect to the analysis of hominid fossils, a temporal sequence of potential causes and events bringing about deformation has to be considered. Among post mortem effects, we will focus here on identification and correction of taphonomic deformation. From a physical point of view, the mechanical properties of the fossilizing bone influence the way in which a fossil is deformed. We may distinguish between two basic scenarios of deformation induced by forces exerted by the surrounding strata: In the first case, the fossil undergoes plastic deformation. Specimens deformed in this way tend to be recovered in relatively few pieces and retain distortions after reconstruction. In the second case, fracturing deformation, the fossil breaks apart during diagenesis. The formation of fractures induced by load indicates resistance against plastic deformation through localization of peak forces within the cracks and dislocation of parts. As a consequence, fossils that are heavily fragmented in situ tend to exhibit little overall deformation after virtual reconstruction. In the latter case, correction of taphonomic deformation is relatively straightforward. In the former situation, however, any attempt at inferring the original form of a fossil from its deformed state remains tentative. Nevertheless, the problem is tractable for a simple and probably common scenario: vertical compression of fossil-bearing strata. To correct deformation, the virtual fossil is positioned in situ on the computer screen and decompressed until anatomical mirror symmetry is restored (Fig. 2). 2.5

Fossil data bases During subsequent stages of CAP, various data sets are produced, each of which describes particular properties of the original objects: volumetric data of the X-ray density (i.e. serial CT images), segmentation data to separate fossils from surrounding matrix, 3D surface data for morphometric analyses, object positions in space that document different states of the reconstruction, and morphometric data. Archiving and retrieval of specific data sets plays a key role during fossil reconstruction. For example, comparative 3D surface data from similar specimens can be used to complete missing regions by application of morphing procedures. The potential benefits of this endeavor are obvious. Comparative morphometric studies on fossil hominids would greatly profit from larger sample sizes, and attempts at reconstruction of missing parts could extrapolate information from similar specimens in the database. Further, the risk of damage to original fossil specimens can be reduced, as any desired action such as taking measurements or performing alternative reconstructions can be carried out on the basis of the digital information already present in the data base. This might represent an important step towards facilitating access to original fossil specimens without exposing them to unnecessary physical risk during handling. 2.6

From Virtual Reality to Real Virtuality Virtual fossils prepared and reconstructed on a computer can be transferred back to physical reality. As opposed to Virtual Reality, Real Virtuality (RV) denotes an environment where a user interacts with physical models of 3D objects generated or modified by computer-assisted procedures. Currently, the most accurate automated replication technology available is laser stereolithography, an industrial technology that was originally devised for physical modeling of CAD-generated parts. Objects are built through consecutive polymerization of thin layers of a photosensitive liquid resin. The process resembles that of building topographical models through piling layers of cardboard. A computer-guided UV laser beam traces an outline and cross-hatches onto the surface of the resin, inducing local photopolymerization (i.e. hardening) according to the desired object structure. Building cross-sections one above the other yields models of arbitrary topological complexity. As the polymerized resins exhibit virtually no shrinkage, the accuracy of stereolithographic models matches or even surpasses that of conventional casts.

ZOLLIKOFER et al.: Computer-Assisted Paleoanthropology: Methods, Techniques and Applications

93

Stereolithographic hard-copies can be generated at different stages during the process of fossil reconstruction to complement virtual object manipulation and to monitor complex “docking” tasks such as re-establishing dental occlusion or checking the “goodness of fit” between adjacent fragments. Handling and exploring data in the form of physical objects instead of manipulating them on the computer screen offers improved perceptual equivalence: while true spatial vision can be achieved in Virtual Reality using stereo spectacles and monitors, tactile information is hardly available in a realistic form. Stereolithography therefore represents a valuable non-invasive alternative to traditional molding and casting techniques [9]. 2.7 Morphometric analysis Using VR models of fossils, morphometric characteristics can be determined in one, two and three dimensions. The spatial position of classical landmarks can be established and inter-landmark distances and angles can be derived. Features that are easy to define but difficult to measure conventionally – such as surface areas, object thickness and object volumes (cavities are identified by their negative volumes) – can be determined. Further, complex parameters such as characteristics of surface curvature, can be evaluated Deformational procedures can be used to compare homologous morphologies by transforming one object into another and similar procedures can be used to simulate growth processes. An additional possible application of computer-assisted procedures is extrapolation of missing anatomical structures on the basis of comparative data from more complete fossil specimens and/or modern human data sets.

3

Applications: Neanderthal reconstruction and morphometry

There is an ongoing debate about the evolutionary and functional significance of the morphological differences between Neanderthals and modern humans, especially with respect to the question of possible speciation events in the recent evolutionary history of Homo. Although Neanderthals can generally be distinguished from modern humans by a set of autapomorphic characters [10-12], there is a particular need for new quantitative data documenting character variation within and between groups. One important prerequisite of acquisition of new morphometric data consists in providing reliable reconstructions of the fossil specimens. – We report here on the computer-assisted reconstruction and morphometry of two fragmentary crania, the juvenile Gibraltar 2 and the adolescent Le Moustier 1 specimens. 3.1

Gibraltar 2 (Devil’s Tower) Five individual fragments represent the Devil’s Tower (Gibraltar 2) Neanderthal child skull: an incomplete mandible, the right maxilla, the right temporal, the frontal, and the left parietal [13]. To establish regions of anatomical contact between the isolated fragments, we completed missing parts through mirror-imaging of existing fragments. After rebuilding the right mandibular premolars using mirror imaging of the existing left teeth, dental occlusion with the upper jaw fragment could be established. At this stage, stereolithographic copies of the jaws were generated to check the accuracy of dental occlusion. In the next reconstructive step, the semicircular canals of the preserved right inner ear cavities served as an anatomical compass to orient the temporal bone along the sagittal plane of the skull, defined by an angle of 45° relative to the planes of the superior and posterior semicircular canals. The oriented temporal bone and its mirror copy were then placed on the mandibular condyles. Finally, the temporoparietal suture between the mirrored temporal and the original parietal bone was used to determine the anatomically appropriate position of the cranial vault bones (Fig. 1).

ACTA ANTHROPOLOGICA SINICA

94

Figure 1

Supplement to Vol. 19, 2000

Computer-assisted reconstruction of the Gibraltar 2 cranium (crossed stereo pictures). The five original fragments (dark) were positioned in anatomical space establishing points of contact between isolated fragments and mirrored components (transparent), and using internal clues (such as the preserved internal otic structures of the right temporal bone, shown here in the mirror-imaged left counterpart)

To check on the general reliability of the Devil’s Tower reconstruction, notably because of potential deviations from bilateral symmetry, parallel reconstructions were conducted using complete skulls of modern human children of comparable dental age and exhibiting a normal degree of bilateral asymmetry. In these reconstructions, only the parts corresponding to the fragments preserved in the fossil were utilized, following exactly the same procedures as for the Neanderthal child. Comparison of the original modern human skulls with the resulting reconstructions showed relatively little deviation. Measurements taken on different versions of reconstructions suggest that reconstructive errors are in the same range as anatomical departures from bilateral symmetry. 3.2

Le Moustier 1 The Le Moustier 1 fossil represents the most completely preserved adolescent Neanderthal skeleton recovered to date, although much of the original material had been lost during World War II. Restoration and reconstruction of this specimen faced a number of difficulties that are intimately connected to its convoluted history. The present state of the cranial remains is the result of at least four earlier reconstructions during which the original fragments were repeatedly disassembled and recomposed [14]. In its current physical reconstruction, the skull exhibits considerable overall deformation and anatomical inconsistencies that need correction. Moreover, the original fossil components are camouflaged with filling material, but actual physical disassembly would subject the specimen to unnecessary risk. We therefore applied our non-invasive procedure to the skull in order to generate a new reconstruction and to extract additional information [15].

ZOLLIKOFER et al.: Computer-Assisted Paleoanthropology: Methods, Techniques and Applications

Figure 2

95

Reconstruction of the Le Moustier 1 cranium. Following computerized decomposition and "cleaning" of the original fragments (top left), the skull was recomposed on the computer screen (right, scale bar is 50 mm), and distortion caused by vertical compression was corrected (bottom left)

Our virtual reconstruction of Le Moustier 1 (Fig. 2) proceeded as follows: Using CT-based 3D data, the specimen was freed from heterologous material, disassembled into its almost 100 original fragments. Following similar criteria to those established for the Gibraltar 2 reconstruction, the fragments were recomposed on the computer screen. During this process, distortions present in the current reconstruction could be eliminated by re-establishing correct anatomical correspondences between adjacent fragments. However, once completed, the virtual reconstruction still exhibited overall deformation. The slanted appearance of the cranium clearly reflected taphonomic effects that resulted in plastic deformation, notably of the cranial vault bones. We used historical photographs to determine the taphonomic in situ position of the skull. Combining morphometric and taphonomic evidence, it turned out that the skull had undergone vertical compression along an axis leading from the left frontal to the right occipital poles. This effect could be reversed on the computer screen by positioning the virtual skull in situ and applying appropriate decompression. 3.3

Morphometry: estimating cranial capacities of incomplete specimens To assess cranial capacity of incomplete Neanderthal specimens, we attempted to reconstruct missing parts by adjusting complete endocasts of modern human skulls of comparable individual age (Fig. 3). For this purpose, a series of landmarks was identified on the preserved endocranial parts of the Neanderthal skulls, and homologous landmarks were determined on the modern counterparts. Applying the 3D thin plate splines morphing technique proposed by Bookstein [16], the modern landmark constellation was transformed into the Neanderthal constellation and the modern endocranial volume was deformed accordingly. The resulting cranial capacities are 1230-1250 cc, 1370-1420 cc and 1550-1600 cc for Gibraltar 1, Gibraltar 2, and Le Moustier, respectively. It is worth noting that cranial capacities have also been determined in this way for two additional

ACTA ANTHROPOLOGICA SINICA

96

Supplement to Vol. 19, 2000

Neanderthal skulls from immature individuals comparable in age to the Gibraltar 2 skull: 1440 cc for the Engis specimen and 1325 cc for the Roc de Marsal specimen [8,10].

Figure 3

Interpolation of the Le Moustier 1 endocranial cavity by morphing data from a modern human. Equivalent landmarks on the endocasts of a modern human adolescent (left) and of Le Moustier 1 (mid) were determined. To adjust the complete modern endocast to the preserved structures of the virtual Neanderthal endocast, a 3D Thin Plate Spline mapping function was applied (right)

4

Conclusions

New possibilities for paleoanthropology have been opened up by recent advances in medical imaging technologies, in computer graphics technology and in rapid prototyping technology (stereolithography). In combination, these advances have permitted development of an entirely noninvasive 3-phase procedure of data acquisition, virtual reconstruction/morphometry and stereolithographic replication of fossils. With computer-assisted paleoanthropology (CAP), it is now possible to return to long-known fossil specimens, subjecting them to re-examination and extracting extensive additional information. Acknowledgments: We would like to thank Jeffrey Schwartz and Fred Spoor for reviewing the manuscript and providing helpful comments. Our research was supported by Swiss NSF grants #3132360.91 and #31-42419.94 to R.D. Martin and P. Stucki. References: [1] CONROY GC, VANNIER MW. Noninvasive three dimensional computer imaging of matrix filled fossil skulls by high resolution computed tomography [J]. Science, 1984, 226:457-458. [2] ZONNEVELD FW, WIND J. High-resolution computed tomography of fossil hominid skulls: A new method and some results [A]. In: Tobias PV ed. Hominid Evolution: Past, Present and Future. New York: Alan Liss: 1985, 427-436. [3] CONROY G, WEBER G, SEIDLER H et al. Endocranial capacity in an early hominid cranium from Sterkfontein, South Africa [J]. Science, 1998, 280:1730-1731. [4] PATH M, ZOLLIKOFER CPE, STUCKI P. New approaches in CT artifact suppression - a case study in maxillofacial surgery [A]. In: Lemke HU et al. eds. CAR'98, Computer Assisted Radiology and Surgery. 1998, 830-835. [5] BRESENHAM J, JACOBS P, SADLER L et al. Real Virtuality: StereoLithography - Rapid Prototyping in 3D [A]. SIGGRAPH Proceedings, 1993, 377-378. [6] ZOLLIKOFER CPE, PONCE DE LEON MS. Tools for rapid prototyping in the biosciences [J]. IEEE Computer Graphics and Applications, 1995, 15:48-55. [7] TATTERSALL I. The abuse of adaptation [J]. Evol Anthropol, 1999, 8:115-116. [8] ZOLLIKOFER CPE, PONCE DE LEON MS, MARTIN RD. Computer-assisted paleoanthropology [J]. Evol Anthropol, 1998, 6:41-54.

ZOLLIKOFER et al.: Computer-Assisted Paleoanthropology: Methods, Techniques and Applications

97

[9] SEIDLER H, FALK D, STRINGER C et al. A comparative study of stereolithographically modelled skulls of Petralona and Broken Hill: implications for future studies of middle Pleistocene hominid evolution [J]. J Hum Evol, 1997, 33:691-703. [10] ZOLLIKOFER CPE, PONCE DE LEON MS, MARTIN RD et al. Neanderthal computer skulls [J]. Nature, 1995, 375:283-285. [11] HUBLIN JJ, SPOOR F, BRAUN M et al. A late Neanderthal associated with Upper Palaeolithic artefacts [J]. Nature, 1996, 381:224-226. [12] SCHWARTZ JH, TATTERSALL I. Significance of some previously unrecognized apomorphies in the nasal region of Homo neanderthalensis [A]. Proceedings of the National Academy of Science of the USA, 1996, 93:10852-10856. [13] GARROD DAE, BUXTON LHD, SMITH GE et al. Excavation of a Mousterian rock-shelter at Devil's Tower, Gibraltar [J]. J Royal Anthropol Institute, 1928, 58:33-113. [14] WEINERT H. Der Schädel des Eiszeitlichen Menschen von Le Moustier in Neuer Zusammensetzung [M]. Berlin: Springer, 1925. [15] PONCE DE LEON MS, ZOLLIKOFER CPE. New morphometric evidence from Le Moustier 1: Computer-assisted reconstruction of the skull [J]. Anatomical Record, 1999, 254:474-489. [16] BOOKSTEIN FL. Morphometric Tools for Landmark Data [M]. Cambridge: Cambridge University Press, 1991.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

98-103

Variability of Pliocene Lithic Productions in East Africa Hélène ROCHE (Préhistoire et Technologie - UMR 7055 du CNRS, MAE(3), 21 allée de l'Université 92023 Nanterre, France)

Abstract Pliocene lithic productions are caracterized by cores, flakes and flake fragments, unmodified blocks and cobbles, and, sometimes, hammerstones. At first sight, these lithic assemblages appear as simple and static technical productions, not only during Pliocene times but, for some authors, during Early Pleistocene times as well, until the appearance of the Acheulean at 1.7/1.6 Myr. However, cores vary from cobbles and blocks from which only a few flakes are removed to intensively flaked cores, either randomly or following a more systematic knapping procedure. Only the 2.3 Myr site of Lokalalei 2C (LA2C) of the Nachukui Formation (West Turkana, Kenya) presents such an elaborate debitage scheme, which is demonstrated by more than 60 refits. If differences observed within the Pliocene lithic assemblages likely reflect environmental constraints (such as raw material avilibility), we will discuss the fact that they may also result from diversified cognitive capacity and/or technical choices, among different hominid species or within the same hominid species.

Key words:

East Africa; Pliocene; Lithic assemblages; Technology

Compared with paleontological and paleoanthropological records, pliocene archeological data unearthed in East Africa are still few. Although it has been known for almost 25 years that group(s) of hominids have made stone tools as early as 2.6 Myr, only a small number of securely dated pliocene sites have been discovered and excavated. They are distributed in two areas : along the Awash River in northern Ethiopia at 2.6-2.5 Myr, and within the Turkana Basin (southern Ethiopia-northern Kenya) at 2.4-2.3 Myr. The next group of sites known are the early pleistocene oldowan sites, at 1.9-1.8 Myr. The Pliocene archaeological record thus appears as a rare and discontinuous phenomenon. There are several possible reasons for this apparent discontinuity. 1/ First of all, it may be simply due to a lack of sufficient research within the appropriate deposits. 2/ The second reason -or group of reasons- concerns methodological principles of precaution, that I have already mentionned elsewhere [1] but which should be reiterated, given the contents of several "oldest" annoucements recently made. Indeed, it seems difficult to speak of an industry, or human -or hominid- stone tool manufacture at a given place if we are not absolutely certain about the following points : -

-

the unquestionable intentionnal manufacture of the artefacts, which should form a coherent technological assemblage, even with a small number of pieces; the reliability of the context, meaning that the material is in situ in primary context, or possibly in secondary context, with the condition that the stratigraphy of the reworked deposits is well understood and its age well established; the dating of the archaeological horizon, or embedding sediments, by several crosschecked methods.

It is only through the convergence of these different elements that a lithic assemblage can be qualified and dated. Due to its geological configuration, this convergence is certainly easier to obtain in the East-African Rift Valley, than anywhere else. However, the prehistory of this region is not exempt from misinterpretations and controversies (the most famous one being the dating of KBS tuff). Thus, precisely locating archaeological -and paleoanthropological- sites within a reliable chronological and paleoenvironmental framework has been, and still is, a long and painstaking, but absolutly necessary task. Biography: Hélène Roche is a french archaeologist attached to the Centre National de la Recherche Scientifique (CNRS). She has been conducting field work in East Africa (Ethiopia, Kenya, Uganda, etc.) for the last 25 years. From 1991 to 1994, she was Head of the Archaeology Department of the National Museums of Kenya, in Nairobi (Kenya).

ROCHE: Variability of Pliocene Lithic Productions in East Africa

99

3/ The last group of reasons is more speculative. The hominids present in East Africa between 3 and 1.6 Myr (thus before the appearence of Homo ergaster/erectus) are certainly more diverse than previously thought. However the taxonomic link between these different groups of hominids, whether Australopithecine or early Homo, is not known, nor is their actual appearance, duration and extinction. We do not know their exact geographical distribution, nor their demography. It is therefore not impossible to consider that some of these groups had mastered the knowledge of stoneknapping, while others had not. And it is not impossible that this knowledge could have disappeared in a given area for a certain time, to reappear later on. In this paper I will discuss how these early but scattered pliocene lithic productions can be considered in a technological perspective The oldest evidence of stone tool manufacture comes from the Kada Gona sites, in the Hadar region of the Upper Awah Valley (northern Ethiopia), with several sites securely dated at 2.6/2.5 Myr. The first artefacts discovered on the left bank (Kada Gona 2.3.4 site) were included in a conglomerate (named the Intermediate Conglomerate in all the sections drawn in this area), which is a rather unreliable archaeological context [2-3]. However this conglomerate had the special feature of being bordered by two tuffs, which allowed the dating of the artefacts. Subsequently, the paleomagnetic Gauss/Matuyama transition was identified within the Intermediate Conglomerate [4]. Other sites (EG -for East Gona-10, EG 12 sites) in much better clayey contexts were discovered and excavated later on [4]. The few Kada Gona 2.3.4. 'Pre-acheulean' artefacts were described as cores, flaked blocks and cobbles, and flakes. They were said to be "techonologically...closer to the Oldowan of Olduvai (Bed I) and Gombore 1 at Melka Kunture than to the Lake Turkana assemblages -notably the KBS industry∗ ...-and from the Omo sites..." [3]. Work is continuing at the East Gona sites, but the only information thus far available concerning the artefacts comes from the first lithic assemblages unearthed at the beginning of the 1990ies (n = 2970 stone artefacts). These consist of "simple cores, whole flakes and flaking debris. Unifacially and bifacially flaked cores comprise the 'flaked pieces'...'Detached pieces' are numerically dominant, with values in the range of 75-95%. There are a few 'pounded pieces', namely pieces modified or shaped by pounding or battering, like hammerstones, anvils and battered cobbles" [4]. It has also been said that "the composition of Gona assemblages is very similar to Plio-Pleistocene sites elsewhere, except for lower diversity of the cores from Gona and the high incidence of utilized pieces and manuports at Olduvai Gorge" [4]. Further south, the Turkana Basin constitutes an exceptionnal ensemble of sedimentary formations, which all together cover more than 4 Myr, with : -

to the north, the Shungura Formation, which is traversed by the Omo river to the east, the Koobi Fora Formation and to the west, the Nachukui Formation

Through tephrostratigraphy and sedimentary marker correlations, the chronostratigraphy of the three formations is now well established. This is the result of intense work by many geologists (Frank Brown, Ian Mc Dougall, Craig Feibel, etc.) over the last 20 years [5-6]. The Shungura Formation has yielded only pliocene archeological sites, the Nachukui Formation pliocene and pleistocene sites, and the Koobi Fora Formation only pleistocene sites . I will thus limit my comments to the Shungura and Nachukui formations. The Shungura Formation is made of 12 members but only member F (2.36-2.32 Myr) contains 5 archaeological sites in more or less good sedimentary context but in secure chronostratigraphic position [7]. The lithic material is made of quartz and include very few cores and whole flakes but mainly fragments and flaking debris (up to more than 95% of the whole assemblage). There is absolutely no doubt about the intentional character of these lithic assemblages, but they rather result from random percussion than from controlled knapping [8-9]. ∗

This was long before the beginning of the work on the west side of Lake Turkana

ACTA ANTHROPOLOGICA SINICA

100

Supplement to Vol. 19, 2000

The Nachukui Formation is located on the west side of the basin, and extends between the ranges that border the basin to the west and the modern Lake Turkana. The Nachukui Formation has a cumulated thickness of 730 m and consists of 8 members. In addition to a wealth of fossils (including the Australopithecus Boisei "Black skull" specimen -WT17000- and the almost complete skeleton of a young Homo ergaster -WT15000-), the Nachukui Formation has yielded many archaeological sites distributed along the sequence between 2.35 Myr and 0.7 Myr.[10-13] So far, more than 25 archaeological sites have been test-excavated or fully excavated, including: -

2 "Pre-oldowan" sites at 2.34 Myr, 12 Oldowan sites between 1.8 and 1.65 Myr 1 very early Acheulean site at 1.65 Myr 10 middle pleistocene Acheulean sites

The two pliocene sites, Lokalalei 1 and Lokalalei 2C, are stratigraphically located in the upper part of a succession of fluvial facies separated by lacustrine deposits; they are embedded within paleosols formed in a fluvial flood plain, reflecting proximal low energy environnements. Lokalalei 1 has been excavated over 67 m2 [12] and presents a low density of artefacts (n=466), compared to a large number of faunal remains (more than 3500), most of which are non identifiable splinters. The lithic assemblage consists of cores (mainly described as chopper-cores, but also discoï dal and polyhedral cores, and core scrapers), whole flakes, broken flakes and fragments, and pounded pieces (including hammerstones). The limited number of flake scars on the cores (1 to 12) and the fact that "about 80% of the flaking scars on these cores are characterized by step fractures and only a few instances of complete flake removals were observed" leads to the conclusion that the whole assemblage exhibits "crude and poor technology" [12]. Lokalalei 2C is a much smaller site (17 m2) which can be considered as a knapping location. It contains cores, whole flakes, broken flakes and fragments, worked and unworked cobbles, and hammerstones, representing a total of 2500 artefacts associated with nearly 400 faunal remains. The exceptionnal preservation of the lithic assemblage permitted the reconstitution of 59 sets of refits [13]. Refitting is certainly not an aim in itself. However what refits can tell us about pliocene hominid technological skill is extremly interesting. At LA2C, the dominant reduction sequence of the cores (78%) consists of unidirectional or multidirectional removals flaked on a single preferential flat surface, from natural platforms. This knapping scheme implies the selection of cobbles with a specific morphology -with a triangular or quadrangular section and at least one flat surface- and a natural, adequate platform. It allows the production of series of removals (up to 11 removals per series), with the condition that the volumetric structure of the core is maintained. The repeated application by the knappers of the same, well mastered technical principles during the whole knapping sequence permitted the production of large numbers of flakes (up to 50 for one core). This may be an indication that the notion of production was already understood by a group of hominids in this particular area. However, the same core reduction scheme is not seen at the nearby and contemporaneous site of Lokalalei 1, where others clearly less productive technical options were chosen. Nor it is in the contemporaneous Omo sites, and it does not seem to be present in the Kada Gona sites. Thus, if there are such observable technological differences between those lithic productions, how can we assess them, and what do they reflect? More generally, lithic technical productions are materialized by three main features (tab.1): A) the production mode of artefacts B) the technique(s) used to produce them C) the "tools" which are produced In lithic technology, only four modes of production are known [14] :

ROCHE: Variability of Pliocene Lithic Productions in East Africa

101

1) undifferenciated flaking: intentional fracture of hard rock with no specific or systematic operative procedure; 2) debitage process: intentional fracture of hard rock with specific and sometimes highly systematic operative procedures, and with the aim directly using, further shaping or retouching the flakes produced; 3) shaping: sequence of knapping actions which imposes a particular form on a piece of raw material; 4) retouching: modification of a blank, whether natural or knapped. Table 1 TECHNICAL PRODUCTION IS MATERIALIZED BY A - one or several production modes B - one or several techniques C - the produced "tools" A - PRODUCTION MODE OF LITHIC ARTEFACTS

1 - undifferenciated flaking 2 - debitage process 3 - shaping 4 - retouching B - POSSIBLE TECHNIQUES USED DURING PLIO-PLEISTOCENE TIME INTERVAL

1 - direct percussion with stonehammer 2 - direct percussion on anvil and block 3 - bipolar percussion on anvi/block C - MANY POSSIBLE COMBINATIONS BETWEEN A AND B TO OBTAIN THE DESIRED PRODUCT

All these different production modes are implemented by techniques, and some of them by methods [14]. A method implies carrying out an orderly sequence of actions following a elaborate plan, according to one or more techniques (ex.: Kombewa method, Levallois method). Thus method does not apply to pliocene production modes. Techniques refers to the basic physical actions employed by the prehistoric stone knappers (direct percussion with a hard or a soft hammer, indirect percussion with the interposition of a punch, etc.). During prehistoric times, many different techniques were invented and used, most of which have been identified through observation and experimentation. However, for the time period we are considering, only three main techniques seem to have been used : 1) direct percussion with a stone hammer 2) direct percussion on stone anvil/block 3) bipolar percussion on a stone anvil/block and with a stone hammer Many combinations are possible between the production mode and the techniques used, and diagnostic traces resulting from direct percussion with a stone hammer or direct percussion on stone anvil/block are not always easy to differenciate. However, Tabl. 2 shows which products can be obtained with the different production modes.

ACTA ANTHROPOLOGICA SINICA

102

Supplement to Vol. 19, 2000

a) Direct undifferenciated flaking will produces cores or chopper-cores, and flakes. In the case of chopper-cores, it is difficult to ascertain what is the desired product and what is the waste. b) Controlled debitage produces flakes and cores, and in this case we know that flakes are the desired products, and cores the waste. c) Shaping produces all the shaped tools, such as polyhedrons and spheroids, handaxes and cleavers. Flakes are considered as waste, although they can be used as cutting tools, whether unmodified or retouched. d) Retouching produces sundry tools, such as scrapers, notches, denticulates, etc. Table 2 PRODUCTION MODE

TECHNIQUE

DESIRED PRODUCTS

WASTE

1 - indifferenciated flaking

1,2,3?

classical chopper cores?

Flakes?

flakes?

Cores?

1,2,3?

flakes

Core

1,2?

polyhedral and spheroidal shaped tools

Ordinary or shaping flakes

3b - bifacial shaping

1,2?

bifacial shaped tools

Ordinary or shaping flakes

3c - trihedral shaping

1,2?

trihedral shaped tools

Ordinary or shaping flakes

1,2?,3?

scrappers, notches, denticulates, etc.

Retouch flakes

2 - debitage 3 - shaping 3a - polyhedral and spheroidal shaping

4 - retouching (flaked or non flaked blanks)

If these different production modes are considered from a chronological perspective, we can see that: 1) undifferenciated flaking is present anywhere and at all times and from the beginning at 2.6 Myr; 2) controlled debitage is only present in West Turkana at 2.34 Myr and solely in one site; 3) retouching is certainly more present than recorded in the publications, and is certainly present as early as 2.34 Myr in West Turkana (at both pliocene sites of LA1 and LA2). 4) and shaping does not appear before 1.9-1.8 Myr with polyhedral and spheroï dal shapping (at Olduvai), then at 1.7-1.6 Myr with bifacial shaping (in West Turkana). There is agreement on the fact that the first major technological change in the pliopleistocene record corresponds to the beginning of bifacial technology. However, before this innovation took place, the lithic productions did not reflect the same hominid cognitive capacities and motor skill, whether in Gona, in the Omo, or in Nachukui. Indeed, environmental constraints may have played a role, in particular as far as raw material is concerned. In the Shungura Formation (Omo), it seems that the only available raw materials were small blocks of quartz, which has poor flaking properties. However, there is an equivalent availibility of good lava raw materials in Hadar (Gona) and in Nachukui. On the other hand, the discontinuity of the pliopleistocene archaeological data mentionned in the introduction certainly amplified the contrast between the different assemblages.

ROCHE: Variability of Pliocene Lithic Productions in East Africa

103

In conclusion, given the variability observed in the chaines operatoires of lithic productions, it is not possible to confine pliocene and early pleistocene productions to a single vast technocomplex [4], within which stone-knapping did not vary and did not evolve. Is this so surprising, considering the period of time in question (more than one million years), the distance between the concerned areas (hundreds miles), and the increasing diversity of hominids forms present during this period of time in these areas? Acknowlegments : We thank the Government of Kenya for permission to carry out this research and the National Museums of Kenya, Meave Leakey and the Kalokol Project for logistical support. The field work was funded by the French Foreign Affairs Ministry (Sous-Direction des Sciences Sociales, Humaines et de l'Archéologie). We thank Total (Kenya) for vehicles and fuel donation, and Crédit Agricole-Indosuez Bank (Kenya) for financial support. We thank Jacques Pelegrin and Megan O'Farell for reviewing this paper. References: [1] ROCHE H. Remarques sur les plus anciennes industries en Afrique et en Europe [A]. XIII° UISPP Congress, Colloque VIII : Lithic industries, language and social behaviour in the first Human forms. Forlí, Abaco, 1995, 55-68. [2] ROCHE H, Tiercelin JJ. Découverte d'une industrie lithique ancienne in situ dans la formation dHadar, Afar central, Ethiopie [J]. C R Acad Sc Paris, Série D, 1977:1871-1874. [3] ROCHE H, TIERCELIN JJ. Industries lithiques de la formation plio-pléistocène d'Hadar : campagne 1976 [A]. Proceedings, VIIth Panafrican Congress of Prehistory and Quaternary Studies (Nairobi 1977), 1980, 194-199. [4] SEMAW S, RENNE P, HARRIS JWK et al. 2.5-million-year-old stone tools from Gona, Ethiopia [J]. Nature, 1997, 385:333-336. [5] FEIBEL CS, BROWN FH, MCDOUGALL I. Stratigraphic context of hominids from the Omo group deposits : northern Turkana Basin, Kenya and Ethiopia [J]. Am J phys Anthrop, 1989, 78:595-622. [6] FEIBEL CS, HARRIS JM, BROWN FH. Palaeoenvironmental context for the late Neogene of the Turkana Basin [A]. Koobi Fora Research Project, Volume 3, Stratigraphy, Artiodactyls and Paleoenvironments. Oxford : Clarendon Press, 1991, 321-346. [7] HOWELL FC, HAESAERTS P, DE HEINZELIN J. Depositional environments, archaeological occurences and hominids from members E and F of Shungura Formation (Omo Basin, Ethiopia) [J]. J Hum Evol, 1987, 16:643-664. [8]CHAVAILLON J. Evidence for technical practices of early Pleistocene hominids [A]. Earliest Man and Environments in the East Rudolf Basin. Chicago : Chicago University Press, 1976, 565-573. [9]MERRICK HV, MERRICK JPS. Archaeological occurences of earlier Pleistocene Age, from the Shungura Formation [A]. Earliest Man and Environments in the East Rudolf Basin. Chicago : Chicago University Press, 1976, 574-584. [10] KIBUNJIA M, ROCHE H, BROWN FH et al. Pliocene and pleistocene archaeological sites west of lake Turkana, Kenya [J]. J Hum Evol, 1992, 23:431-438. [11] ROCHE H, KIBUNJIA M. Les sites archéologiques plio-pléistocènes de la Formation de Nachukui, West Turkana, Kenya [J]. C R Acad Sc Paris, 1994, 318 ( série II): 1145-1151. [12] KIBUNJIA M. Pliocene archaeological occurences in the lake Turkana Basin [J]. J Hum Evol, 1994, 27:157-171. [13] ROCHE H, DELAGNES A, BRUGAL JP et al. Early hominid stone tool production and technical skill 2.34 Myr ago in West Turkana, Kenya [J]. Nature, 1999, 399:57-60. [14] INIZAN M-L, BALLINGER M, ROCHE H et al. Technology and terminology of knapped stone [M]. Préhistoire de la Pierre Taillée, 5. Paris, CREP, 1999.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

104-114

Greeting Chinese Paleolithic Archaeology in the 21st Century (A Retrospective) HUANG Wei-wen (Institute of Vertebrate Paleontology and Paleoanthropology, Chinese Academy of Sciences, P.O. Box 643, Beijing, 100044 China)

Abstract The systematic Paleolithic research in the early 20th Century in the northern part of China resulted in the discovery of several important Paleolithic sites. It initiated the hominid Asian origin theory which dominated later dacades. With the new and much earlier Paleolithic discoveries in East Africa in the middle of 20th Century, the hominid African origin idea took the leadership in the field. But with the recent new and encouraging Paleolithic discoveries dated more than 2 mya in China, the multi-regional origin theory seems more acceptable. Based on the environmental background to the hominid origin and evolution, China appears to be a promising location for the discovery of earlier Paleolithic sites in the 21th Century.

Key words:

Paleolithic; China; The 21th Century

1 In the early 20th Century, some western scholars seeking the homeland of humans began to turn their attention toward Asia, a vast, remote and mysterious land. They hypothesized that Asia was a critical region in the development of humans, both biologically and culturally. The complex question of human origins could not be answered without taking into account the antiquity of human occupation and the early stone industries of Asia [1]. Other than E. Dubois's important discovery of Homo erectus fossils in Java at the end of the 19th Century, little was known about the Asian fossil and archaeological records. This mystery inspired several western scientists to plan campaigns of exploration to this region. Among the first foreign scientists to investigate the Paleolithic localities of China were Emile Licent and Teilhard de Chardin from France. They discovered archaeological materials from Qingyang (Gansu), Shuidonggou (Ningxia), Salawusu (Inner Mongolia) and other sites in the upper-middle reaches of the Yellow River of North China. In 1921 and 1923, the historic discoveries of Swedish geologist, John Gunnar Andersson, at the cave of Zhoukoudian near Beijing initiated the first international cooperative excavation of the famous Peking Man site. This research program that began in 1927 was supported by the Rockerfeller Foundation. It reinforced the idea that Asia had an important place in the story of human origins and scholars worldwide were attracted to the region. Twenty years later, by the 1950's, the focus of human evolutionary studies shifted toward Africa as the newly established the People's Republic of China became inaccessible to western scientists. In the 1960's, important discoveries in Africa included human fossils from the Early Pleistocene strata of Olduvai Gorge. Fossils of robust Australopithecus and Homo habilis from these beds were dated to 1.8 mya, almost 1 million years earlier than the Javan fossils and Chinese Homo erectus from Zhoukoudian. Later discoveries of Homo habilis and stone tools dating as early as 2.6 mya from Ethiopia, Zaire, Kenya and other areas in Africa convinced most researchers that Africa was the cradle of humans. The antiquity of findings outside Africa, particularly in Asia was questioned and most assumed that evidence of human occupation earlier than 1 mya in East Asia, would not be found. American anthropologist, Hallam Movius, proposed a "Two-Culture" Theory in the 1940's that was used to reinforce the above conclusion [2]. According to this theory, there were two groups of Homo erectus in the Old World, each with different cultures. One group possessed the Acheulean or Mode II technology, making bifacial handaxes in a stepwise, standardized procedure. The other group made less refined chopper-chopping tools (Mode I technology), interpreted as Biography: HUANG Wei-wen, Reserrch Professor at the Institute of Vertebrate Paleontology and Paleoanthropology, Chinese Academy of Sciences, specialised in Paleolithic research since 1960.

HUANG:

Greeting Chinese Paleolithic Archaeology in the 21th Century (A Retrospective)

105

unimaginative and monotonous. Concluding that the two populations were separated by different levels of cognitive capabilities, Movius divided the Old World into two regions by drawing an intangible technological barrier, later called the "Movius Line." East of that line (that is, East Asia) was the region that Movius and his supporters maintained was isolated and self-sufficient. Here, a Mode I technology persisted until the Late Pleistocene when technological advances like blade industries were imported from the West. Since no Mousterian or Mode III technological stage could be clearly identified in East Asia, the western tripartite classification of the Paleolithic into Lower, Middle and Upper phases are not applicable.

2 From a 21st Century perspective, how have these ideas progressed? In the last few decades, new discoveries and new interpretations from Asian localities have portrayed a very different picture. A brief presentation of some of these new ideas follows. The early human occupation of Asia is temporally and spatially much more extensive than previously thought. Russian archaeologists report stone artifacts from Ulalinka in the Altai Mts. of Siberia in northern Asia. These have been dated by paleomagnetics and TL dating to 0.73 mya and 1.5 mya, respectively. In addition, the Diring-luiakh Site on the upper-middle reaches of Lena River inside the Arctic Circle (paleomagnetic date of 1.8 mya and a TL date of 0.3- 0.4 mya) also supports this broad temporal and spatial range [4]. The prehistory of the Japan Archipelago has also undergone revisions with recent excavations in the northwestern Honshu. Human occupation of the Japan Islands may extend back to the lower Middle Pleistocene [5]. The locality of Chongokni, near Seoul in peninsular Korea, has yielded an Acheulean-like industry with a controversial range of dates from Middle to Late Pleistocene. Similar controversy surrounds the 1.8 mya Ar/Ar dates [6] of Mojokerto and Sangiran in Java that give Homo erectus in Asia an antiquity comparable to its African counterpart.

Figure 1

Pick made of rhinocero’s mandible from Renzidong (after Zhang et al. [3])

Additional evidence of ancient humans in Asia has been found on the Rawalpindi Plateau of Pakistan. Stone tools earlier than 1 mya have been recovered from Riwat, Pabbi Hills and other localities at the foot of the Himalayas. Paleomagnetic studies and a comparison with nearby

ACTA ANTHROPOLOGICA SINICA

106

Supplement to Vol. 19, 2000

volcanic strata estimate that humans may have been present as early as 2 mya on the Indian Subcontinent [7]. Three Lower Pleistocene sites in China discovered in 1960s, Xihoudu, Lantian of North China and Yuanmou of South China, have all yielded evidence older than 1 my. More recently, even greater antiquity (as early as ca. 2 mya) has been suggested for the Paleolithic localities of the Nihewan Basin of North China, together with the Wushan Site and the Renzidong Site of South China. At Renzidong, a mammalian fauna and associated stone and bone artifacts (Fig. 1) were found from cavern deposit and estimated to be 2 - 2.4 my old on the basis of mammal fossils that represent Pliocene species. Clearly, Movius’ ideas are outdated. New lithic Studies of Chinese localities identify more complexity and diversity in the technology. The Wushan stone assemblage contains pick, cleaver, chopper and Kombewa flake (Fig.2).

Figure 2

Pick made of cobble from Wushan (after Hou et al. [8])

Huang [9] identifies handaxes in both North and South China toolkits of the Lower to Middle Pleistocene. Despite its low frequeny of occurrence, it is found with other components of Acheulean toolkits such as picks, cleavers and spheroids. A bifacially flaked handaxe made on a heavy quartzite flake from the loess deposits near the Gongwanling Homo erectus ( “Lantian man” ) site, North China was in a comparable stratigraphic position to the human fossil that is dated to 1.15 mya by paleomagnetic and loess-paleosols sequence. Tattersall et al. [10] considers this an example of East Asian Acheulean tools. Excavations on the laterite terraces of Bose Basin, South China have uncovered an Acheulean-like industry of picks and handaxes (Fig. 3) made on large cobbles and flakes. More than 100 handaxes (ca. 6% of the total tools) that are technologically comparable to Acheulean Mode II have been studied. Tektites in association with these artifacts are dated by fission track and 40Ar/39Ar to 0.733 and 0.803 mya respectively (Guo et al. [11]; Hou et al. [12]), predating European Acheulean tools. The stone industry from the Locality 1 of Zhoukoudian (Peking man Site) has long been used to exemplify the differences between eastern and western Middle Pleistocene cultures. Its apparent ‘lack of handaxes’ claimed by some workers and high proportion of small tools made from vein quartz, was difficult to compare to contemporaneous western sites. Now, we know that assemblages from Olduwai, East Africa and Arago, southwestern France have similarities to Locality 1 and that bifacial retouch is present and well developed at Zhoukoudian (Fig.4).

HUANG:

107

Greeting Chinese Paleolithic Archaeology in the 21th Century (A Retrospective)

A Figure 3

B Handaxes from Gongwangling (A, after Dai [13]) and Bose (B, after Huang and Wang [14])

Figure 4

Stone artefacts from the Locality 1 of Zhoukoudian (after Black et al. [15])

ACTA ANTHROPOLOGICA SINICA

108

Supplement to Vol. 19, 2000

Several late Middle and Upper Pleistocene sites have been well-studied by both eastern and western scholars who have reflected on their technological characteristics. For example, Henri Breuil [1, 32] and L.G. Freeman [16] have commented one after another on the Acheulean-like tools of the Dingcun industry (160-210 kya, U-series) from North China. Breuil characterizes the Late Pleistocene Shuidonggou assemblage (32-40 kya, U-series ) "seemingly halfway between a very evolved Mousterian and a nascent Aurignacian, or a combination of the two"[1] (Fig. 5). Bordes [17] also recognized technological attributes of Levallois in these tools. In fact, developed blade industry associated with microliths also are known from other sites of North China, for example Xiachuan (Fig. 6). Sysmatic excavations at Panxian Dadong, and important new cave site (ca.130-260 kya by U-series and ESR dating ) on the Yunnan-Guizhou Plateau of SW China, is yielding a stone industry associated with a late Middle Pleistocene Ailuropoda-Stegodon fauna and several fossil human teeth. The artifacts, made of limestone, chert and basalt include prepared cores and flakes with faceted striking platforms. The human teeth show a combination of H. erectus and H. sapiens traits [18].

Figure 5

Stone tools from Dingcun (upper, after Pei et al. (below, after Jia et al. [20])

[19]

) and Shuidonggou

HUANG:

Greeting Chinese Paleolithic Archaeology in the 21th Century (A Retrospective)

Figure 6

109

Stone tools from Xiachuan (after Wang et al. [21])

By the Upper Pleistocene, burial and symbolic expression is a feature of several Asian localities. In the 1930's at Zhoukoudian, Upper Cave ornamental objects such as perforated animal teeth , stone beads, bone pendants, shells, hematite and polished antler, were associated with burials [22]. At Xiaogushan Cave in Northeast China, perforated animal teeth, bone needles, a javelin bone point, a bone harpoon and a bone disc with a sun engraving design accompany a rich stone assemblage and mammalian fauna (Fig. 7). These two localities predate the European Magdalenian, with Upper Cave yielding radiocarbon dates (AMS) of 32-24 kya and Xiaogushan dating to 40-30 kya [23]. A fragment of decorated antler of Cervus elephus was found from a cave site (AMS 14C 13 065 +/- 270 B.P.) of Xinglong county, Hebei [24]. The pattern on its surface can be compared with those of European Magdalenian (Fig. 8).

ACTA ANTHROPOLOGICA SINICA

110

Figure 7

Supplement to Vol. 19, 2000

Bone artefacts and ornaments from Xiaogushan (after Huang et al. [25])

HUANG:

Greeting Chinese Paleolithic Archaeology in the 21th Century (A Retrospective)

Figure 8

111

The pattern of decorated antler from Xinglong (after You and Wang [24])

3 The study of Chinese Paleolithic Archaeology, initiated in 1921, has matured through eighty years of scholarly endeavors. Much progress has been made in the quantity and quality of research projects in the past three decades. The new century necessitates a thorough review of the past in order to assure a productive future. The author of this paper suggests that the following two points in summary. 3.1

Suggestions for the theoretical orientation of new research Recently, Chinese geologist Liu Tongshen wrote a postscript for the fourth issue of Quaternary Sciences [26] in which he insightfully summarized a century of research on Chinese loess. He commented that "there are generally two perspectives when doing loess research. One is a ‘regionally oriented perspective’ where the researcher forms hypotheses based on the regional characteristics of loess in China and deductively applies these to loess deposits globally (eg. the aeolian origins of loess deposits). The other is a ‘comparative perspective,’ where data from loess research worldwide can then be applied to the Chinese case by comparison (eg. paleoclimatic information from loess deposits). The two approaches are compatible but each has been more or less popular depending on where and when the research was done. In this author's opinion, the above approaches are relevant to Chinese Paleolithic research. Regional Paleolithic studies must be put into global context. As early as the 1920's Boule, Breuil, Licent and Teilhard recognized that there is not much difference between the Pleistocene in China and that in other countries from the perspective of basic attributes. The difference lies in "quantity rather than quality;" "Chinese loess is an extension of North and West Asian loess, Russian loess, Middle European loess or even that in the various parts and plateaus of North France . From one end to the other, in different regions of the globe, these deposits share common origins." They continued to point that fauna from Chinese loess deposits are similar to those from the Paris Basin and the types of Paleolithic industries in China are fairly similar to those in Europe [1]. These early conclusions about Paleolithic culture in China have stood the test of time. The theoretical construct of the "Movius Line," however, has been detrimental to an understanding of the Paleolithic in East

112

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

and Southeast Asia [27]. This author urges that new discoveries and analytical techniques of the new century be interpreted with an open mind allowing for the formulation of new hypotheses regarding the contributions of the Chinese Paleolithic in global context.

Figure 9

Map showing the paleogeographic outline of marginal seas of the West Pacific during the LGM (after Wang [28]) A. Sea of Okhotsk; B. Sea of Japan; C. Yellow Sea & Bohai Sea; D East China Sea; E. South China Sea; F. Sulu Sea; G. Celebes Sea; H. Banda Sea; I. Java Sea; J. Timor Sea; K. Arafura Sea; L. Gulf of Carpentaria

3.2

Reconsidering the Quaternary Asian paleoenvironment The Quaternary global climate was dynamic with fluctuations in sea level, advance and retreat of continental ice sheets and expansions and contractions of savanna and rainforests. Some researchers maintained that by contrast, Asian Quaternary climates remained relatively stable. Unfortunately, this viewpoint is not conform to the facts showed by the Quaternary research during the past decades, and it has been detrimental an understanding of the geological background of Asian Paleolithic. For example, the pedostratigraphcal, geophysiccal and geochemical research on Chinese loess

HUANG:

Greeting Chinese Paleolithic Archaeology in the 21th Century (A Retrospective)

113

and paleosol sequences document the environmental and climatic changes of the last 2.5 my. These data indicate that there were at least 37 glacial-interglacial cycles [29]. Dramatic fluctuations in sea level are supported by research on the marginal seas of the West Pacific. During the LGM (last glacial maximum ) and the low sea-level period (ca. 20-15 kya) , the China Seas was reduced about one third of its current area (Fig.9). The vegetable cover also accompanied these climatic and sealand changes of the LGM. At the same time, the exposed shelf of the northern South China Sea which is localited in the tropics at present was covered by temperate zone’s grassland with Artemisia based on pollen record from deep sea [30]. The Qinghai-Xizang (Tibet) Plateau and high mountains of East China had developed glacials during the Pleistocene. Even at present, there is an ice bank which covers an area of more than 400 sq. km on 6 000-6 500 m above sea level of the central Xizang, and it is the remains of the Last Glaciation only. The research suggests that four glaciations at least have been recognized from Xizang Plateau since the MIS (marine isotope stage) 24. Among them the 2nd Glaciation which is equal to MIS 16 (ca. 0.7 mya) is the largest one [31]. Clearly, this evidence above mentioned indicates that East Asia was subject to the global climatic fluctuations of the Quaternary. Acknowledgents: I would like to express my most sincere gratitude to Dr. Sari Miller-Antonio (Department of Anthropology and Geography, California State University, Stanislaus) for her kindness in revising the manuscript of the present paper. I also thank my daughter Reiping Huang for her help in translation from Chinese to English of the paper, who is studying in the Department of Sociology, the Minnesota University.

References: [1] BOULE M, BREUIL H, LICENT E et al. Le Paleolithique de la Chine [M]. Archives de Le Institut de Paleotologie Humaine, 1928, Mem 4. [2] MOVIUS HL. The Lower Paleolithic Cultures of Southern and Eastern Asia [M]. Trans Am Philosoph Soc, 1948, N Ser, 33(4):329-420. [3] ZHANG SS, JIN CZ, WEI GB et al. On the artifacts unearthed from the Renzidong Paleolithic site in 1998 [J]. Acta Anthropol Sin, 2000, 19 (3):169-183. [4] DEREV’ANKO A. Introduction. In: Derev’anko A et al. ed. The Paleolithic of Siberia [M]. Translated to English by Inna P Laricheva. Urbana and Chicago: University of Illinois Press, 1998. [5] SAGAWA M. Recent progress in studies on the Early and Middle Paleolithic period of the Japanese Archipelago, and their possible relations with the northern and eastern Asia [J]. Acta Anthropol Sin, 1998, 17(1):1-21. [6] SWISHER III C, CURTIS GH, JACOB T et al. Age of the earliest known hominids in Java, Indonesia [J]. Science, 1994, 263:1118-1121. [7] DENNELL RW, RENDELL H, HURCOMBE L et al. Archaeological evidence for homonoids in northern Pakistan before one million years ago [J]. Courier Forschunges-Institut Senckenberg, 1994, 171:151-155. [8] HOU Y, XU Z and HUANG W. Some new stone artifacts discovered in 1997 at Longgupo, southern China [J]. Longgupo Prehist Culture, 1999, 1:69-80. [9] HUANG W. Bifaces in China [J]. Acta Anthropol Sin, 1987, 6 (1):61-68. [10] TATTERSALL I, DELSON E, COUVERING JV eds. Encyclopedia of Human Evolution and Prehistory [M]. New York and London: Garland Publishing, 1988. [11] GUO S, HUANG W, HAO X et al Fission track dating of ancient man site in Baise, China, and its significances in space research, paleomagnetism and stratigraphy [J]. Radiation Measurements, 1997, 28(1-6):565-570. [12] HOU Y, POTTS R, YUAN B et al. Mid-Pleistocene Acheulean-like stone technology of Bose basin, South China [J]. Science, 2000, 287(5458):1622-1626. [13] DAI E. The Paleoliths found at Lantian man locality of Gongwangling and its vicinity [J]. Vertebr PaleAsiatica, 1966, 10(1):30-32. [14] HUANG W, WANG D. La recherche recente sur le paleolithique ancien en Chine [J]. L’Anthropologie (Paris), 1995, 99(4):637-651. [15] BLACK D, TEILHARD de CHARDIN P, YOUNG CC et al. Fossil Man in China [M]. Geol Mem, 1933, Ser A (11).

114

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

[16] FREEMAN LG. Paleolithic archaeology and paleoanthropology in the People’s Republic of China [A]. In: HOWELLS WW, TSUCHITANI PJ eds. Paleoanthropology in the People’s Republic of China, CSRPC Report. 1977, (4):79-113. [17] BORDES F. The Old Stone Age [M]. New York and Toronto: McGraw-Hill Book Company, 1968. [18] HUANG W, HOU YM, SI X. Stone industry from Panxian Dadong, a cave site of Southeastern China [J]. Acta Anthropol Sin, 1997, 16(3):171-192. [19] PEI WZ, CHIA (JIA) LP. Study of Tingtsun (Dingcun) Palaeoliths [A]. In: PEI W ed. Report on the excavation of Paleolithic sites at Tingsun, Hsiangfenhsien, Shansi province, China. Beijing: Sciences Press, 1958, 97-111. [20] JIA LP, GAI P, LI Y. New materials from the Paleolithic site of Shuidonggou [J]. Vertebr PalAsiatica, 1964, 8(10):7583 (in Chinese with Russian abstract). [21] WANG J, WANG X, CHEN Z. Xiachuanian culture, an investigation at Xiachuan site of Shanxi [J]. Acta Archaeol Sin, 1978, (3). [22] PEI WC. The Upper Cave of Choukoutien (Zhoukoudian) [M]. Palaeontol Sin, 1939, N Ser D (9). [23] HUANG WP, HOU YM. A perspective on the archaeology of the Pleistocene-Holocene transition in North China and the Qinghai-Tibetan Plateau [J]. Quat Internat, 1998, 49/50:117-127. [24] YOU Y and WANG F. An decorated antler from Xinglong county, Hebei province [A]. In: ZHOU G et al. eds. The 60th Anniversary Essays for Discovery of the first Peking man’s skull. Beijing: Science and Technique Press of Beijing, 1992, 38-41. [25] HUANG W, ZHANG Z, FU R et al. Bone artifacts and ornaments from Xiaogushan site of Haicheng, Liaoning province [J]. Acta Anthropol Sin, 1986, 5 (3):259-266. [26] LIU T. Postscipt [J]. Quat Sci, 1999, (4). [27] HUANG W. On the typology of heavy-duty tools of the Lower Paleolithic from East and Southeast Asia (Comment on the Movius’ system) [J]. Acta Anthropol Sin, 1993, 12(4):297-304. [28] WANG P. The role of West Pacific marginal seas in glacial aridification of China: a preliminary study [J]. Quat Sci, 1995, (1):33-42. [29] LIU T, DING Z. Progresses of loess research in China (Part 2): Paleoclimatology and global change [J]. Quat Sci, 1990, (1):1-9. [30] SUN X, LI X, LUO Y. Environment change from pollen record in deep sea core from northern South China Sea [J]. Quat Sci, 1999, (1):18-26. [31] LIU T, SI Y, WANG R et al. Table of Chinese Quaternary stratigraphic correlation remarked with climate change [J]. Quat, Sci, 2000, 20(2):108-128. [32] PEI WC. Professor Heri Breuil: Poineer of Chinese Paleolithic archaeology and its progreess after him. Miscelanea in homenaje al Abate Heri Breuil [M]. Vol. 2(E Ripoll ed.), Barcelona, 1965, 251-271.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

115-118

Trends Peculiar to the Chinese Palaeolithic Marcel OTTE (Prehistory Department, University of Liège, 7 place du XX Août A1, B-4000 Liège, Belgium.)

Abstract The Palaeolithic of China is very special in nature through its autonomy and its enormous antiquity. It appears to have been isolated very early from the African continent, and underwent its own original development. Its study enables one to perceive phenomena of convergence, and trends that are peculiar to the human mind, reflected in morphology and in industries. This tradition culminates in an autonomous origin of agriculture that is rooted in the local Palaeolithic.

Key words:

Palaeolithic; China; Evolution

The successive forms of human skulls discovered in China from different phases of the Palaeolithic display some constant and coherent trends (Fig. 1). They can be classed in accordance with the development of cranial capacity, the reduction of bony protuberances, the retreat of the face, and the general gracilisation of structures. All these elements are responses to global mechanical modifications linked both to the manipulation of objects and to the development of the cerebral functions. This vast, profound and complex phenomenon seems to have been perpetually active, following the same orientation, from the very start and without any major interruptions. It seems to function in parallel with other regions of the world in the form of a convergence. Seen from this viewpoint, the Far East is both isolated and very extensive. The evolutionary processes seem to be deployed continually through accentuating the original trend more emphatically than in other places where interregional exchange interferes with our global understanding. In China, we thus have an example of autonomous human evolution, free of the constraints that result from successive acculturations, and contrasting with the Near East which was used as a corridor, and with South-East Asia which functioned as a cul-de-sac, analogous to Europe. Hence, the forces that came into action from the very start of humankind had a tendency to modify morphology towards a "modern" aspect. This trend is especially clear and harmonious in China, but is not exclusive to this region: in all places it traverses human evolution, sometimes with fits and starts which were interpreted as traces of migrations. These modifications in bone are in fact the indirect material reflection of development and behaviour. This development gets underway through the successive acquisition of different techniques and of language. The bony forms thus express far more fundamental modifications of a spiritual nature. They themselves seem to evolve in parallel on different continents. When one turns to the production of tools, a similar trend is revealed, both continuous and coherent (Fig. 2 and 3). The reduction of a stone block, the extraction of controlled flakes and the ever-increasing calibration of blades and then bladelets suggest the same domination of mind over matter, in the same way as in Africa or Europe, but here without the jolts caused by invasions. China thus presents a model of the relationship between physical and technical evolution, towards the constitution of present-day humankind. This autonomy is displayed until the Neolithic, when agriculture appears in isolation and very early. The study of the Chinese Palaeolithic enables one to analyse some global phenomena, peculiar to the human mind, in terms of convergence and tendencies, that are reflected both in techniques and in bony remains [1]. Biography: Born in Liège, Belgium, in 1948, Marcel Otte obtained two doctorates in the History of Art and Archaeology at the University of Liège concerning the Upper Palaeolithic of Europe. He has been the Professor of Prehistory at the Univeristy of Liège since 1990, an instructor since 1982.

ACTA ANTHROPOLOGICA SINICA

116

Supplement to Vol. 19, 2000

Liujiang

135129,000

Maba

209,000

Dali

418,000

Locality 1, Zhoukoudian

>780,000

Gongwangling, Lantian

Figure 1

Successive forms of human skulls discovered in China (after Wu & Poirier Olsen [3], Tattersall [4])

[2]

, Wu and

117

OTTE: Trends Peculiar to the Chinese Palaeolithic

3

4

2

1

Figure 2

1. Gongwangling (Lantian), > 780,000 BP; 2. Zhoukoudian, locality 15, early Upper Pleistocene; 3. Shuidonggou, early Upper Palaeolithic; 4. Xiachuan, 19,600-21,700 BP. (after Wu and Olsen [3])

118

Figure 3

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

Number of technical phases through time necessary to produce the lithics from Figure 2

References: [1] LEROI-GOURHAN A. Le Geste et la Parole [M]. Paris: Albin Michel, 1964. [2] WU XZ, POIRIER FE. Human Evolution in China. A Metric Description of the Fossils and A Review of the Sites [M]. Oxford: Oxford University Press, 1995. [3] WU RK, OLSEN JW. Palaeoanthropology and Palaeolithic Archaeology in the People's Republic of China [M]. New York: Academic Press, 1985. [4] TATTERSALL I. The Fossil Trail. How We Know What We Think We Know About Human Evolution [M]. Oxford: Oxford University Press, 1995.

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

119-125

A Use-Wear Study of Lithic Artifacts from Xiaochangliang and Hominid Activities in Nihewan Basin SHEN Chen 1 , CHEN Chun 2 (1. Royal Ontario Museum, Toronto, Canada, M5S 2C6; 2. Department of Cultural Relics and Museology, Fudan University, Shanghai, China, 200433)

Abstract Xiaochangliang is a well-known Paleolithic site dated to the early Pleistocene in the Nihewan basin, North China. The 1998 excavation yielded 901 lithic artifacts along with many mammalian fauna. A total 126 specimens were selected for use-wear analysis. The samples were examined under a Nikon SMZ800 stereoscopic microscope with magnification from 10x to 180x. A total 17 pieces were identified with 18 employed units and 10 pieces showing microfracture use-wear. The activities inferred from wear types suggest that most specimens were related to meat or hide procession. Due to hydrodynamic process, "activity clusters" of early hominids at the site can not be identified.

Key words:

Use-wear analysis; Low-power technique; Xiaochangliang; Paleolithic

1

Introduction

In this study we presents the results of a use-wear analysis of lithic artifacts recovered from 1998 excavation at the Xiaochangliang site. We will first briefly introduce methods of the fieldwork and the context of the lithic assemblages. Application of the low-power use-wear technique in this study will be briefly discussed, followed by the presentation of analytic results from the microscopic examination. Based on the new evidence, hominids activities in the Nihewan basin during the early Pleistocene will be explored.

2

The Xiaochangliang site

Xiaochangliang is one of well-known lower Palaeolithic sites of the early Pleistocene, located in the Nihewan basin, Hebei Province, North China. The site, first identified in1978, has been regarded as one of the earliest sites in China [1-2]. It has been dated somewhere between 1.67 to 1 million years ago on the grounds of a series of palaeomagnetical dating [3-6]. Over the past 20 years, many excavations have been conducted in the Nihewan Basin, including a Sino-American geological and archaeological expedition in the early 1990s. Among these investigations, a large number of lithic artifacts and faunal remains have been recovered from the Xiaochangliang site. Unfortunately, precise proveniences of these materials were not duly recorded, making difficult any further investigations of hominids activities in the region. In 1998 we re-visited the site and conducted a systematic excavation. A preliminary excavation report has been published [7-8].

3

Excavation methods

One of our goals in the 1998 excavation is to explore lithic technology. We are particularly interested in finding more evidence, which could shed new light on hominid behavior during the early Pleistocene in North China. We concentrated our excavation at original Location A where promising density of artifacts was assured as known from previous excavations. The fieldwork exposed 16 contiguous square meters of cultural deposit from the early Pleistocene Nihewan Formation about two and half meters deep below the present surface [7]. Excavation was carried out vertically in each arbitrary level of 10 cm. A total of 8 levels were revealed before the cultural deposit ends on the top of a sterile sediment of reddish clay. More than four thousands lithic artifacts and bone remains were recovered from the excavation, most of which

120

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

are from level 3 to level 5 [7]. All pieces larger than 10 mm in size were remained in situ before being recorded three-dimensionally. Small bones or bone fragments and flake debris were also recovered through a ¼ inch screen. The spatial distribution of artifact was later reconstructed through computer database designed for the project.

4

Lithic artifacts

A total of 901 lithic artifacts were unearthed from the 1998 field season; small flakes and irregular chunks are predominant. Lithic artifacts from Xiaochangliang were classified into five categories: nodule, core, formal type, debitage, and debris. In this study, we define formal type that replaces a conventional “tool” category, in order to distinguish typological “tools” from functional “tools.” Formal types are artifacts that show clear evidence of intentional retouches so that the pieces are usually classified on the basis of typological terms, such as scrapers, burins, and points, etc. On the contrary, debitage are flakes without modification at all, but somehow remains useable in function. In this functional study, we realize that both modified flakes (formal types) and unmodified flakes (debitage) have equal potentials to have been used as tools at the Xiaochangliang site. However, debris refers to completely waste flakes given their small size (usually <15mm). The spatial distribution of lithics over the excavation units shows no clear pattern of artifact clusters over the levels. The distribution of small debris recovered from screens shows no concentration patch either; instead, debitage and debris display an even distribution in frequencies over excavation units, indicating post-depositional processes of site formation. However, our preliminary observations about the tool manufacture on site, with assistance of our flintkanpping experiment, lead us to believe that the small size and irregularity of lithics may have been attributed to the poor quality of raw materials, confirming previous observations made by other scholars [1, 5, 9]. Reddish or yellowish, rough-grained, highly-fractured cherts are extremely common although more than a dozen kinds of lithic material selected by hominids. In general agreement with previous observations [1, 5, 9-10], we find no evidence yet for standardization of tool manufacture at Xiaochangliang. For further investigations of hominid activities on the site, a usewear study of lithic artifacts is helpful. A total of 126 pieces were randomly selected based on their overall shapes that are in good sense useable. Some of the pieces were selected because they display micro edge-damage. These edge-damage pieces were normally classified as utilized flakes. The selected pieces include 4 cores, 7 retouch pieces, 79 flakes, and 36 debris.

5

Use-wear analysis

The approach we employed is the low-power use-wear analysis, which was first initiated by Dr. George Odell in later 70s at Harvard University [11]. The technique is to use a stereoscopic microscope with reflective lighting at a magnification range from 20x to 400x. The low-power usewear analysis concentrates on combination and configuration of both variables of microfractures and abrasion in order to assess how pieces under examination might have been used [12, 18] . It has been a long history of discussion and argument on employment between the low-power versus high-power use-wear technique. The latter, developed by Keeley [14], employs a microscope with incident lighting or an electron scan microscope with up to 2000x magnification, and concentrates on polish wear type to determine use patterns. It has been argued that high-power technique can work more precisely than low-power technique to detect wear patterns. Although it is partly true, the low-power technique has demonstrated its unique advantage and accuracy in usewear assessments [13, 15]. A detailed discussion on these two techniques is beyond the scope of this paper. Over the past twenty years, it is commonly agreed that both techniques have their own merits to inform us use patterning of prehistoric stone tools in the point of use-wear analysis.

SHEN et al.: A Use-Wear Study of Lithic Artifacts from Xiaochangliang and Hominid Activities in Nihewan Basin

6

121

Use-wear analysis in China

Use-wear analyses of lithic artifacts were first introduced to China as early as in the middle 80s, when Tong [16] and Zhang [17] published brief introductory essays on the topic respectively. Tong introduced a microfractural approach based on the publication by Tringham et al. [18], while Zhang gave a review of Keeley’s monograph. The actual performance of use-wear analysis did not adopte until the early 1990’s. So far as we know, only two case studies of microscopic examinations of palaeolithic artifacts were carried out in China; one by Hou on 13 pieces from the Zhoukoudian and 7 pieces from the Ma’anshan site [19-20] and the other by Huang on 25 lithic artifacts from the Shanya Cave site in Shandong Province [21] . Both studies followed principles of microscopic analysis advanced by Keeley [14], therefore the high-power use-wear technique were employed. Both Hou and Huang built up reference collections by their own use-wear experiments. Furthermore, Hou performed a blind test before the examination of archaeological specimen [19] . These two use-wear studies were still in incipient stage; however, the works were first use-wear analyses undertaken on Chinese palaeolithic materials.

7

Micro-fracture and abrasion

In this section, we will concentrate on the criteria applied in this study. Micro-fracture refers to fractures and edge damage caused during tool utilization, whereas abrasion refers to impressions and marks left by pressure from contact during use. Common micro-fracture variables that are used to determine use-wear types are: scar termination, scar pattern, scar size, and scar distribution. Abrasion comprises three important patterns: edge rounding, polish, and striation. Identifiable wear traces will be confidently identified if artifacts are used long enough. However, use-wear may not be successfully detected due either to poor raw materials quality or to a fact if tools were used not long enough before any micro-fracture and abrasion developed on used edges. The presence of micro-fracture in different scarring combinations provides substantial clues of wear types, and abrasion is critically important due to its excellent indication of the presence of use-wear.

8

Wear types

Wear types refer to a set of combination and configuration of scarring in association with rounding, striation, and polish, which provides substantial clues to the assessment of use-wear. Wear types are defined in terms of tool motions and worked materials. Both tool motions and worked materials can be confidently ascertained through interpretation of a complex combination of microfracture and abrasion. For example, cutting and sawing generally produces scarring on both sides on a working edge. However, cutting is usually characterized by a unidirectional orientation, while sawing is represented by a bi-directional orientation of scar pattern. For both motions, striations are parallel to the edge, if present. Polish is likely on both surfaces of a working edge, along an edge line. In slicing or carving, which may produce similar pattern to the above, scarring tends to be located more on one surface than on the other because of the angle of movements. Striation, if it presents, is often unifacial and usually slanted, or diagonal to the edge. Scraping and shaving produce unifacial scarring most commonly. Polish appears on the side in contact with worked material. Usually, planing or whittling produce more abrasive wear on the surface than scraping and shaving do. In scraping and shaving, scarring is clumped on the working edge that sometimes shows evidence of crushing. Striation is usually perpendicular to the working edge. Drilling is a rotation motion, which displays wear type of bi-directional scarring, symmetrical along the axis of the use edge. Rounded and crushed edges are expected. Polish is confined to the edge rather than on the surface due to the contact with worked materials.

122

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

Although a worked material is more difficult to be detected than tool motion with low-power technique, it is certainly possible that varying degrees of resistance of worked materials can be determined according to different wear types. Thus worked materials could be exactly inferred. In this study a resistance grade of worked materials are divided into eight levels: from the softest (1) to the hardest (8). Soft materials include animal meat, hide, leather, plant or vegetable. Soft materials produce uneven patterns of small feather-terminated fractures. Working on soft animal material such as fresh skin, fat, or meat may result in extensive matte polishing and light edge rounding, while work on soft plant mostly produce bright polish, if tools are used long enough. Striation will be not generally present. Medium resistance materials refer to seasonal or dry wood, dry hide, frozen meat, or fresh soft animal bone. Scarring from woodworking typically exhibits medium-to-large sized scars and a “rolled-over” pattern on the working edge. The common scarring resulting from medium-soft material processing tends to be feather-terminated and poorly defined on the interior borders, whereas scarring from medium-hard material processing appears as hinge-terminated and distinct interior borders. Bright polish and medium-to-heavy rounding usually present, but striations are rare. Abrasion of medium animal material includes rapid edge-rounding, matte polish, and occasional striations. Scarring of such material exhibits contiguous-to-clumped patterns of medium-sized feather or step termination. Hard materials include dry bone, antler, and inorganic hard materials. The most diagnostic wear of this type is step-terminated and medium-to-large sized scarring, and roughened/crushed edges. The features produced by hard animal and dried wood include matte polish and contiguous patterns of large termination scars, while dried wood processing usually produce bright polish and uneven patterns of large hinge fractures. Hard inorganic materials produce heavy rounded edges, flattened projections and surfaces, diffused polish, and large step-terminated scars.

9

Analytic methods

A collection of 126 pieces from Xiaochangliang was examined under a Nikon SMZ800 stereoscopic microscope with magnification from 10x to 180x. Artifacts was cleaned with soap and clean water, and wiped with dry cotton cloth before examination. The samples were then scanned under a microscope with 20-40x magnification, to look for possible utilized locations. Edge damage and edge rounding were two main elements used to assess whether a specimen was used or not. If a sample contains possible use-wear, then magnifications were enlarged in order to detect polish and striation. Magnification ranging from 30x to120x was frequently used for pieces containing light use-traces. Once unambiguous abrasion such as use-polish and rounding was determined, employed units and employed locations were assessed. Once an employed location was determined, the sample was examined without the microscope. The morphology of the specimen was inspected to determine possible activities in terms of edge shape and size, to examine possible holding or hafting positions and orientation, and to determine the possibility of how microfracture and abrasion might be formed in terms of its curvature. Then, by using a proper range of magnifications (depending on wear types), samples were searched for micro-fracture and abrasive patterns on both surface, from the edge inward. Scar sizes, terminations, and distributions were examined and recorded, also including patterns of rounding, polish, and striation. Finally, edge-wear variables were recorded, and possible tool motions and worked materials were assigned. It is noteworthy that, if a sample contains some features of use-traces but its overall patters of wear type is uncertain, thus its wear type is hard to determine, the sample is assigned to “maybe” category. It means that these samples might have been used but use traces were not confident enough to be ascertained, due to various reasons or possibilities such as raw materials, breakage of flake, and the length of used time, etc.

SHEN et al.: A Use-Wear Study of Lithic Artifacts from Xiaochangliang and Hominid Activities in Nihewan Basin

10

123

Results

A total of 17 samples display clear used traces, accounting for 13% of the total samples (n=126) for examination. In addition, 10 pieces show some micro-fracture use-wear but contain little or no polish and rounding. Therefore, they can not be confidently assigned to used specimens. These pieces are fallen into the “maybe” category. Rest samples show no clear use-wear, indicating that these samples either might not have been used or used slightly and discarded before any wear type was developed. Because one flake might have been used more than once at different locations, employed unit is defined as a segment of flake edges where use-wear was detected. Employed unit is a basic analytic unit in functional study. Among 17 used samples, only one piece contains two employed units, bringing up to a total of 18 employed units. In addition, two specimens display a wear type caused by possible handholding at one or two sections along edges. The study suggests that two tool motions were equally important in tool utilization at Xiaochangliang: scraping and cutting/sawing. Seven flakes were used as scraping tools while six pieces employed as cutting or sawing tools, accounting for 38.9% and 33.4% of total 18 employed units, respectively. Three units were employed in drilling motion. One flake (XCL98037) contains two employed units; both used as drilling. One unit shows distinct wear type of slicing or carving, while one employed unit has no clear indication of tool motion which could be assigned to the “indeterminate” category. As far as the worked materials are concerned, we found it is difficult to ascertain the type of worked materials on some samples owing to weakly developed abrasion on their poor quality raw materials. As a result, 5 employed units were assigned to the indeterminate category. However, the most popular wear type concerning worked materials is soft-animal, displaying on six employed units. This suggests that most used specimens from Xiaochangliang might have been employed to process meat or hide. Two units, displaying wear types of medium-soft materials such as animal or vegetable based on hardness grade, may refer to fresh wood or frozen animal meat or hide. Two units, with wear types of medium animal materials, suggest that these specimens might have been used in meat processing. Another two units in association with the wear type of medium-hard vegetable materials refer to processing dry or seasonal wood. Only one unit is related to hard materials, probably dry bone. No wear type of processing very hard materials such as antler has been found. After tool motion and worked materials were across-examined on employed units, we found that a variety activities were closely related with soft animal processing. Among 13 employed units which worked materials can be identified, three employed units displays use-wear traces resulted from cutting animal meat or skin. Cutting or sawing wears are also primarily associated with both fresh wood or frozen meat (2 units) and dry wood (1 unit) processing. Scraping, as another primary tool motion, is found in association with hide-working (2 units), fresh bone (1 unit), dry wood (1 unit), and dry bone (1 unit) processing. Among three drilling specimens, two are unidentifiable for worked materials, while the other might have been used for drilling fresh bone. In addition, one piece displays the wear type of meat slicing or cutting. One specimen contains obvious use-wear. Unfortunately, both tool motion and worked materials can not be positively identified.

11

Examples of use-wear assessments

XCL98037: This flake contains two workable projection bits, where use-wear was detected. The large tip might have been employed as a drilling portion indicated by a large snapped bit and heavy rounded due to a rotation motion. Due to lacking crushed scars and only containing a few stepped scars with patch polish along a working edge, this sample is assigned to a drill working on frozen meat with bone contract. On the other bit, we notice a row of scarring produced by clear rotation motion orientated along the edge. Feathered and hinged-terminated scars occur bifacially. A large scar of rolled-over pattern at the end of a tip may indicate woodworking. However, because of

124

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

no clear polish and little rounding on the edge, it is inadequate to assign any worked materials to this specimen. In other words, this sample might have been used as a drilling tool, but its worked material is uncertain. XCL98272: This flake was used for scraping dry wood. The use-wear exhibits a raw of small and hinge-terminated scars on the dorsal side, and polish, bright appearance, and matt pattern on the ventral side. XCL98395: This is a flake fragment, probably broken by scraping activities. Its bit might have been worked, although it is tiny. The scraping bit contains wear types similar to those of experimental specimen (ES13) used for scraping dried pig bone. A row of scarring was basically observed on the dorsal side, along with medium-sized hinged scars. Used-polish can be seen along the edge of the ventral side where worked material was contacted. A few striations perpendicular to the working edge on the ventral side were also detected, strongly indicating scraping motion. However, worked materials can not be confidently ascertained. XCL98623: Similar to the above piece, this fragmentary end-bit might have been employed to scrape hard materials like bones, which may cause breakage. Identical to the wear type on ES13 and XCL98395, its dorsal side contains unifacial scarring of medium-sized stepped and/or hinged scars while the ventral side displays a few striations parallel to the edge where polish can be detected. Heavy rounding as well as medium-sized stepped scars may indicate a wear type of bone processing. XCL98826: This complete flake is of a reddish chert with a nice working edge. The work edge might have been employed to cut or saw seasonal wood owing to the presence of medium-sized feathered scar in directional and roll-over pattern on the both side. Little polish and striation were detected due to poor quality of the raw material. This sample, in particular, exhibits two locations with scaring fractures which might have been caused by handholding. Typical handholding wear is indicated by a raw of small-sized feathered scars evenly distributed along an edge where a depression was caused by figure pressures. Use-wear from one of these two locations was identical to the handholding wear examined from an experimental specimen.

12

Discussion and Summary

A total of 126 flakes from the Xiaochangliang assemblage during the 1998 excavation season were examined microscopically. Seventeen used specimens and 10 “maybe” used specimenss were determined by employing low-power use-wear technique. Eighteen employed units were detected from the 17 used pieces, and 3 units of handholding from 2 specimens were also found. A variety of activities has been inferred from wear types examined on from these samples from Xiaochangliang. Most specimens might have been related to meat or hide processing. Cutting and scraping motion are common in association with animal meat (fresh or frozen), hide, or fresh and dry bone processing. It suggests that the combination of these used tasks might have been related to butchery activities at the site. Woodworking use-wear is also found but not dominant. Evidence of making wooden tools at Xiaochangliang is not substantial. All use-wear evidence was found on unmodified lithics, none on retouched pieces. Among total 17 pieces, 3 were collected on surface. The rest of 13 pieces together with other “maybe” used pieces were distributed randomly over the excavated units. No activity areas, represented by spatially concentrated clusters of these used and “maybe” used pieces, can be identified, indicating their secondary deposition after being discarded. The transportation and redeposit of lithic artifacts are supported by either the evidence of bone modification and the presence of orange sandy soil. Interpretation on site formation is beyond the scope of this study, and will be discussed elsewhere. References: [1] YOU Y, TANG Y, LI Y. Palaeolithic discoveries in the Nihewan formation [J]. Chinese Quat Res, 1980, 5(1):1-13 (in Chinese). [2] JIA L. China's earliest Palaeolithic assemblages [A]. In: WU R, Olsen JW eds. Palaeoanthropology and Palaeolithic Archaeology in the People's Republic of China. New York: Academic Press, 1985, 135-145.

SHEN et al.: A Use-Wear Study of Lithic Artifacts from Xiaochangliang and Hominid Activities in Nihewan Basin

125

[3] CHENG G, LIN J, LI S et al. A preliminary peplaomagnetic survey of the Nihewan Bed [J]. Sci Geol Sin, 1978, 3:247252 (in Chinese). [4] LI H, WANG J et al. Magnetostratigraphic study of several typical geological section of north China [A]. In: Q. R. A. of China ed. Quaternary Geology and Environment of China. Beijing: the China Ocean Press, 1982, 33-38. [5] POPE GG, KEATES SG. The Evolution of Human Cognition and Cultural Capacity: a view from the Far East [A]. In: CURRUCCINI RS, CIOCHON RL eds. Integrative Paths to the Past: Paleoanthropological Adances in Honor of F. Clark Howell. Englewood Cliffs: Prentice Hall, 1994, 531-568. [6] TANG Y, CHEN W, LI Y. The mammalian fauna from the Xiaochangliang site, Yangyuan, Hebei and its age [J]. Vertebr PalAsiatica, 1995, 33(1):74-83 (in Chinese with English abstract). [7] CHEN C, SHEN C, CHEN W et al. 1998 Excavation of the Xiaochangliang site at Yangyuan, Hebei [J]. Acta Anthropol Sin, 1999, 18(3):225-239 (in Chinese with English abstract). [8] SHEN C CHEN C. 1998 Excavation of Xiaochangliang, an Early-Pleistocene site in Northern China. Curr Res Pleistocene, 16 (In press). [9] KEATES S. The Significance of the older Palaeoithic occurrences in the Nihewan Basin, northern China [D]. Unpublished Ph D dissertation. Oxford: University of Oxford, 1995. [10] HUANG W. On the stone industry of Xiaochangliang [J]. Acta Anthropol Sin, 1985, 4(4):61-68 (in Chinese with English abstract). [11] ODELL GH. The Application of Micro-wear Analysis to the Lithic Component of an Entire Prehistoric Settlement: Methods, Problems and Functional Reconstructions [D]. Unpublished Ph D dissertation. Department of Anthropology, Harvard University, 1977. [12] ODELL GH. The mechanics of use-breakage of stone tools: some testable hypotheses [J]. J Field Archaeol, 1981, 8:197-209. [13] ODELL, GH. Stone Tools and Mobility in the Illinois Valley: from hunter-gatherer camps to agricultural villages [M]. International Monographs in Prehistory. Michigan: Ann Arbor, 1996. [14] KEELEY LH. Experimental Determination of Stone Tool Uses [M]. Chicago: The University of Chicago Press, 1980. [15] SHEA JJ. On accuracy and relevance in lithic use-wear analysis [J]. Lithic Technol, 1987, 16(2-3):44-50. [16] TONG E. The study of lithic usewear [J] (in Chinese). Prehist Res, 1983, 2:151-158. [17] ZHANG S. A comment on Lithic Use-Wear Analysis [J]. Acta Anthropol Sin, 1986, 5(4):392-395 (in Chinese). [18] TRINGHAM RG, COOPER G, ODELL G et al. Experimentation in the Formation of Edge Damage: A New Approach to Lithic Analysis [J]. J Field Archaeol, 1974, 1:171-196. [19] HOU Y. An experimental study of lithic usewear [J]. Acta Anthropol Sin, 1992, 11(3):202-215 (in Chinese with English abstract). [20] HOU Y. A preliminary study of usewear on archaeological specimens [J]. Acta Anthropol Sin, 1992, 11(4):354-361 (in Chinese with English abstract). [21] HUANG Y. A study of lithics from the Shangya Cave, Yiyuan [J]. Acta Anthropol Sin, 1994, 13(1):1-11 (in Chinese with English abstract).

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

126-131

Early Palaeolithic Occupation of Southwestern China and Adjacent Areas of Vietnam and Thailand Lynne A. SCHEPARTZ1, Sari MILLER-ANTONIO2, Deborah A. BAKKEN3 (1. Department of Anthropology, University of Cincinnati, P.O. Box 210380, Cincinnati, OH 45221-0380 USA; 2. Department of Anthropology and Geography, California State University at Stanislaus, 801 W. Monte Vista Avenue, Turlock, CA 95382 USA; 3. Sponsored Programs, Field Museum of Natural History, Roosevelt Road at Lakeshore Drive, Chicago, IL 60605-2496 USA)

Abstract The Chinese provinces of Sichuan, Yunnan, Guizhou and Guangxi and neighboring areas in Thailand and Vietnam were a gateway for the dispersion of populations into East Asia and Island Southeast Asia. It is therefore important to examine the diversity of environments and resources that the prehistoric inhabitants encountered, and to identify adaptations and technologies that may have shaped subsequent exploitations of Asian environments.

Key words:

Paleolithic Archaeology; Southwestern China; Vietnam; Thailand

1

Introduction

The early expansion of humans into Asia is now documented at several localities across the continent. The route by which hominids expanded into Southeast and East Asia is largely unknown, but the discovery of early sites further west provides support for possible movements from northern Pakistan [1] and subsequent rapid dispersal to the northeastern and southeastern edges of Asia. The specific geography of southwestern China and northern mainland Southeast Asia was a key element in these dispersions, forming a corridor for hominid and mammalian movements. The role of the region as a conduit for human populations is undoubtedly due to the drainage systems and monsoonal weather pattern that resulted from the uplift of the Qinghai-Tibet Plateau and the active development of the eastern Yunnan-Guizhou Plateau during the Pleistocene [2]. Major river systems drain these plateaus, creating rich econiches and pathways for dispersal and movement.

2

Paleoenvironment

The Pleistocene environments of Asia provided several new climatic conditions and challenges for early hominid populations. Fluctuating temperatures and levels of precipitation altered the distribution of subtropical forests and sea levels. Colder periods and episodes of low sea level led to seasonal forest expansion [3]. Tree lines and vegetative zones shifted dramatically, falling by as much as 1500 m [4]. Studies of speleothem formation in the karst mountains of Guizhou suggest that warm humid conditions prevailed from 240-180 ka and again between 130-100 ka. Under those conditions, the vegetation resembled present-day subtropical rain forest [5]. In the intervening cooler period, many warm-adapted species such as primates moved southward [6]. Levels from Panxian Dadong cave dating to this time, which have relatively impoverished primate representation, illustrate this faunal shift. In comparison with the more temporally diverse faunas of northern China beyond the Qinling range, the Stegodon-Ailuropoda faunas of south China and the northern regions of mainland Southeast Asia show fewer changes. This interesting situation complicates the use of fauna for differentiating the different stages of the Pleistocene-- few taxa are temporally or stratigraphically diagnostic as most persist throughout the Pleistocene [7]. Faunal assemblages from the region provide evidence for the persistence of forested, tropical niches and possible refugia throughout the Pleistocene. The Plio-Pleistocene deposits from Biography: The authors are members of the Panxian Dadong Collaborative Project, a team that explores the evolution of behavioral complexity in the Middle Pleistocene site of Panxian Dadong, Guizhou Province.

SCHEPARTZ et al.: Early Palaeolithic Occupation of Southwestern China and Adjacent Areas of Vietnam and Thailand

127

Longgupo Cave (Wushan) have an extremely diverse warm/subtropical fauna including Gigantopithecus and other primates, elephant-like forms such as Stegodon, deer, large bovids, several pig species and the panda [8]. The middle Pleistocene fauna from the Yanjinggou fissures in Sichuan includes Stegodon, several monkeys, large bovids, muntjaks, pigs, the giant tapir, and pandas. To the south, the middle Pleistocene age Lang Trang caves in northern Vietnam contain plentiful remains of humid tropical rainforest species such as pigs, the muntjak and other deer, and various monkeys [9]. Orangutans, gibbons, rhinoceros, water buffalo, Stegodon, and elephants are also represented. Similar taxa are found in the Hang Hom, Phai Ve and Keo Leng caves from neighboring provinces [10]. This faunal assemblage in northern Vietnam is similar to other Southeast Asian faunas, especially those from Lida Ayer cave in Sumatra, that are thought to date to the Upper Pleistocene [11]. At the end of the Middle Pleistocene there was a cooling period and tropical Chinese faunas began to shift southward [6, 11]. The late Middle Pleistocene levels from Dadong Cave in Guizhou, China are characterized by the genera Stegodon and Rhinoceros. Orangutans, gibbons, several monkey species, pandas and the giant tapir are present, but not common. Further to the south, Snake Cave in northeastern Thailand has a wet tropical forest fauna including bats, pandas, the hyena Crocuta, rhizomyid rodents, orangutans, langurs, and flying squirrels. The locality is dated to between 125 ka and 80 ka (interstadial 5) using U/Th [12]. Many of the taxa found in the localities discussed here persist until the terminal Pleistocene, as documented from Nguomian and Son Vi archaeological sites in Vietnam. But by the early Holocene orangutans, pandas, Stegodon, and tapirs are no longer present in the faunas associated with archaeological sites [10].

3

Evidence for Earliest Occupations

The evidence for the initial occupation of the region comes from a small number of sites. They are briefly discussed in chronological order here. A strikingly low density of artifacts complicates the interpretation of the early localities. This characteristic is often explained by suggesting that Asian tool kits relied heavily on bamboo and hardwoods for raw material [13-14]. The important implication of this view is that hominids had thorough knowledge of the functional properties of diverse resources in forested environments, even though the archaeological evidence for these adaptations is based more on negative, rather than actual, evidence. The earliest reported locality is Longgupo cave, situated just south of the Yangtze River in eastern Sichuan. Two modified pebbles, an isolated hominid incisor, and a partial mandible are described in Huang Wanpo et al. [15]. Subsequently, more artifacts were recovered and described [16]. Although the published date of 1.96 to 1.78 Ma generated great excitement and interest, the interpretation of these fossils as representing a pre-erectus form of hominid is debated [16-18]. The Yuanmou Formation in the hills of northern Yunnan contains rich fossiliferous fluviallacustrine sediments with a rich faunal record. Two incisors assigned to H. erectus are surface finds, but a small number of flaked stone tools (cores, flakes, choppers, pointed tools and scrapers made of quartz and quartzite) were excavated from nearby localities [19]. There is still no consensus on the absolute chronology of the Yuanmou archaeological materials. Most recently the early age of 1.7 Ma was supported by Zhang et al.'s [20] paleomagnetic and lithostratigraphic studies. To the east in Guangxi, the Bose Basin localities occur in sedimentary deposits along the Youjiang River. Excavations in 1988-89 and 1993 revealed a stone artifact assemblage of large flake and core tools fashioned on quartz, quartzite, sandstone and chert [21-22]. Hou et al. [22] describe the Bose artifacts as ovate large cutting tools with Acheulean affinities. While there are no fauna or human fossils from Bose, the tools are associated with tektites dating to 0.803 Ma. Contemporaneous with the Bose Basin localities, the earliest sites in Thailand are Mae Tha, Mae Tha South, and Ban Don in the intermontane basins of Lampang and Phrae provinces, northern Thailand) (Map 1.). A small number of stone tools, manufactured mostly on quartzite river cobbles, were recovered. Potassium-argon and paleomagnetic dates from associated basalts are in the range of 0.8-0.6 Ma [23-24]. Pope [23] and Keates suggest that Middle Pleistocene humans living at the Kao

ACTA ANTHROPOLOGICA SINICA

128

Supplement to Vol. 19, 2000

Pah Nam rockshelter (Wang River Valley, northern Thailand) showed considerable behavioral flexibility and innovation by selectively importing basalt cobbles to construct hearths. Discoveries at Sung Noen in Nakhorn Ratchasima province of northeastern Thailand include an assemblage of pebble tools, flakes, and scrapers made on petrified wood that resemble the Anyathian of Burma [24]. Following these early sites, there are no well-documented archaeological sites until the late Pleistocene, and they are located much further south and much later in time (approximately 2737ka[25]).

Map 1

Localities: 1 Longgupo, 2 Yuanmou basin, 3 Bose localities, 4 Panxian Dadong, 5 Guanyindong, 6 Tongzi, 7 Bianbian, 8 Tham Khuyen, 9 Lang Trang, 10 Mae Tha

The Palaeolithic occupation of Vietnam begins at approximately 500 ka with data from upland karstic caves: Tham Khuyen, Tham Hai, Tham Om, Hang Hum, Keo Leng [26], and the Lang Trang caves [9] (Map 1.). Each of these localities has yielded isolated teeth identified as hominid, although no stone tools or other remains of Pleistocene human activity are known. Recently, international teams have focused on dating the older, fossil-bearing sediments. Ciochon [9] and Olsen report preliminary ESR dates ranging from 480 +/- 40 ka to 146 +/- 2 ka for the Lang Trang caves. Ciochon et al. [27] re-investigated Tham Khuyen in Lang Son Province near the Chinese border. The absolute age of the main fossil-bearing levels is estimated on the basis of ESR and U/Th analyses to be 475 +/- 125 ka. This Middle Pleistocene age is in agreement with the faunal assemblage that also

SCHEPARTZ et al.: Early Palaeolithic Occupation of Southwestern China and Adjacent Areas of Vietnam and Thailand

129

includes Gigantopithecus, orangutans and other components of a Stegodon-Ailuropoda fauna. Elsewhere in Southeast Asia Gigantopithecus-bearing deposits are dated from the Lower Pleistocene up through the Middle Pleistocene, when they are known to co-occur with H. erectus. Two issues complicate our understanding of the Vietnamese caves. First, the depositional environments are extremely complex and there is evidence for mixing and reworking at most sites. While it seems quite likely that some of the deposits date to the Middle Pleistocene, these caves also contain later materials, as demonstrated by Ciochon [9] and Olsen's more detailed examination of the Lang Trang caves. A second complication is the difficulty in identifying and attributing the teeth to any hominid taxon: worn hominid teeth are easily confused with those of fossil orangutans, and it is rarely possible to distinguish sapiens from erectus teeth using metric criteria. Nui (Mound) Do, Nui Nuong, and Quan Yen in eastern Thanh Hoa province are the most controversial early sites in Vietnam. Materials surface-collected from these elevated open-air localities were argued to be the oldest Vietnamese stone tools. Pham Vin Kinh and Lun Tran Tieu [28] proposed that they were Lower Palaeolithic artifacts, dating on the basis of typology to the Middle Pleistocene (as old as 500 ka). Subsequent excavations on Nui Do have failed to yield similar lithics in situ, although some were recovered from Nui Nuong [26]. Opinion is still divided over the materials from these localities: while some archaeologists continue to accept them as Lower Palaeolithic artifacts, others view them as geofacts, and others think they are blanks for Neolithic or Bronze Age axes and adzes [29]. Olsen [26] and Ciochon stress the composite nature of the collection and suggest that all of these explanations are partially correct. Interestingly, they also suggest that a small number of the large bifaces with cortex retained on their butts and careful flaking and trimming resemble Chinese artifacts from Bose and Dingcun. In the karstlands of mountainous Guizhou, the caves of Yanhui (Tongzi) [30], Bianbian [31], Guanyindong, and Panxian Dadong have yielded abundant Middle Pleistocene archaeological remains and/or hominid fossils. The best-described sites are Guanyindong and Panxian Dadong. While no human fossils have been found at Guanyindong, numerous stone tools and an associated Stegodon-Ailuropoda fauna were recovered from deposits dated to 230 ka by U-series. Leng [32] views Guanyindong as a knapping area based on the distribution of debitage and stone artifacts. The toolmakers selectively chose chert nodules from a source approximately 4 km from the cave. These nodules were intensively utilized and most tools have two or three working edges with steep retouch flake scars. Recent excavations at Panxian Dadong yielded an abundant collection of fauna and stone tools as well as four human teeth. In contrast to the situation at Guanyindong, the Dadong inhabitants made less intensive use of local limestone, chert and basalt to produce expedient flake tools with little standardization. Use of rhinoceros tooth fragments to produce small scrapers suggests that non-lithic raw materials supplemented the stone resources at the cave [33]. ESR dates on rhinoceros tooth enamel suggest that the Dadong upper levels range from 120-150 ka (Rink, pers. comm. 2000), while U-series dates suggest the deeper cave deposits have an antiquity of greater than 300 ka [34].

4

Conclusions

Over the past 35 years, several sites have been investigated in Southwestern China, northern Vietnam, and northern Thailand. The question of the earliest sites remains problematic because of the limited numbers of lithic artifacts found at each locality and the incompleteness of the human fossil record. Although the application of radiometric dating has clarified the time period in question, new issues have emerged. Principal among these is the association between the reported dates and the hominid or artifactual evidence. A resolution of this issue is critical for our understanding of hominid expansions into northern China (as documented in the Nihewan Basin) and Island Southeast Asia. Based on the available evidence for the region considered here, the earliest occupation of Southwestern China and northern Mainland Southeast Asia probably took place between 1.5 and 1 Ma. At localities dating before 1.5 Ma the association between the artifactual or hominid materials

130

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

and the dated sediments is not well documented. Mixed vegetational zones and river courses were important environments for the initial colonization of Mainland Southeast Asia and East Asia. Therefore, valley systems at higher elevations would be the most productive areas to investigate. Because caves and rockshelters are more likely to preserve associated artifacts and fauna, priority should be given to investigating those types of sites. The Paleolithic record becomes more abundant beginning around 700 ka, when sites are known from both Guangxi and Thailand. Following that, sites in the 500 ka range are known from Thailand. The final portion of the archaeological record for the region comes from the caves of Guizhou, which date to approximately 300-100 ka. In the future, it will be critical to fill in these temporal 'gaps'. Patterns of human activity in the region during the Lower and Middle Pleistocene exhibit technological heterogeneity. Lithic raw materials include fossil wood, chert, quartzite cobbles, silicified tuff, limestone, and basalt. At some localities the raw material seems to be selectively chosen, while at other sites the choice appears to be more expedient. The location of sites at upland occupations throughout the Pleistocene may be linked to the stability and versatility of the available resources, the relative richness of the animal biomass, and the availability of non-lithic resources. Acknowledgments: The National Science Foundation, The Leakey Foundation, Wenner-Gren, The Henry Luce Foundation, the University of Cincinnati Research Council and Charles P. Taft Fund, and California State University, Stanislaus supported this work. References: [1] DENNELL RW, RENDELL HM, HURCOMBE L et al. Archaeological evidence for hominids in northern Pakistan before one million years ago [J]. Courier Forschungs-Institut Senckenberg, 1994, 171:151-5. [2] TONG GB, SHAO SX. The evolution of Quaternary climate in China [A]. In: ZHANG ZH, SHAO SX eds. The Quaternary of China. Beijing: China Ocean Press, 1991, 42-76. [3] HEANEY LR. A synopsis of climatic and vegetational change in Southeast Asia [A]. Climatic Change. 1991. 19:53-61. [4] BELLWOOD P. Southeast Asia before history[A]. In: TARLING N ed. The Cambridge History of Southeast Asia. Cambridge: Cambridge University Press, 1992, 55-136. [5] SHEN G. Uranium-series ages of speleothems from Guizhou paleolithic sites and their paleoclimatic implications[A]. In: JABLONSKI N ed. Evolving Landscapes and Evolving Biotas of East Asia Since the Mid-Tertiary. Centre of Asian Studies: University of Hong Kong, 1993, 275-82. [6] JABLONSKI NG. The relevance of environmental change and primate life histories to the problem of hominid evolution in East Asia[A]. In: JABLONSKI N ed. The Changing Face of East Asia During the Tertiary and Quaternary. Centre of Asian Studies: University of Hong Kong, 1997, 462-75. [7] XUE XX, ZHANG YX. Quaternary mammalian fossils and fossil human beings [A]. In: ZHANG ZH, SHAO SX eds. The Quaternary of China. Beijing: China Ocean Press, 1991, 307-74. [8] BAKKEN DA. Taphonomic parameters of Pleistocene hominid sites in China [J]. IPPA Bull (Chiang Mai Papers, Volume 3), 1997, 16:13-26. [9] CIOCHON RL, OLSEN JW. Paleoanthroplogical and archaeological discoveries from Lang Trang caves: a new Middle Pleistocene hominid site from northern Viet Nam [J]. IPPA Bull, 1991, 10:59-73. [10] HO ÁNG XC. Faunal and cultural changes from Pleistocene to Holocene in Vietnam [J]. IPPA Bull, (Indo-Pacific Prehistory 1990, Volume 1), 1991, 10:74-8. [11] VU TL, DE VOS J, CIOCHON RL. The fossil mammal fauna of the Lang Trang Caves, Vietnam, compared with Southeast Asian fossil and recent mammal faunas: the geographical implications [J]. IPPA Bull (Chiang Mai Papers, Volume 1), 1996, 14:101-9. [12] CHAIMANEE Y, JAEGER JJ. Pleistocene mammals of Thailand and their use in the reconstruction of the paleoenvironments of Southeast Asia [J]. SPAFA J, 1994, 3:4-10. [13] POPE GG. A historical and scientific perspective on paleoanthropological research on the Far East [J]. Courier Forschungs-Institut Senckenberg, 1994, 171:23-32. [14] HUTTERER KL. The Pleistocene archaeology of Southeast Asia in regional context [J]. Mod Quat Res SE Asia, 1985, 9:1-23. [15] HUANG W, CIOCHON R, GU Y et al. Early Homo and associated artefacts from Asia [J]. Nature, 1995, 378:275-8.

SCHEPARTZ et al.: Early Palaeolithic Occupation of Southwestern China and Adjacent Areas of Vietnam and Thailand

131

[16] HOU Y, XU Z, HUANG W. Some new stone artifacts discovered in 1997 at Longgupo, southern China [J]. Longgupo Prehis Cul, 1999, 1:69-80 (In Chinese). [17] WANG Q. Assignment of Longgupo Cave hominid incisor from Wushan [J]. Acta Anthropol Sin, 1996, 15(4):320-3 (In Chinese). [18] WOLPOFF MH. Paleoanthropology [M]. Boston: McGraw-Hill, 1999. [19] ZHOU GX, ZHANG XY eds. Yuanmou Man [M]. Kunming: Yunnan Renmin Chubanshe, 1984 (In Chinese). [20] ZHANG ZG, LIU PG, QIAN F et al. New development in research of Late Cenozoic stratigraphy in Yuanmou Basin [J]. Marine Geol Quat Geol, 1994, 14(2):1-18. (In Chinese). [21] HUANG WW, HOU Y. Archaeological evidence for the first human colonization of East Asia [J]. IPPA Bull, 1997, 16(3):3-12. [22] HOU Y, POTTS R, YUAN B et al. Mid-Pleistocene Acheulean-like stone technology of the Bose Basin, South China [J]. Science, 2000, 287(5458):1622-1626. [23] Pope GG, Keates SG. The evolution of human cognition and cultural capacity: a view from the Far East [A]. In: CIOCHON RL, CORRUCCINI R eds. Integrative Pathways to the Past. Englewood Cliffs: Prentice Hall, 1994, 531-67. [24] REYNOLDS TEG. Problems in the stone age of Thailand [J]. J Siam Soc, 1990, 48:109-14. [25] ANDERSON DD. Lang Rongrien rockshelter: A Pleistocene-Early Holocene archaeological site from Krabi, southwestern Thailand [M]. University of Pennsylvania University Museum Monograph, 1990, 71:1-86. [26] OLSEN JW, CIOCHON RL. A review of evidence for postulated Middle Pleistocene occupations in Viet Nam [J]. J Hum Evol, 1990, 19:761-88. [27] CIOCHON R, VU TL, LARICK R et al. Dated co-occurrence of Homo erectus and Gigantopithecus from Tham Khuyen Cave, Vietnam [J]. Proc Natl Acad Sci USA, 1996. 93:3016-20. [28] BUI VINH. The stone age archaeology in Viet Nam: achievements and general model [A]. In: MANGUIN PY ed. Southeast Asian Archaeology 1994, Volume I. Centre for Southeast Asian Studies. University of Hull. 1998, .5-12. [29] PHAM VAN KINH, LUN TRAN TIEU. The Lower Palaeolithic site of Nui Do [J]. Vietnamese Studie, 1978, 46:50106. [30] SHEN G, JIN L. U-series age of Yanhui Cave, the site of Tongzi Man [J]. Acta Anthropol Sin, 1991, 10(1):65-72. [31] CAI H, WANG X, XU C. Paleolith of Bianbian cave at Bijie County, Guizhou Province [J]. Acta Anthropol Sin, 1991, 10:50-7. [32] LENG J. Early Paleolithic Technology in China and India [D]. St. Louis: Washington University, 1992. [33] MILLER-ANTONIO S, SCHEPARTZ LA, BAKKEN DA. Raw material selection and evidence for rhinoceros tooth tools at Dadong Cave, southern China [J]. Antiquity, 2000, 74. [34] SHEN G, LIU J, JIN L. Preliminary results on U-series dating of Panxian Dadong in S-W China's Guizhou province [J]. Acta Anthropol Sin, 1997, 16(3):221-30.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

132-139

A Study of Lower Palaeolithic Cultural Remains from Pallahara in Eastern India Ranjana RAY (Department of Anthropology, Calcutta University, 35, Ballygunge Circular Road, Calcutta 70 0019, India)

Abstract Pallahara is situated on the Garjhat hill area of eastern plateau region of Orissa in Eastern India. Cultural remains of Palaeolithic stage is found from the fluviatile sediments. The stratigraphy consists of alternating deposits of gravel and silt. Three such cycles are observed. The lower most deposit comprises of a bed of lateritic gravel and mottled clay. It is assumed that the Tertiary Quaternary change over has produced the lateritic gravel. The conglomerated gravel bed lying higher than the lateritic gravel bed, the silt bed lying above it and the overlying loose gravel bed have yielded cultural materials belonging to lower Palaeolithic tradition. The typology of the assemblage consists of chopper-chopping tools, handaxes, cleavers and scrapers. Tools are made on both cores and flakes. Cores are either rough nodule or smooth river gravels. Acheulian is the involved technique. Raw materials are quartz and quartzite. Dating is done on the basis of stratigraphy and absolute dates available through the presence of Toba volcanic ash. Both extensive and intensive exploration is carried out in the area. At selected places excavation is done. The work has shown the nature of human adaptation in the contemporary environment, the developmental pattern of culture, selectivity of the early man for habitation site, choice of tool making raw material and perhaps resource utilization process. Unfortunately, besides the Narmada calvaria, no human fossil remain is found from the Indian subcontinent which can give some idea about the physical features of men who were the makers of lower Palaeolithic culture.

Key words:

Eastern India; Gravel bed; Acheulian; Palaeolithic

1 Introduction Palaeolithic culture has got a pan Indian distribution. There are some regional variation in the broad geo-cultural area of the subcontinent, which may be explained in terms of ecology. Accordingly, palaeolithic culture of eastern India may be treated as a culture area having some amount of local variations [1]. Present work is done in eastern India with a focus on Pallahara region. The reason for selection of the area is that the present author has worked intensively in the region for more than a decade. The evidences of Palaeolithic culture in Pallahara region came to light as early as nineteenth century [2]. Out of the four tools collected by him two came from this area. But Bose and Sen had done first systematic study of Palaeolithic material in mid-twentieth century [3]. They carried out both intensive and extensive exploration and excavation in Mayurbhanj area. The work had brought out the total cultural milieu in its proper geo-chronological perspective. The cultural assemblage consisted of pebble choppers, handaxes, cleavers and flakes. Later Mahapatra [4] had made an extensive survey of the Stone Age industries of Orissa. His work has identified the exact nature of the cultural sequence in its spatio-temporal ordering and served as a referendum for the scholars who would take up work on prehistoric archaeology in the region. Mahapatra [5] had explored along the Mankara riverbank and identified Palaeolithic sites near Pallahara township. All of his collections at Pallahara were from the lower gravel beds. The present author had carried out fieldwork in the area since 1988 and collected large number of cultural materials belonging to Palaeolithic, Mesolithic and Neolithic stages. Trial excavation was carried out at the site Jamara and Barkalapal [5-6]. The excavation and exploration had revealed the geological context of Palaeolithic culture and the succession of industrial complex. The

Foundation item: Funding was received from the University of Calcutta for research. Biography: The author is the University Professor and Head of the department of Anthropology, Calcutta University. She was an East West Center grantee in the University of Hawaii in 1967-68.She is teaching in the department since 1974.

RAY:

A Study of Lower Palaeolithic Cultural Remains from Pallahara in Eastern India

133

petrological analysis of tools collected from the excavation have yielded valuable information on the relationship of techno-typological evolution and selection of raw material by the makers of the culture [6].

2 The area and the sites The area where the present study is carried out is located approximately within 85°10’ EL and 85°30’ EL, and 21°30’ NL and 21°15’ NL. Two types of sites are found in the area under study : 1) along the banks of the master streams, 2) along the banks of smaller tributaries and near perennial springs. The first group of sites is within the 160m contour line. The second group of sites extended up to a height of 300m. Physiographically the area is located within the Garjhat hill region of eastern plateau, an extension of Deccan plataeu [7]. The hill ranges of Renda and Malaygiri serve as watersheds for several important rivers like, Brahmani and Baitarani, flowing through the Northern Orissa. The area is rich in natural products. Forests still provide resources to the local tribal communities. Sites yielding lower Palaeolithic cultural materials are located continuously along both the banks of the Mankara River. Some of the sites are Juangshahi, Kantala, Sheegarh, Samipali, Muktapur, Sivatemple, Pallahara Rajbari [5]. Sites that are located on the tributaries and perennial spring are Khamar, Jamara and Barkalapal.

3 Stratigraphy Stratigraphy is reconstructed on the basis of observation at the two zones mentioned above. Similar sequence is observed by the scholars who have worked earlier in the area [3-4, 8]. Stratigraphic sequence may be presented in the following order. Bedrock is Archaean consisting of granite, gneiss and micaceous schist. Overlying it is a bed of secondary pebbly laterite. This bed is compact and is noted at Barkalapal and Jamara. This is considered to be formed at the beginning of Pleistocene and a product of weathering of primary laterite at a higher level [9]. Over the pebbly laterite lies a bed of mottled clay. This is formed as a result of decomposition of Archaean rock [3]. Both the beds are devoid of cultural remain. Next is a bed of cemented gravel. Thickness of the bed varies between 1 m to 5 m. Along the banks of the main streams this bed is lying directly over the bedrock. The bed is highly conglomerated. On the river bank part of this bed is often in constant contact with water. At Pallahara the right bank gravels are being eroded during high flood in rainy seasons. Lower Palaeolithic tools are coming out of this bed. The tools, which are eroded out by the seasonal flood, are heavily rolled. Those, which are excavated out of the cliff section from the gravel bed, are not rolled. This may suggest that early man had lived by the bank of the river. The tools are distinct by their colour within the gravel bed. The gravels of the bed are rounded and well sorted. This bed is dated on the basis of volcanic ash that came from the irruption at Toba island, Indonesia. This ash is found about 20 kms. southeast of the site Khamar from the gravel bed at river Bangshadhara. The suggested date is around 0.4 Myrs. B.P. for the lower Palaeolithic culture which are recovered from this type of gravel bed [10-11]. A bed of brown silt, having an average thickness of 1m. 20cm. Lies over the gravel bed. Sand, grit and calcareous concretions are mixed in it. The overall typo-technology of the tools found from this bed is of lower Palaeolithic cultural tradition. On top of the silt bed another bed of gravel is found. The average thickness is about 1.5m to 2m The gravels are smaller, angular and are lying loose mixed with silt, sand, grit and lime concretions. The lower Palaeolithic tools from this bed are smaller in size and refined in type. The silt bed lying over the upper gravel bed is yellowish brown in colour and approximately 2m in thickness. The silt of this bed is finer in texture than the lower silt. The silt is sticky when wet due to the presence of lime in it. Tools from this bed are rich in flake element and levallois technique. They do not belong to lower palaeolithic stage techno-typologically.

134

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

At places thin, discontinuous layers of very small gravels are found lying on top of the silt bed. The gravels are angular and about 1 cm in diameter. Mixed with these are lime concretions in the form of ghutting. They may have formed at the time of shorter oscillations of wet and dry phases at the end of the pleistocene period. The late pleistocene is dated to 19,000 years B.P.[12]. This bed has yielded cultural material of the last phase of Palaeolithic stage. Topmost bed is reddish brown in colour and is considered as recent in origin [12]. The bed has yielded Mesolithic cultural material from its lower part, Neolithic culture from its middle part and Chalcolithic culture from its uppermost part. Mahapatra [4] suggested climatic background of quaternary for the area. He considered three climatic cycles of alternating wet and dry conditions on the basis of stratigraphic sequence. He postulated that the formation and deposition of lateritic gravel heralded the first change in the climatic regime at the beginning of pleistocene. Then onward the alternating bed of gravel and silt marked the alternating wet and dry climates respectively.

4 Methodology For the study of lower Palaeolithic from Pallahara region methodology involves site description, related stratigraphy and typo-technology., Both extensive and intensive field survey methods were followed. Geological sections were observed along the naturally exposed cliffs, along the walls of artificially dug tanks and wells. At places trenches were dug for further clarification of stratigraphy and related cultural assemblages. Collection was always done on a standardised manner, following a grid method. Typo-technological and petrological studies were made of the tools collected. Morphometric analysis had been made for the proper understanding of the typo-technology. Since handaxes are the major component of the industry, shape factor analysis had been carried out on them after Roe [13]. The result is compared against the background of lower palaeolithic complex found in eastern India.

5 Lower Palaeolithic culture Palaeolithic culture in India has got its own distinctive features in terms of chronology and industrial complex. The threefold divisions similar to Europe are not found in India. The divisions of palaeolithic culture similar to African situation are not represented. For eastern part of India Ghosh [12] proposed that the Palaeolithic stage may be divided on the basis of attributes like the form of raw material, related typo-technology and stratigraphic context. According to him the Palaeolithic culture may be divided into three stages; such as; pebble-core element, flake element and flake-blade element. The lower Palaeolithic stage is considered to be rich in pebble-core element. This stage belongs to Acheulian tradition. Present analysis is made on 422 tools collected from Pallahara region from fixed stratigraphic context. Three strata have yielded tools of lower Palaeolithic stage. They are the lower gravel, lower silt and upper gravel. Lower gravel has yielded 225 tools, lower silt 121 and upper gravel 76 tools. The assemblages are described according to the strata in which they are found. They are as follows: 5.1 Lower gravel Tools are collected from the cliff section along the riverbank. They are found lying embedded in the bed and had to be dug out. The tools lying in-situ within the gravel are comparatively fresh. Most of the tools are distinct by their colour within the gravel. They are slightly greenish black. The petrological analysis [5] has shown that there is a general similarity of rock type and patination of the tools coming out from the lower gravel conglomerate. Tool types identified are Chopper, handaxe, cleaver, scraper and large flakes (Table-1). The choppers are broad and thick, maximum length ranges between 10.3cm and 13.9cm, breadth 9.2 to

RAY:

A Study of Lower Palaeolithic Cultural Remains from Pallahara in Eastern India

135

10.1cm and thickness 4.9-8.1cm. Most of the choppers are bifacially worked. These are made a pebble. Handaxes are quite large in proportion within the assemblage. 88% of them are made on core and 12% made on flake. Size ranges between 9.8 and 19.7 cm in length, 7-13.1 cm in breadth and 2.5-6.9cm in thickness. Various subtypes are found. Out of these pyriform types are quite conspicuous in proportion. Tools are made by controlled technique. Primary flake scars are more preponderate. One large handaxe is made by 4 primary flakes scars. Secondary flake scars in this group vary between 1-24 scars. Maximum tools have 7 secondary flake scars. The study on flake scars shows that the handaxes from the lower gravel were not intensively flaked. The flake scars are not very large, not very deep as well. The overall knapping technique is acheulian in character. The line of profile vary from jagged to sinnuous. A few are there with ‘S’ twist. The latter are usually with sinnuous profile. The cleavers from this gravel bed are less in proportion than handaxes and scrapers. These are made by similar technique as handaxes. Only difference is in the form of working edge, which is transverse axe like. 97.15% are made on core and 5.10% on flake. There are two subtypes. The U shaped types are far more in number (79.31%) than the V shaped ones (20.69%). Cleavers are large and thick. Length varies between 11.1 and 16.3cm, breadth between 6.3cm to 12.1cm and thickness between 3 to 5.5cm. The scrapers are next in frequency of occurrence in relation to other tools from the lower gravel bed. 90% of scrapers are made on core and 10% made on flakes. The flakes are thick and are not made by prepared core technique. 87.23% of the scrapers are with working edge on one side. Only 12.77% are round or discoid with working edge along the periphery. There are 6 flakes found from this bed which are considered as separate type because these are unretouched and do not show any proper working edge. Perhaps these were blanks. The range of measurements vary in length between 10.4cm and 17.3cm, breadth 8.2cm and 12.7cm and thickness between 3.7cm and 6.1cm. The tools from the lower gravel are generally made on the core. There are often patches of pebbly cortex left on the tool. The frequency of flake tools are only few and they are not of prepared core technique. 5.2 Lower silt Collection is mainly made from the sites Barkalapal and Jamara. Tools from this bed are choppers, handaxe, cleaver, scraper, point, flake and core. Tool making raw material is till quartz and quartzite, although proportion of quartzite is more. Choppers are still found in this bed. There are both unifacial and bifacial types of choppers. Size varies in length between 5.1cm and 10.2cm, 5.2cm to 10.1cm in breadth. The choppers are slightly smaller in size than those found from the lower gravel bed. Handaxes are 21.48% of the total collection from this bed. Out of the subtypes pyriform, almond and oval ones are more in frequency of occurrence. The knapping technique is still acheulian. The flake scars are comparatively more in number. Primary flake scars are hardly discernible. Cortical patches are not found on any tool. 85% of the handaxes are made on core and the rest on flake. Range of size dimension, length varying between 8.2 to 18.0cm, breadth between 5.7cm and 10.1cm, thickness between 2.2 to7 cm. The shape and size of the handaxes are more or less same. Cleaver are only 3.3% of total collection from this bed. 75% aremade on core and 25% on flake. All are made on quartzite. Cleavers of this bed are smaller in size. Length varying between 5.1cm to 7.1cm. These are made by controlled flaking of acheulian tradition. Scrapers are proportionately more in this bed (39.67%). These are mainly made on quartzite (68.75%). Others are made on quartz (27.08%) and a few on cherty quartz (4.17%). Size dimension is much variable. Length varies between 2.2 to 10.5cm, breadth 2.0 to 7.1 cm and thickness 0.6 to 6.0cm. 50% of the scrapers are made on core and the rest on flake. Out of the subtypes 75% are side scrapers. Rest of the 25% have equal proportion of types such as, end, end-cum-side and round scrapers.

ACTA ANTHROPOLOGICA SINICA

136

Supplement to Vol. 19, 2000

Points are (4.96%) of the total collection in this bed. These are simple type points. 33.33% is on core and rest is made on flake. The flakes are levalloisian type. All points are made on quartzite excepting one piece. 4.10% of the collection from this stratum are flakes of unretouched type. These are on quartzite and are made by levalloisian technique. 4.13% of collection are core. Out of these only one is tortoise type and the rest are amorphous types. All of them are made on quartzite. On an average the tools from lower silt bed are slightly smaller in size. Scrapers became relatively more in proportion. Levalloisiam technique is noticed in the assemblage. 5.3 Upper gravel bed This bed has yielded tools at the excavated sites at Jamara and also along the cliff section near Siva temple at Pallahara. Tools types are chopper, handaxe, cleaver, scraper, point, flake and core. Choppers comprise a very small portion of the collection (3.95%). The four choppers collected from this bed are made on quartzite. They are mostly unifacial type. The peculiarity is that these are more a scraper than a chopper. These are unifacial in the sense that they are made on the flat pebble with flaking on one surface at one end. This type shows selectivity of raw material and blank. Flaking is also small and shallow. Size is smaller, maximum length being 5.4cm, maximum breadth 4.3cm and thickness 2.4cm. The choppers are broad and thick.

80

70

Percentage (%)

60 Chopper Handaxe Cleaver Scraper Point Flake Core

50

40

30

20

10

0

Lower Gravel

Lower Silt

Upper Gravel

Stratigrapy Figure 1

Lower Palaeolithic tool collection from Pallahara region

RAY:

137

A Study of Lower Palaeolithic Cultural Remains from Pallahara in Eastern India

Handaxes are 15.79% of the total collection. All are made on cherty quartzite. 75.68% are made on core and the rest on flake. The size range does not show much variation from the earlier bed. Out of the collection 33.33% are almond type and the rest are ovate type. Only one cleaver is found from this bed (1.32%). It is quite large 11.3cm in length but 2.3cm in thickness, i.e. quite thin. This is made on flake and the raw material is quartzite. Scrapers comprises bulk of the collection (73.68%). Out of these maximum number of them are on flakes of levalloisian type. Those that are made on core are thick. The side opposite to the working edge is quite thick, so that these appear to have the function of chopping as well scraping. All are made on cherty quartzite. The side scrapers are more in number (60.71%). The round and end scrapers are 5.36% each in proportion. End-cum side scrapers comprise 28.57%. Size range is diversified, length varying between 2.9cm to 15.4cm, breadth between 2.8cm and 11.4 cm and thickness between 0.8cm and 3.6cm. End scrapers are comparatively smaller in size. The end cum side scrapers has got a special horse-shoe like shape. Mahapatra (1962) first found them and given them the name. Table 1 Lower Palaeolithic tool collection from Pallahara region TYPE

Lower Gravel

Lower Silt

Upper Gravel

Total

Subtype

Chopper Unifacial Bifacial Handaxe Pyriform Cordiform Lancolate Almond Oval Ovate Triangular Cleaver U shaped V shaped Scraper Side End Side cum End Round Point (Simple) Flake

No.

%

No.

%

No.

%

No.

%

18 6 12 125 41 10 4 15 18 37 29 23 6 47 41 6

8.0 33.66 66.67 55.55 32.8 8.0 3.2 12.0 14.4 29.6 12.89 79.31 20.69 20.89 87.23 12.77

21 9 12 26 8 1 1 7 6 2 1 4 2 2 48 36 4 4 4 6

17.35 42.86 57.14 21.49 30.74 3.85 3.85 26.92 23.07 7.69 3.85 3.30 50.0 50.0 39.67 75.0 8.33 8.33 8.33 4.96

3 2 1 12 4 8 1 1

3.95 66.66 33.33 15.79 33.33 66.66 1.32

56 34 3 16 3 2

73.68 60.71 5.36 28.57 5.36 2.63

42 17 25 163 23 11 5 48 24 51 1 34 26 8 151 111 7 20 13 8

9.95 40.48 59.52 38.62 14.11 6.75 3.07 29.45 14.72 31.29 .61 8.06 76.47 23.53 35.78 73.51 4.63 13.25 8.61 1.90

6

2.67

11

9.10

2

2.63

19

4.50

5

4.13

5

1.19

121

100.00

422

100.0

Core Grand Total

225

100.00

76

100.00

* PERCENTAGE FOR SUBTYPES ARE CALCULATED AGAINST THE TOTAL NUMBER OF EACH TYPE

138

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

Points comprise (2.63%) of the collection. All are made by levallois flake and on cherty quartzite. Size varies with length 5.6cm to 8.7cm, breadth 3.9cm to 4.4cm and thickness 1.6cm to 1.7cm. The points are simple type but are with a slight notch at the base giving an impression of rudimentary tang. Flakes are 2.63%. These are unretouched and appear to be byproducts of prepared core technique. These are on quartz. One flake is small the other large. The small one is very thin 0.5cm in thickness. The assemblage shows that there was an increase in the proportion of scrapers. Handaxes, choppers and cleavers became reduced in proportion. Levallois technique became quite prominent side by side with the Acheulian technique.

6 Conclusion The cultural assemblage from the region suggest that palaeolithic culture began with a rich Acheulian tradition. The culture in this region show a progressive development through the three beds (graph). Common tool types are chopper, handaxe, cleaver and flake. Points and cores are found in the last two deposits. The assemblage pattern show refinement of tool making technique from lower to higher geological strata. Diversification of subtypes has taken place through time. The choppers in the upper gravel bed are highly specialised. Scrapers gradually became important and replaced handaxes in proportion. More subtypes of scrapers are found in the upper beds, but side scrapers still dominated. Side scrapers may further be divided according to the form of working edge. This indicates various functional activities related to subsistence. There are two types of side scrapers worth mentioning. One has got a horse shoe like shape, the other has a small, broad cleaver like appearance. In both the cases the ends other than the working edge are thick. Considerable decrease in size from the lower to upper beds are noticed. Similarly flake as a blank became more important than core. Although Acheulian technique was mainly used for making the tools, levalloisian technique appeared and gained importance in the higher beds. With the typo-technological development raw material changed from coarser to finer stones, though quartzite remained as the most common raw material. The makers chose finer grained certy quartzite, having less impurities and regular cleavage plain. Quartzite is locally available. For cherty quartzite people had to travel to the hill slopes where outcrops are present. The chronology for lower Palaeolithic in the present context is mainly based on stratigraphy. The Acheulian industry in Peninsular India is dated at >0. 4my B.P. [10-11]. The lower gravel at Pallahara may be dated similarly in relation to the date of lower gravel at Samal. It is a site about 20 km from Pallahara, where ash outcrop had been dated [14]. Pallahara region has got abundant resources for subsistence. Water, forest wealth and suitable rock material are plentiful. Even today the tribal communities living in the area procure major part of their subsistence from the forest and rivers. The scenic beauty, environment, climate, vegetation, easily accessible terrains, fauna, tool making raw material provided the prehistoric men a very suitable habitation at Pallahara region. The area also sustained continuous presence of early man throughout lower Palaeolithic and beyond.

References: [1] GHOSH AK. The Palaeolithic cultures of Singhbhum [J]. Trans Am Philosophi Soc, 1970, 60:1-68. [2] BALL V. On stone implements found in the tributary states of Orissa [J]. Proc Asiatic Soc Bengal, 1876, 12:120-21. [3] BOSE NK, SEN D. Excavation in Mayurbhanj [M]. Calcutta: Calcutta University Press, 1948. [4] MAHAPATRA GC. The stone age cultures of Orissa [D]. Deccan college Poona: dissertation series, 1962, 42-43. [5] RAY R. Some observation on the prehistoric sites in the vicinity of Pallahara [A]. In: BEHURA NK, TRIPATHY KC eds. Bio-Cultural Frontiers of Man and Development. New Delhi: Mittal Publications, 1994. [6] RAY R, PRASAD S, BASU U. Stone tools from the Jamara site, Malaygiri foothills, Orissa [J]. Bull Indo-Pacific Prehis Assoc, 1997, 3(15):33-34. [7] CHATTERJEE SP. Physiography. The Gazetter of India [M]. Nasik: Publication division, Govt India, 1965, 1-16.

RAY:

A Study of Lower Palaeolithic Cultural Remains from Pallahara in Eastern India

139

[8] TRIPATHY KC. South Orissa prehistory – the first record of stone age Tools [J]. Asian Perspectives, 1973, 15 (1): 4759. [9] DUNN JA, DEY A K. The Geology and Petrology of eastern Singhbhum areas [A]. Memoir of Geological Survey of India, 1942, 281-456. [10] BADAM GL, RAJAGURU SN. Comment on Toba ash in the Indian Subcontinent and its implication for the correlation of late Pleistocene [J]. Quat Res, 1994, 41:398-399. [11] MISHRA SHEILA.

The age of Acheulian in India [J]. Curr Anthropol, 1992, 33: 325-328.

[12] GHOSH RN. Post Neogene Litho-stratigraphy of Bengal basin and Orissa plains: a prelude for Archaeological studies [A]. In: DATTA O ed. History and Archaeology of Eastern India. New Delhi: Books & Books, 1998, 1-22. [13] ROE DA. British Lower and Middle Palaeolithic handaxe group [J]. Proc Prehis Soc, NS 1968, 34:1-32. [14] ACHARYYA SK, BASU PK. Toba ash on the Indian subcontinent and its implication for the correlation of Late Pleistocene alluvium [J]. Quat Res, 1993, 40:10-19.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

140-147

Lower Palaeolithic Hunting Weapons from Schöningen, Germany – The Oldest Spears in the World – Hartmut THIEME (Niedersächsisches Landesamt für Denkmalpflege, Scharnhorststr. 1, 30175 Hannover, Germany)

Abstract Since 1983, the development of the lignite opencast mine at Schöningen in Eastern Lower Saxony has been accompanied by large-scale rescue excavations conducted by the Bodendenkmalpflege, Hannover, Office for the Preservation of Historical Monuments. In the course of these operations since 1992, in the Quaternary layers of the opencast mine, several Lower Palaeolithic sites from the time of Homo erectus have been discovered and partially investigated. One of these sites – a horse hunting camp – has now yielded, among other items, eight wooden javelins. With an age of 400,000 years, these implements are, up to now, the oldest-known completely preserved hunting weapons of mankind. They revise the common conception of the early hominid as a marginal scavenger and substantiate the existence of systematic, methodical big-game hunting and even hunting specialisation as well as high-level skills in wood-working at this early period.

Key words:

Glacial-interglacial cycles; Lower Palaeolithic sites; Wooden implements; Systematic big-game hunting; Use of fire; Schöningen; Germany

1

Introduction

Finds of wooden tools from the Lower and Middle Palaeolithic are extremely rare. This is a result of unfavourable conditions prevailing in most sedimentary contexts after burial. In Europe, only two well preserved examples from this period are known: the lance tip from Clacton-on-Sea in Essex (England), discovered in 1911 [1], and the lance from Lehringen in Lower Saxony (Germany), excavated in 1948 [2], both made of yew (Taxus). These two examples have been dated to the Middle Pleistocene Holsteinian Interglacial and the Late Pleistocene Eemian Interglacial, respectively. This scarcity of material highlights the importance of the Lower Palaeolithic sites, excavated since 1992, in the brown coal mine at Schöningen, with numerous finds of diverse wooden implements, in a state of exceptional preservation.

2

Location and stratigraphy

The Schöningen opencast mine is situated in the northern part of Germany about 100km east of Hannover, in the northern foreland of the Harz mountains, at the south-eastern edge of the Triassic limestone ridge called the Elm (323m). This area belongs to the northern region of the 70km long sub-herzynic basin between Helmstedt and Staßfurt. The mine covers an area of 6km 2. In 1983 I initiated long-term archaeological excavations in order to secure any unknown prehistoric sites in danger of being destroyed. During the course of the ongoing mining operations, an area of more than 350,000m 2 has been excavated, mainly with Holocene sites dating from the Neolithic to Iron Age [3]. In addition to this the massive sediment layers of the Pleistocene exposures were constantly monitored and analysed by geological and environmental specialists [4-5]. The oldest Pleistocene deposits exposed in the mine are up to now the sediments of the Elster Glaciation (Figure 1). Above these sediments a series of six major erosional channels has been documented since 1992 in the southern part of the Schöningen opencast mine (Figure 2) [6]. The channels and their associated sediments represent a series of interglacial/glacial cycles that have been named Schöningen I–VI (Figures 1, 2) and suggest an age range from the Holsteinian to the Holocene [7]. Channels I–III, which contain limnic sediments, date to the period between the Elster and Saale glacial sensu stricto.

THIEME: Lower Palaeolithic Hunting Weapons from Schöningen, Germany –The Oldest Spears in the World–

Figure 1

141

Schöningen, Germany. Composite schematic stratigraphical sequence through the Schöningen deposits, which cover the period from the Middle Pleistocene to the Holocene. The sequence (Schöningen0 –VI) was correlated with the climate-cycles (terrace-travertine series) at Bilzingsleben and other sites in the Elbe-Saale-region 1 - Denudation horizon, 2 - Gravally sands, 3 - Sands, 4 - Lacustrine deposits, 5 - Limnic organogenic sediments, 6 - Peat, 7 - Travertine, 8 - Loess, 9 - Soils (Lessivé, Pseudogley) and humic zones, 10 - Ground moraines, 11 - Laminated clay deposits, 12 - Periglacial structures, 13 - Lower Palaeolithic find horizons (the spears are from level4 within the SchöningenII sequence and date from the end of the Reinsdorf Interglacial). – Lg: Late glacial. Plg: Pleniglacial. Eg: Early glacial. Igl: Interglacial. 1 – 5: Upward shallowing sequences in the Reinsdorf Interglacial. – a: arctic; w: warm (after D. Mania)

ACTA ANTHROPOLOGICA SINICA

142

Supplement to Vol. 19, 2000

The oldest interglacial sediments (SchöningenI) probably date to the Holsteinian. The SchöningenII channel (Figure 1) is filled by sediments of the Reinsdorf Interglacial [8] and the ensuing Fuhne cold stage. The depositional sequence contains five levels of organic muds and peats (1–5). Level1 represents both the early and interglacial maxima of the Reinsdorf Interglacial; the upper levels represent cool temperate phases and exhibit frost structures between Levels 4 and 5 (Figure1). This interglacial is a new biostratigraphical unit between the Elster and Saale sensu stricto: palynological analysis by B. Urban [5] indicates that its vegetational history differs from both the preceding Holsteinian and the following Schöningen (III) interglacials, which is correlated to the Dömnitz Interglacial [9]. The mollusc fauna of Level1 of the Reinsdorf Interglacial is a thermophilous fauna rich in species with Mediterranean and SE-European elements (Helicigona banatica fauna), indicating temperatures 2 to 3 degrees warmer than the present day [6, 10]. The SchöningenIV channel is younger than the Saale glacial sensu stricto (Drenthe) and consists of an extensive double soil complex (Figure1). The infill of channelV is correlated to the (last) Eemian Interglacial, whilst the sixth channel infill is of Holocene age. Work by D. Mania has established a correlation between the Schöningen sequence and the terracetravertine series at Bilzingsleben (Thuringia, Germany) [11].

3

The Lower Palaeolithic sites at Schöningen

Since 1992, several Lower Palaeolithic sites have been discovered (from 8–15m below the present ground surface) and excavated in Middle Pleistocene interglacial sediments, dating to the Holsteinian complex (Figure1) [3]. Two of these sites (Schöningen12 and Schöningen13II-4) (Figures1, 2), dating to the upper part of the Holsteinian complex (the new discovered ReinsdorfInterglacial), yielded finds of diverse wooden implements. 3.1

Schöningen 13 I The oldest evidence of human occupation, a lakeshore site, dates to the earliest part of the Holsteinian complex (channel SchöningenI) (Figure 1). This Lower Palaeolithic site was discovered and partially excavated (120 m2) in 1994 (Figure 2, B). It comprises flint tools, flakes and numerous burnt flints together with faunal remains of steppe elephant (Mammuthus trogontherii), bovids, horse and red deer [12]. A first result of a series of TL-measurements at burnt flints from this site (by D. Richter) indicates an age of more than 400ka BP. On the surface of an overlying organic mud the rests of a Bison skull and several tracks of large mammals were discovered (Figure1). 3.2

Schöningen 12 The Lower Palaeolithic site Schöningen12 (find layer1) was discovered and excavated in the following interglacial in 1992 (Figure2, A), with more than 150m 2 in the course of three months’ work [6, 8, 13]. Lakeshore deposits with gyttja sands from the Reinsdorf Interglacial (SchöningenII, Level1) (Figure1) contained numerous flint artefacts and more than one thousand large mammal bones (Palaeoloxodon antiquus fauna), from straight tusked elephant, rhinoceros (Stephanorhinus kirchbergensis) and so on [14]. Some of these bones exhibit cut marks from butchery, while a tibia shaft of Ursus spelaeus was probably used as a support [3], perhaps to cut organic materials. There are also numerous small mammals [15], including the water vole Arvicola terrestris cantiana and the beaver-like Trogontherium cuvieri, together with the remains of birds, fish and reptiles. Analysis of the Arvicola molars from SchöningenII, Level1 (the Reinsdorf Interglacial) suggests a correlation with the Bilzingsleben Homo erectus site [15-16].

THIEME: Lower Palaeolithic Hunting Weapons from Schöningen, Germany –The Oldest Spears in the World–

Figure 2

143

Schöningen, Germany. Course of the six Pleistocene/Holocene channels in an area of 1km 2 in the southern part of the Schöningen open cast mine 1 - SchöningenI, 2 - SchöningenII, 3 - SchöningenIII, 4 - SchöningenIV, 5 - SchöningenV, 6 SchöningenVI. The Elsterian glacial deposits lie beneath all the channels; the channel of SchöningenIII is covered by the glacial series of the Saalian glaciation sensu stricto (Drenthe). Channels SchöningenVI contain Holocene deposits. Location of the Lower Palaeolithic sites mentioned in the text: A: Schöningen12 (1992) with two archaeological find horizons. B: Schöningen13I (1994). C: Schöningen13II (since autumn 1994) with the ”spear site” (Schöningen13II-4).

Very important finds from this site are three worked branches of the common silver fir (Abies alba). These wooden tools (length 170, 191, 322mm; width 36, 39, 42mm), have a diagonal groove cut into one end probably for holding flint tools or sharp flakes to create a more efficient tool [3]. If this supposition is correct, these implements (cleft hafts) represent the oldest composite tools in the world. A forth cleft haft from this site (length about 120mm) has grooves cut into both ends, and one can compare such tools with similar objects found in the Aboriginal culture in

144

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

Australia. The raw material for these Lower Palaeolithic cleft hafts consists of the hard intact roots of the boughs of rotten trunks from the common silver fir (analysis by W. H. Schoch, who has made all the wood identifications in Schöningen) [17]. During excavations of find layer1 a second archaeological horizon was discovered 2m to 3m higher up in peat sediments of the Reinsdorf Interglacial, Level2 (Figure1), with flint artifacts and butchered remains of large mammals in 30m 2 (Schöningen12, find layer 2) [8].

Figure 3

Figure 4

Schöningen, Germany. Site Schöningen13II-4: Flint tools: 1 –2 Convex side scrapers; 3 Alternate retouched side scraper; 4 Déjeté scraper

Schöningen, Germany. Site Schöningen13II-4: View of a Lower Palaeolithic throwing stick in the field in October 1994. Close to the stick is a larger bone fragment with on it’s left a flint scraper. Scale in cm

THIEME: Lower Palaeolithic Hunting Weapons from Schöningen, Germany –The Oldest Spears in the World–

145

3.3 Schöningen 13 II-4 The Schöningen13II-4 site (the “spear site”) was discovered in the autumn of 1994 in Level4 (Figure 2, C) of the SchöningenII (Reinsdorf Interglacial) channel [18]. The archaeological material of this site lies in an organic mud which underlies a peat horizon (Figure 1). Analysis of the molluscan fauna by D. Mania and of the pollen spectra by B. Urban, suggests a boreal, cooltemperate climate; the vegetation is a mix of meadows and forest steppes. Until the end of 1999, the excavation yielded much more than 20,000 well preserved faunal remains, mainly of 19 horses (Equus mosbachensis), from an area of 2,500m 2. Many of the bones display traces of butchery, in the form of cut marks and fracturing. The assemblage of flint artefacts includes points, carefully retouched scrapers (Figure3) and about 1,200 spalls (retouch waste). Furthermore some places were discovered, where the chalky sediments had turned red and display fossil drying cracks, very probably under the influence of the heat of fires. The first wooden tool from this site, discovered in October 1994, has a length of 0,78m, a maximum diameter of 3 cm and is made of spruce (Figure 4). Both ends are sharpened to a point [18] . The function of this implement was most probably a throwing stick, resembling in shape and size the throwing sticks used by the aborigines of Australia to hunt birds in flight.

Figure 5

Schöningen, Germany. Site Schöningen 13II-4: Situation of spearVI in May 1997 (length: about 2.50m)

The most spectacular wooden implements from this site first came to light in autumn 1995[19. Since then a whole collection of more than half a dozen exceptionally well preserved spears with lengths varying between 1.82m (spearIII) to 2.5m (spearVI, Figure5) (max. diameter: 29 – 50mm) have been excavated [21], in conjunction with abundant faunal remains. Most of the spears are made from spruce (Picea sp.); spearIV is made from pine ( Pinus sp.). The wood selected, exhibits a dense concentration of growth rings, implying slow growing conditions in a cool 20]

146

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

environment. The spears are made from individual trees, which were felled, debranched and debarked; the tip/distal ends (up to 60cm long) are worked from the hardest part of the wood at the base of the tree. Although the points are symmetric, they are cut to avoid the pith ray. The tails are long and taper towards the proximal pointed end. With the maximum thickness and weight situated a third of the way from the tip, the spears resemble modern javelins and were used by the late Homo erectus to hunt horses on the shoreline of a long shallow lake (Figure2). The main find scatter of the Schöningen13II-4 site is more than 40m long and about 10m wide on the western upper banks of the lake [21], sometimes with more than 120 objects per square meter, with the wooden hunting spears and other wooden artifacts amongst the skeletal remains of a hunted and butchered herd of horses. According to their skulls, mainly completely preserved, the minimum number of individuals is 19 horses. Because of the density of finds, i.e. the close proximity of the artifacts and skeletal remains one is led to believe that this was a planned and organised action in order to attain a complete herd of horses with one blow, the aim being to secure enough meat and skins to ensure a constant supply of nourishment and warmth (for clothes and tents), with first indications of seasonal hunting in autumn, as can be inferred amongst others from the presence of specific plants on the bones [21] .

4

Conclusions

Since 1992, several Lower Palaeolithic sites have been discovered and excavated in Middle Pleistocene interglacial sediments, dating to the Holsteinian complex (Figure1). Two of these sites (Schöningen12 and Schöningen13II-4), dating to the new discovered Reinsdorf Interglacial, yielded finds of diverse wooden implements. The wooden finds from the Lower Palaeolithic horse hunting site Schöningen13II-4 constitute, with an age of about 400,000 years, the world ’s oldest wooden throwing spears – so far the oldest complete hunting weapons of humankind. The spears from Schöningen suggest that systematic and co-ordinated hunting, involving fore-sight, planning and appropriate technology (with first indications of seasonal hunting etc.), was already a part of the behavioural repertoire of Middle Pleistocene hominids. Accordingly, meat from hunting may have provided a larger dietary contribution than many workers have been prepared to acknowledge [22-24] . Acknowledgements: We are grateful to the Braunschweigische Kohlen-Bergwerke AG (BKB), Helmstedt, for the technical and organisational support of the long-term archaeological excavations in the Schöningen mine, especially for their efforts and their courtesy in enabling us to excavate and analyse the complete sedimentary sequence of the new Reinsdorf Interglacial up to an area of about 3,000m 2 and about 6m thickness – a unique chance for Pleistocene Archaeology! I thank the Deutsche Stiftung Denkmalschutz for a grant that supported the rescue excavations at the ”spear site”. Thanks are due to A. Pastoors (Cologne) for the drawings of Figures1 –2, B. Kaletsch (Marburg) for the drawing of Figure3, P. Pfarr (Hannover) for the photographs of Figures4 –5 and W. Roebroeks (Leiden, The Netherlands) for reviewing this paper. References: [1] OAKLEY KP, ANDREWS L, KEELEY LH et al. A Reappraisal of the Clacton Spearpoint [J]. Proc Prehis Soc, 1977, 43:13-30. [2] THIEME H, VEIL S. Neue Untersuchungen zum eemzeitlichen Elefanten-Jagdplatz Lehringen, Ldkr. Verden [J]. Kunde NF, 1985, 36:11-58. [3] THIEME H, MAIER R. Archäologische Ausgrabungen im Braunkohlentagebau Schöningen, Landkreis Helmstedt [M]. Hannover, 1995. [4] URBAN B, LENHARD D, MANIA D et al. Mittelpleistozän im Tagebau Schöningen, Ldkr. Helmstedt [J]. Zeitschrift der deutschen geologischen Gesellschaft, 1991, 142:351-372.

THIEME: Lower Palaeolithic Hunting Weapons from Schöningen, Germany –The Oldest Spears in the World–

147

[5] URBAN B. Vegetations- und Klimaentwicklung des Quartärs im Tagebau Schöningen [A]. In: THIEME H, MAIER R eds. Archäologische Ausgrabungen im Braunkohlentagebau Schöningen, Landkreis Helmstedt. Hannover, 1995. 44-56. [6] THIEME H, MANIA D. “Schöningen 12” – ein mittelpleistozänes Interglazialvorkommen im Nordharzvorland mit paläolithischen Funden [J]. Ethnographisch-Archäologische Zeitschrift, 1993, 34:610-619. [7] MANIA D. Die geologischen Verhältnisse im Gebiet von Schöningen [A]. In: THIEME H, MAIER R eds. Archäologische Ausgrabungen im Braunkohlentagebau Schöningen, Landkreis Helmstedt. Hannover, 1995. 33-43. [8] THIEME H, MANIA D, URBAN B et al. Schöningen (Nordharzvorland). Eine altpaläolithische Fundstelle aus dem mittleren Eiszeitalter [A]. Archäologisches Korrespondenzblatt, 1993, 23:147-163. [9] URBAN B. Palynological evidence of younger Middle Pleistocene Interglacials (Holsteinian, Reinsdorf and Schöningen) in the Schöningen open cast lignite mine (eastern Lower Saxony, Germany) [J]. Mededelingen Rijks Geologische Dienst, 1995, 52:175-186. [10] MANIA D. The earliest occupation of Europe: the Elbe-Saale region (Germany) [A]. In: ROEBROEKS W, KOLFSCHOTEN T VAN eds. The Earliest Occupation of Europe. Leiden, 1995, 85–101. [11] MANIA D. Die Terrassen-Travertin-Sequenz von Bilzingsleben. Ein Beitrag zur Stratigraphie des Mittel- und Jungpleistozäns im Elbe-Saale-Gebiet [J]. Ethnographisch-Archäologische Zeitschrift, 1993, 34:554-575. [12] THIEME H. Der altpaläolithische Fundplatz Schöningen 13I (Holstein-Interglazial)[A]. In: T HIEME H, MAIER R eds. Archäologische Ausgrabungen im Braunkohlentagebau Schöningen, Landkreis Helmstedt. Hannover, 1995, 57–61. [13] THIEME H. Die altpaläolithischen Fundschichten Schöningen 12 (Reinsdorf-Interglazial)[A]. In: THIEME H, MAIER R eds. Archäologische Ausgrabungen im Braunkohlentagebau Schöningen, Landkreis Helmstedt. Hannover, 1995, 62-72. [14] KOLFSCHOTEN T van. Faunenreste des altpaläolithischen Fundplatzes Schöningen12 (Reinsdorf-Interglazial)[A]. In: THIEME H, MAIER R eds. Archäologische Ausgrabungen im Braunkohlentagebau Schöningen, Landkreis Helmstedt. Hannover, 1995, 85-94. [15] KOLFSCHOTEN T van. Die Vertebraten des Interglazials von Schöningen12 [J]. Ethnographisch-Archäologische Zeitschrift, 1993, 34:623-628. [16] HEINRICH W-D. Zur taphonomie, paläoökologie und biostratigraphie fossiler kleinsäugerfaunen aus dem mittelpleistozänen travertinkomplex Bilzingsleben in Thüringen [A]. In: MANIA D, MANIA U et al. Eds. Bilzingsleben V. Homo erectus – seine Kultur und Umwelt. Bad Homburg/Leipzig: Verlag Ausbildung + Wissen, 1997, 121-134, 256259. [17] SCHOCH WH. Hölzer aus der Fundschicht 1 des altpaläolithischen Fundplatzes Schöningen12 (Reinsdorf-Interglazial)[A]. In: THIEME H, MAIER R eds. Archäologische Ausgrabungen im Braunkohlentagebau Schöningen, Landkreis Helmstedt. Hannover, 1995, 73-84. [18] THIEME H. Ein altpaläolithischer Lagerplatz aus der Zeit des Urmenschen von Schöningen 13II (ReinsdorfInterglazial)[A]. In: THIEME H, MAIER R eds. Archäologische Ausgrabungen im Braunkohlentagebau Schöningen, Landkreis Helmstedt. Hannover, 1995, 95-106. [19] THIEME H. Altpaläolithische Wurfspeere aus Schöningen, Niedersachsen. –Ein Vorbericht – [J]. Archäologisches Korrespondenzblatt, 1996, 26:377-393. [20] THIEME H. Lower Palaeolithic hunting spears from Germany [J]. Nature, 1997, 385: 807-810. [21] THIEME H. Altpaläolithische Holzgeräte aus Schöningen, Lkr. Helmstedt. Bedeutsame Funde zur Kulturentwicklung des frühen Menschen [J]. Germania, 1999, 77(2):451-487. [22] BINFORD L R. Bones: Ancient Men and Modern Myths [M]. New York/London, 1981. [23] GAMBLE C. Man the Shoveler [A]. In: SOFFER O ed. The Pleistocene Old World. Regional Perspectives. New York, 1987, 81-98. [24] NITECKI MH. The idea of human hunting [A]. In: NITECKI MH, NITECKI DV eds. The Evolution of Human Hunting. New York/London, 1987, 1-9.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

148-155

Man in South America Maria da Conceição de M. C. BELTRÃ O, Rhoneds A. R. PEREZ (Department of Anthropology, National Museum/Rio de Janeiro Federal University, Quinta da Boa Vista, s/n, São Cristóvão, Rio de Janeiro, RJ, CEP: 20940-040, Brazil)

Abstract Archeological and geological evidence, taken together with absolute or relative datings, suggests that the South American sites Alice Boër-SP, Itaboraí-RJ and Toca da Esperança-BA may have been occupied by prehistoric man during the Middle Pleistocene. Occupation of the site at Itaboraí may date as far back as the Early Pleistocene. The authors raise the possibility that this evidence may fit with a series of revolutionary human paleontology finds in Eurasia which are challenging the “African” and “multiregional” models. They also compare “projectile” and “pre-projectile” sites in North America with similar sites in South America. Sites with projectile horizons in South America - although older - seem to be partially synchronous with those in North America. However, sites with pre-projectile horizons in South America seem to be much older, perhaps due to the fact that an insufficient number of finds has been made in North America or that existing finds have not been properly dated.

Key words:

South America Archaeology; Middle Pleistocene; South America projectile points

In a 1992 paper [1] on prehistoric archeology of the Late Pleistocene in South America, the authors conclude that “results suggest that the Pleistocene archaeological record in South America must be explained on its own terms and that the events and processes producing this record either occurred earlier than previously thought or are different from those in North America”. Here we propose to show that the archeological records found in South America by the main author (Beltrão), who was also signatory to the paper mentioned above, may be as old or older than those in North America. In this connection, we consider here the archeological sites at Alice Boër (São Paulo), Itaboraí (Rio de Janeiro) and Toca da Esperança (Bahia) which, on several opinions, date to the Middle Pleistocene. One of them in particular may be even older, with the most remote occupation dating to the Early Pleistocene. The possibility of human occupation in America at such a distant time is strengthened when one considers human paleontology finds made recently outside Africa. These are shaking the foundations not only of the so-called “African model”, which holds that man emerged and evolved in Africa, from where he spread through Eurasia, to the “Old World”, but of the “multiregional model”, according to which man emerged in Africa and developed independently from Homo erectus in several parts of the “Old World”. Among these findings, is the presence in Spain of Australopithecus (the pre-human closest to Man) and also, significantly, a Dryopithecus laietamus found in Catalonia, apparently linked, on the one hand, to quadruped primates of 18 million years ago and, on the other, to biped hominids of 3.5 million years ago. In addition, surprising finds at Atapuerca, also in Spain, seem to confirm that the changes that led to the emergence of Homo sapiens neanderthalensis occurred at least 760,000 - and perhaps 1 million - years ago. Meanwhile, the neanderthalensis encountered in Africa are much more recent. Australopithecinae jawbones with teeth similar to those of Homo erectus have been found in Southeast Asia. How are these finds to be explained if the transition from pre-human to human took place in Africa? If, on the “African model”, Homo erectus evolved in Africa, how then is one to explain his presence in Asia, at Djetis, on Java, nearly 2 million years ago, while he is recorded in Africa around 1.5 million years ago? How is one to explain the presence of a 92,000 year-old sapiens sapiens - older than any other anywhere in the world - at Qafzeh, Nazareth, in Israel, which led

Biography: BELTR ÃO, PhD, Full Professor, Rio de Janeiro Federal University (UFRJ), Head of the Archaeology Discipline at the National Museum; PEREZ, .PhD, Archaeologist, National Museum/ Rio de Janeiro Federal University (UFRJ).

149

BELTR ÃO et al.: Man in South America

Chris Stringer of the renowned British Museum to declare that the theory of evolution had been “stood on its head”? It also appears possible that there is an archeological site in Siberia dated by the paleomagnetism method at 2.5 million years old; that is, as old as the oldest site in Africa (dated at 2.5 million years), in the chronological range corresponding to Homo habilis1). Although an increasing number of researchers believe that man inhabited America between 20,000 and 40,000 years ago, only a few - the authors of this communication among them - believe that America was occupied prior to what is known as the Wisconsin glaciation; that is to say, more than 120,000 years ago. We believe that, after entering the South American continent, the first immigrants reached Brazil’s plateaus following a route traced by Beltrão [2]; that is, they either crossed the savannas along a forest-free corridor between the Andes and the present Amazon Forest, following the rivers of the Paraná-Paraguay Basin on foot, or they followed the warm river valleys of lateral branches of the Andes, then penetrated eastwards after leaving these valleys. This human occupation during such a remote period (Middle Pleistocene) would not have been very dense and “it is possible that the descendants of the first inhabitants of America may have disappeared completely” [3]. As regards the technological context, we feel there is evidently a cultural horizon represented by artifacts crudely flaked by direct percussion, underlying another cultural horizon characterized by the appearance of pressure in the manufacture and retouching of artifacts [2]. Also, the characteristics of projectile points would seem to offer innumerable opportunities for relative dating. Sites with projectile horizons in South America - although older - seem to be partially synchronous with those in North America. The typological differences encountered between Folsom and Clovis projectile points in North America and those from Alice Boër in South America may be explained in terms not only of technical and cultural factors, but also of environmental situations. As regards sites labeled as “pre-projectile”, everything seems to indicate that those in South America are far older. This may be either because an insufficient number of discoveries has been made in North America or because finds have not been properly dated. Consequently, the Alice Boër site, studied by Beltrão, is a reference site, since it provided not only one absolute chronology but also another based on points and burins [4]. Its Layer III is considered as a reference or key layer by virtue of the characteristics of the tools present there and the “conditions in which they appear; that is, a ‘pre-projectile’ horizon underlying a ‘projectile’ horizon” [2]. The possibility of very ancient human occupations in America is reinforced by the fact that, during the cold periods of the Quaternary which were repeated at intervals of 100,000 years, sea level fell by around 100 meters, exposing a bridge between Asia and America.

Unstemmed foliate spearhead

1)

300,000 years ago, by the thermoluminescence method.

150

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

Lanceolate Sadia-type point

Spearheads with concave butts

Repenning [5] showed that, from the Pliocene onwards, the Bering bridge was used by mammals in both directions. Beltrão, Danon and Dória [6] offered several arguments (demographic, geological, cultural and paleo-ecological) indicating the great antiquity of human occupation in the Americas. In the light of the discovery of two archeological sites with Middle Pleistocene occupations in South America (in Brazil, at Itaboraí, Rio de Janeiro State and Esperança, Bahia State), we can admit as valid the age attributed to another archeological site in North America (Calico Hills, close to Jermo, California) between 500,000 and 250,000 years old, according to Jolly and Plog (1982), or between 200,000 and 180,000 years old, according to Bischoff, Ikeya and Budinger, 1984 [3]. Successive occupations at the Itaboraí, Toca da Esperança and Alice Boër sites reveal several traditions of stone tools: 1) Pebble-Chopper Tradition - a) pebbles flaked using a stone hammer (Toca da Esperança, Layer IV); b) pebbles and very crude flakes, flaked at one end to form a cutting edge (Alice Boër, Layer V and Itaboraí, lower stone-line); c) flake tool removed from pebble, found at Toca da Esperança cave (Layer IV); 2) Uniface Tradition (cores and flakes) - at Itaboraí (lower stone-line) and Alice Boër (Layer V); 3) Biface Tradition (cores and flakes) - at Itaboraí (upper stone-line) and Alice Boër (Layer III), including here the bifaces and points, including projectiles. These traditions could overlap in time and show great, although not necessarily continual, temporal depth, lasting down to the historical period. The tools mentioned here were submitted to examination by several European specialists, among them Tixier, Lumley, Labeyrie and Paepe. In future, when we have more information on the bone technology, we shall attempt more comprehensive classification. In the case of the Toca da Esperança cave, it seems evident that man used bone tools from the Middle Pleistocene onwards.

151

BELTR ÃO et al.: Man in South America

Stemmed triangular spearhead

Unstemmed triangular spearhead

Triangular spearhead with froken stem

Stemmed, foliate spearhead

Stemmed triangular arrowheads

Fishtail-type spearhead

Unstemmed triangular arrowhead

Stemmed foliate projectile point

152

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

In addition to the presence of very rudimentary tools, the following are some of the points of possible correlation between Itaboraíand Calico Hills: a) occupation at high-standing, strategically sited spots; b) presence of exotic materials (chalcedony in the case of Itaboraí) although, at the two sites, materials considered exotic may be local in origin; c) Middle Pleistocene occupation. Compared with the Calico Hills site, the promising points at Itaboraí are that: a) at Itaboraí there are several archeological layers distributed over depths of many meters; b) at Itaboraí, tool technology evolves from very rudimentary to specialized; c) the rocks and minerals which served as raw material at Itaboraí were not subjected to at least one of the geological processes identified at Calico Hills: glaciation; d) at Itaboraí, there exists a great abundance of tools over the whole limestone basin; e)the Itaboraí archeological site contains remains of Pleistocene fauna such as +Haplomastodon waringi (Holland, 1920) and +Eremotherium laurillardii (Lund, 1841) which appear in association with tools at other South American sites; f) in the São José de Itaboraí limestone basin, animal life has been present since at least the Late Paleocene. To us, this fact suggests the existence of conditions favorable to the installation of human groups. Comparison of the Calico and Toca da Esperança sites must be limited to a very few points: a) stands on a strategically high point (37 meters above the limestone plateau); b) yielded very rudimentary tools; c) is probably Middle Pleistocene; d) stone circles were found, suggesting the existence of hearths.

153

BELTR ÃO et al.: Man in South America

LAYER III STEMMED POINTS

LANCEOLATE POINTS

LEVEL 1 0-10cm LEVEL 2 10-20cm 6.050 100

LEVEL 3 20-30cm LEVEL 4 30-40cm

6.135 160

LEVEL 5 40-50cm

LEVEL 6 50-60cm LEVEL 7 60-70cm 6.085 160

LEVEL 8 70-80cm LEVEL 9 80-90cm

14.200 1.150

LEVEL 10 90-100cm

The set of data obtained from Toca da Esperança made it possible to reconstruct several aspects of the daily life of prehistoric man who lived there. He is known to have moved away from the cave, probably every day to hunt, taking advantage of animals trapped naturally in the hollows. He visited the sources of quartzite to gather the most suitable raw material for tool making. His preferred diet was horse and paleollama meat. He used marrow as food and used stone circles probably to build hearths. He used hides (?), possibly taken from giant sloths, as clothing. He normally used natural limestone blades and scrapers on soft materials, later to discard them; his movements when using quartzite tools were at a slight angle to their cutting edges; he used quartzite tools on hard materials; he drank water from a spring close to the cave; he took shelter strategically in a cave (equipped with a small camouflaged exit) 37 meters above the surrounding plateau. In addition to caring for the children, gathering activities would also be reserved to women.

154

ACTA ANTHROPOLOGICA SINICA

Arrow heads with twist

Fishtail type points (arrowheads except, at right, spearhead)

Small arrowheads fashioned from flint and quartz

Supplement to Vol. 19, 2000

triangular and lanceolate arrowhewads with stem

Projectile points

Paijan-type points

BELTR ÃO et al.: Man in South America

155

It was possible to gather an impressive body of data on the everyday life of a prehistoric population that inhabited Brazil at least 300,000 years ago. We owe this to exceptionally favorable conditions for preservation. So, in extremely general terms, even considering paleo-geographic aspects, the records in South America may perhaps fit within timeframes equivalent to those in North America. It thus appears to us that the archaeological records in the two continents may be summarised in terms of traditions and the TL datings of the various layers where artefacts were found provided only a minimum age for this industry. If one considers the antiquity of human occupation in Asia, there exists the possibility that Homo erectus, who occupied the Asian continent almost 2 million years ago, crossed the Bering bridge and settled in America. As we said earlier, this human occupation (Middle Pleistocene) would not have been very dense and probably the descendants of the first inhabitants of America may have disappeared completely. Although in North America there is a chronology based on the evolution of points, this is not yet possible in Brazil. The only item that may serve as a reference would be the “fishtail”, by virtue of its widespread presence in South America. A recent paper by Taylor et al [7] makes corrections to the ages of tangless points found in North America. According to these results, the oldest - the Clovis point - would be 14,200 years old, with a minimum age of 12,000. There thus seems to exist a synchronism between North and South America in the use of projectiles. Typological differences could surely be credited to paleo-environmental conditions. References: [1] DILLEHAY TD, CALDER ÓN GA, POLITIS G et al. Earliest Hunters and Gatherers of South America [J]. J World Prehist, 1992, 6(2):145-203.

[2] BELTR ÃO MCMC. Datações Arqueológicas Mais Antigas do Brasil [M]. Brazilian Academy of Science, Annals Rio de Janeiro, 1974, 46:211-251. [3] DE LUMLEY H, DE LUMLEY MA, BELTR ÃO MCMC et al. Présence d’Outils Taillés Associés à une Faune Quaternaire Datée du Pléistocène Moyen dans la Toca da Esperança, Région de Central, État de Bahia, Brésil [J]. Anthropol, 1987, 91(4):917-942.

[4]

BELTR ÃO MCMC. Pré-História do Estado do Rio de Janeiro. Instituto Estadual do Livro and Editora ForenseUniversitária [M]. Rio de Janeiro, 1978, 276.

[5] REPENNING CA. Paleartic-Neartic Mammalian Dispersal in the Late Cenozoic [A]. In: HOPKINS DM ed. The Bering Land Bridge. Stanford University Press, 1967. [6] BELTR ÃO MCMC, DANON J, DORIA FAA. Datação absoluta mais antiga para a presença humana na América [A]. Science and Culture Forum, Rio de Janeiro Federal University (UFRJ), Feb 1987. Rio de Janeiro: Edit UFRJ, 1988.

[7]

TAYLOR RE; VANCE HC, STUIVER M. Clovis and Folsom age estimates: Stratigraphic context and radiocarbon calibration [J]. Antiquity, 1996, 70.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

156-165

Interpretation of Lithic Technology at Zhoukoudian Locality 15 GAO Xing (Institute of Vertebrate Paleontology and Paleoanthropology, Chinese Academy of Sciences, 100044 Beijing, China)

Abstract This is a brief report on the result of a comprehensive study of Zhoukoudian Locality 15 and the rich archaeological data-set from it. Major topics covered by this study include geology, stratigraphy, chronology, paleoenvironmental reconstruction, lithic analysis, and a discussion of the current practice and theoretical framework of Paleolithic research in China. The centerpiece of the study is lithic analysis, including artifact typology and variability, core reduction, tool retouch and modification, and raw material exploitation and economy. Through these analyses, a series of theoretical and empirical questions are addressed, such as the nature of stone tool variability at the site, the capability and preferences of the Locality 15 hominids in handling the available raw materials and modifying lithic tools, the restrictions of raw materials placed on stone tool technology and stylistic feature, the interaction between nature and hominids at the site, and the proper placement of the Locality 15 industry in Paleolithic cultural traditions and developments in North China. This study found that sophisticated direct hard hammer percussion was employed as the principal flaking technique to exploit vein quartz at the site, which is very distinctive from the Sinanthropus industry at Zhoukoudian Locality 1. However, the application of Levallois technology at the site, as often mentioned, cannot be verified by this study. The dominant tool type is simply modified sidescraper. The stone tools’ informal features, minimal modification, and variability in morphology and edge are perceived as being closely related to raw material quality and availability and mainly the function of the original blank forms. The Locality 15 materials are also recognized as a direct challenge to the scheme of identifying a three-stage cultural transitions and models of classifying distinct Paleolithic technological traditions currently prevail in North China and East Asia.

Key words:

Locality 15; Zhoukoudian; Lithic technology

1

Introduction

Zhoukoudian Locality 15, discovered in 1932 and excavated from 1935 to 1937 [1], is one of the 26 paleoanthropological/paleontological localities investigated at Zhoukoudian, about 48 km southwest of Beijing. It is situated on Longgushan (the Dragon Bone Hill), about 70 meters south of Locality 1, the famous Peking Man site. Loc. 15 is one of the most important Paleolithic sites in North China. The archeological assemblage from this site provides valuable information on the late Middle and early Upper Pleistocene hominid adaptations and cultural/technological developments in North China and greater East Asia. It also serves to clarify some important topics in Chinese and East Asian Paleolithic research, such as the nature of lithic variability and artifact typology, the nature of cultural transitions from the Lower to Upper Paleolithic, the recognition of regional cultural or technological traditions, and the relationship between Paleolithic cultures in East Asia and the Western Old World. However, since the conclusion of the excavations at the site, only two partial field reports have been published on this important locality [2-3]; the recovered stone artifacts and other material have been stored, virtually untouched, at the Institute of Vertebrate Paleontology and Paleoanthropology (IVPP), the Chinese Academy of Sciences in Beijing. The paucity of the published original research hinders the accessibility of this rich archaeological collection and forces many discussions concerning this locality to be speculative and far-fetched. I was greatly honored and delighted to be granted the opportunity to study the collections and the site by the IVPP, my home institute, as my dissertation research project. In late May 1997, I returned back to Beijing to undertake this long-desired project. From July to December, I shuttled back and forth between Zhoukoudian, IVPP, and other research labs in Beijing, to conduct section

Biography: Gao Xing, Research Professor at the Institute of Vertebrate Paleontology and Paleoanthropology, Chinese Academy of Sciences in Beijing, specialized in Paleolithic research.

157

GAO: Interpretation of Lithic Technology at Zhoukoudian Locality 15

clearing, test excavation, sample collection, museum studies, and various special analyses. This paper summaries the research results, based largely on the last chapter of the dissertation [4].

2

Chronology and Paleoenvironment

Prior to this research, only biostratigraphic dating and geological comparisons were applied to chronological studies of Locality 15 and a late Middle-early Upper Pleistocene age has been commonly accepted [5-6]. Seven mammalian teeth and sediment samples have been analyzed by uranium-series and electron spin resonance methods in this study undertaken by the Chronological Research Lab in the Department of Archaeology at Beijing University. Preliminary results of these analyses have established a time span of 140,000-110,000 years BP for the artifact-bearing layer at the site, which has largely confirmed earlier estimates of Locality 15’s geological age based on biostratigraphic data. Faunal data, the loess-paleosol sequence, palynology and the marine oxygen isotope record have been used to study Pleistocene paleoenvironments in North China in general and of late Middle and early Upper Pleistocene at Zhoukoudian in particular. Faunal and palynological information collected from Locality 15 indicates that when hominids occupied the site, the area was characterized a warm-temperate and forest-steppe environment. The diversity of local geological/topological conditions, the rich animal and plant food resources, and the convenient water supply at the site, all point to very favorable ecological conditions for hominids’ survival at Locality 15. Table 1

Artifact Classes and Frequencies

Class

Frequency

Percent

cores

130

1.9

flakes

439

6.4

flake fragments

91

1.3

bipolar fragments

87

1.3

1281

18.5

spheroids

2

0.0

hammerstones

7

0.1

burned pebbles

4

0.1

chunks

4829

70.3

Total

6870

100.0

retouched tools

3

Artifact Typology

A total of 6870 lithic artifacts have been analyzed by this study (Table 1). Over 70% of stone artifacts unearthed from Locality 15 are amorphous chunks or debitage. The presence of a high proportion of waste materials is expected when tool manufacture was carried out at the site and poor-quality materials, especially vein quartz, were used to produce implements. Classifiable artifacts include cores, flakes and flake fragments, bipolar fragments, hammerstones, spheroids, and retouched tools. Nearly 93% of the retouched pieces are sidescrapers (Table 2). The minority tool types include chopper-chopping tools, cleavers, points, awls, notches, and burins.

ACTA ANTHROPOLOGICA SINICA

158

Table 2

Supplement to Vol. 19, 2000

Retouched Tool Classes and Frequencies

Class Scrapers single sidescrapers

Frequency

Percent

1188

92.6

1043

double-edged sidescrapers

113

multiple-edged sidescrapers

12

thumbnail scrapers

12

endscrapers

8

Chopper-chopping tools

13

1.0

3

0.2

Points

10

0.8

Notches

Cleavers

24

1.9

Awls

5

0.4

Burins

17

1.3

Pieces with irregular retouch

21

1.6

2

0.2

1283

100.0

Spheroids Total

4

Core Reduction

At least two major core reduction technologies are recognized in cores and flakes from Locality 15. One is direct hard hammer percussion, and the other is bipolar flaking. Two core reduction strategies by direct hammer percussion can be inferred from various core forms. One, termed multi-directional flaking or opportunistic flaking, is represented by simple and polyhedral cores. The characteristic of opportunistic flaking is that flakes were detached from cores wherever suitable striking platforms and angles were found and without consideration or planning for later flaking. The other is termed alternate flaking, in that flakes were alternately detached from two faces of flat cores. Previous flake removals on one face serve as striking platforms for new flake detachments on the opposite face. The alternate flaking strategy is represented by discoid cores (Figure 1), which account for about one quarter of the cores. It is believed that these two core reduction strategies were employed to exploit pebbles with different initial shapes and sizes. That is, the alternate flaking tactics was used to produce flakes from flat pebbles, while opportunistic flaking was employed to flake polyhedral pebbles. Most flakes are small and irregular, and appear to be produced on unprepared cores. No systematic striking-platform preparation can be recognized either on cores or on flakes. Occasional core detachment faces shaping or preparation can be observed on flakes (Figures 2-2 and 2-3). There is no evidence to support a Levallois technology at Locality 15. A single, often-illustrated socalled “Levallois point” from the site (Figure 2-1) is in all likelihood an accidental product of alternate flaking of a discoid core. Recognizable bipolar fragments make up less than 12% of the core-flake category at Locality 15, which is a substantial departure from the bipolar-predominant Locality 1. The decline of bipolar flaking from Locality 1 to Locality 15 at Zhoukoudian is believed to be the result of the improvement of direct hard hammer percussion by the Locality 15 hominids, which allowed them to reduce the dependence on the wasteful and inefficient bipolar technique in producing usable tool blanks.

GAO: Interpretation of Lithic Technology at Zhoukoudian Locality 15

Figure 1

5

159

Discoid cores

Retouch Technology

The overwhelming majority of retouched tools are sidescrapers (Figure 3). Modified tools appear to be retouched by direct hard hammer percussion. Most of the tools were retouched unifacially. Pieces made on flakes were modified overwhelmingly on the dorsal surfaces. Most of the tools are small and irregular. A few large and regular specimens are found in the cleaver and chopper-chopping tool categories. Most modification scars are deep, irregular, and variable in size, indicating that modification of these pieces was not normally well-controlled. However, some specimens do exhibit well-controlled fine retouch, evidenced by even and parallel modification

160

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

scars and sharp, regular, smooth or denticulate cutting edges, indicating that hominids at the site were capable of making delicate stone tools when raw material permitted and necessity arose. Statistical analyses were conducted to examine variability of retouched pieces. There are significant differences in size, edge length and retouch invasiveness among different tool types, namely scrapers, cleavers, and chopper-chopping tools. No consistent differences in size, retouch length and invasiveness, edge angle and profile can be identified among different edge-shape groups (straight, convex and concave) for single sidescrapers. This indicates that such edge variations might occur naturally, probably as a function of the initial morphology of the blanks, and do not necessarily represent discrete functional types. Bivariate examinations of scrapers reveal linear relationships between edge length and blank length, retouch invasiveness and blank length, and edge length and retouch invasiveness, implying that the tool size and modification extent are closely related to the original blank size and morphology.

Figure 2

Flakes

GAO: Interpretation of Lithic Technology at Zhoukoudian Locality 15

Figure 3 Straight single sidescrapers

161

ACTA ANTHROPOLOGICA SINICA

162

6

Supplement to Vol. 19, 2000

Raw Material Economy

The raw material most often exploited at Locality 15 was locally available quartz (95.2%). The raw material combines high abundance and low quality. As a result, the extent of raw material consumption in general is quite low, evidenced by the predominance of wasted materials and minimal modification of the retouched tools. Many flakes are not modified, although some are presumed to be utilized in their natural conditions. Different strategies were believed to be employed to exploit various raw materials. Vein quartz and rock crystal were processed at the site, while flint, igneous materials and sandstone were probably flaked somewhere else and the selected tool blanks brought to the cave. As the result of different handling and different workability of these raw materials, quartz and rock crystal were less extensively consumed than other materials. However, within the quartz group, pieces with higher quality were exploited more extensively, evidenced by small and heavily worked residual cores and tools retouched on the entire workable margins.

7

Implication for Hominid Behavior and Adaptation

The structure of a stone tool assemblage and the nature of artifact variability on a regional scale are closely related to several factors, including the availability and quality of raw material, the strategy by which it was procured, the particular activities in which stone tools were made and used, and the role of the sites within a settlement or mobility system. The capabilities and activities of making stone tools by hominids at Locality 15 were clearly affected by the raw material most immediately available to them, that is, the combination of high quantity and low quality. It has been suggested that poor-quality raw material usually leads to informal tools, while raw material with high quality and low abundance is usually associated with formal tools, and material with high quality and high abundance can produce both formal and informal tools [7]. The Locality 15 industry certainly fits the pattern of poor quality raw material leading to informal stone tools. That is, hominids at the site were constrained to use mainly poorworkability raw materials to make their tools, and that led to large quantity of waste materials and irregular and minimally-modified informal tools. The structures and features of lithic assemblages have often been correlated with certain hominid mobility and land use patterns. Lithic technologies may be organized along a continuum ranging from curation to expediency in response to mobility patterns [8]. It is believed that curated technology is generally associated with mobile population to cope with raw material shortage and to economize raw material utility, while expedient technology is often identified with sedentary or semi-sedentary contexts in which residential locations would be provisioned with abundant raw materials, allowing hominids to exploit them casually [9]. Most stone artifacts from Locality 15 fit the pattern of expedient tools; accordingly, a more or less sedentary settlement pattern for the Locality 15 hominids would be implied by these artifacts. However, a curated or expedient technology alone may not be a conclusive indication of certain mobile or sedentary patterns for hominid settlement, because raw material availability and quality may have also played essential roles in shaping the structure and features of a stone tool assemblage. The Locality 15’s setting and the presence of a large quantity of stone artifacts and faunal remains at the site would favor a sedentary scenario. However, it has been argued that the accumulation of rich artifacts and faunal remains at some sites could be the result of a land-use pattern of “high mobility but frequent reoccupation of the same places” [10]. Moreover, to argue for sedentism at a site, additional evidences are needed, such as recognizable features, structures and facilities (e.g., constructed shelters and hearth, maintenance of sites), and an expansion of diet breadth (i.e., the reduce of the emphasis on large game and greater exploitation of small animal and plant food resources). Unfortunately, Locality 15 was excavated at a time that no special attention was paid to identify formation processes of the site and the structures of these archeological remains; and though rodents, birds and other small animal skeletal remains were reported from Locality 15, no analysis has been conducted on the quantity of them and if they were actually used by hominids.

GAO: Interpretation of Lithic Technology at Zhoukoudian Locality 15

163

In addition, only Celtis seeds have been collected at Locality 15 as one possible plant food source. Therefore, it is premature to determine at present if the Locality 15 hominids were sedentary habitants at the site and the precise ways of this site being utilized. The stone tool assemblage from Locality 15 is dominated by small scrapers. Heavy-duty implements (e.g., cleavers and chopper-chopping tools) are very scarce in this assemblage. A noticeable character of this “tool-kit” is the poor representation of pointed implements or weaponry tools, which will not favor a regular big game hunting scenario at the site. It has been suggested that the European Mousterian “tool kit” is made up primarily of nonextractive implements (e.g., sidescrapers, notches, denticulates) which were used to work or manufacture other materials rather than to procure resources [11]. It has also been postulated by some researchers that stone flakes and flake tools found in East Asia were used mainly to work on or to shape bamboo and other non-lithic implement, and that these non-lithic tools were used extensively in that region during the Pleistocene, while simple chopper-chopping tools were used to supplement the heavy-duty functions that cannot be fulfilled by nonlithic tools [12]. Whether the Locality 15 stone artifacts were used to shape nonlithic implements, including bamboo, antler and bone, will remain an open question until stone tool functional studies and zooarcheological analyses are completed. Without such studies, the determination of stone tool functions and through it the interpretation of hominid adaptations at the site will inevitably be speculative.

8

Relationship between Locality 15 and Locality1

This study argues against the hypothesis that Zhoukoudian Localities 1, 4 and 15 belong to one giant cave and one lithic industry. Locality 15 and Locality 1 are clearly different in cave structures and geological ages (with the former younger than the latter). The lithic industries of Locality 15 and the upper horizons of Locality 1 share many similarities in artifact typology, tool retouch technology, stylistic features, and raw material utilization, which would link the two assemblages into the same cultural or technological tradition. They could also indicate that hominids at the two sites were exploiting similar environmental conditions with similar adaptive strategies. Nevertheless, this research also revealed substantial differences between the industries of the two sites. One major difference is that bipolar flaking, the predominant technique of core reduction at Locality 1 [13], played only a supporting role at Locality 15, while direct hard hammer percussion, used only occasionally at Locality 1, became the principal flaking method at Locality 15. Another difference is that some tool types found from Locality 15, especially cleavers, were not present at Locality 1. The third major difference is that more quartz was utilized at Locality 15 than Locality 1, probably because that the mastery of direct hard hammer percussion technology by the Locality 15 hominids enabled them to make use of vein quartz more efficiently and successfully, and thus spend less time and energy to procure better-quality but scarce raw materials. The major departure in flaking technology from Locality 1 to Locality 15 should be taken as a clear indication that these two assemblages cannot be placed into a single contemporaneous lithic industry.

9

The Loc. 15 Industry and Current Models Regarding Paleolithic Cultural Traditions and Development in North China

The Locality 15 industry consists largely of small, simple and irregular cores, flakes and scrapers. Such characteristics are shared by many other Paleolithic industries in North China. They have been termed generally as simple core-flake industry [14] or the principal industry of North China [15]. Lithic assemblages sharing these features have been commonly grouped into a small tool tradition, one of the two hypothetical Paleolithic traditions identified in North China [16]. I have argued that the practice of defining two distinct, parallel and long-lasting technological traditions within the same region based on typological and stylistic observations is problematic [17]. One major weakness of this model is that data from some sites are biased, largely due to the lack of taphonomic study of the sites and the selective manner of data collection. Another major drawback

164

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

of this hypothesis is its lack of quantification, leading to a failure to identify common grounds between the two “traditions” and to recognize the complexity of the lithic industries in North China. The Locality 15 industry has been placed at the very beginning of the Middle Paleolithic in China [18]. However, this study demonstrates that the Locality 15 industry does not signal a clear transition or major change from the Locality 1 and other Lower Paleolithic assemblage in China. The examination of five aspects of lithic technology, including raw material procurement, core reduction, retouch, typology, and tool blanks, indicates that although notable developments occurred in Paleolithic industries in North China prior to the late Upper Pleistocene, such changes were gradual rather than abrupt, and do not support a division into two distinct cultural stages. The definition of Chinese Middle Paleolithic is the product of unilinear evolutionary thinking and transfer of cultural sequences from other regions, and is not based solely on archaeological evidence accumulated in China. The three Paleolithic stages in China were derived through comparison with the established western European Paleolithic developmental sequence. However, the criteria used to define the various stages were biostratigraphy, geological strata, the association with certain hominid types, and absolute dating, rather than cultural or technological characteristics expressed in archaeological remains [19]. Therefore, this study suggests the reorganization of Paleolithic industries in China into two stages: One is the Early Paleolithic, ranging from the Lower Pleistocene to the early Upper Pleistocene, characterized by simple core-flake tools. The other is the Late Paleolithic in the late Upper Pleistocene, represented by blade-microblade technology. The abrupt appearance of blade-microblade artifacts in North China is believed to be the result of the immigration of or influence from populations to the north, namely Mongolia and Siberia. Acknowledgment: Funding for research on Zhoukoudian Locality 15 has been provided by the Wenner-Gren Foundation, the Leakey Foundation, the National Science Foundation, the University of Arizona, and the Institute of Vertebrate Paleontology and Paleoanthropology, Academia Sinica. Dr. John W. Olsen and Dr. Steven L. Kuhn reviewed this manuscript. I thank them for their help. I am also indebted to Dr. William A. Longacre, Mary Stiner, Professors Zhang Senshui, Wei Qi, Huang Weiwen, Qiu Zhuding, Liu Wu, Chen Tiemei, Wu Yushu and Shen Wenlong for their academic advice and logistical assistance. References: [1] JIA LP, HUANG WW. The Story of Peking Man: From Archaeology to Mystery [M]. Beijing: Foreign Language Press, 1990. [2] JIA LP. Preliminary report on the excavation of Choukoutien Locality 15 [N]. Shijie Ribao 19 January and 2 February, 1936. [3] PEI WC. A preliminary study on a new Paleolithic locality known as Locality 15 at Choukoutien [J]. Bull Geol Soc China, 1939, 19(2):147-187. [4] GAO X. Explanations of Typological Variability in Paleolithic Remains from Zhoukoudian Locality 15, China [D]. Ph.D. Dissertation, the University of Arizona, 2000. [5]. ZHANG SS. Paleolithic Cultures of China [M]. Tianjin: Tianjin Science and Technology Press, 1987. [6] QIU ZL. The Middle Paleolithic of China [A]. In: WU RK, WU XZ, ZHANG SS eds. Early Humankind in China. Beijing: Science Press, 1989, 195-219. [7] ANDREFSKY W. Raw material availability and the organization of technology [J]. Am Antiq, 1994, 59(1):21-34. [8] BINFORD LR. Organization and formation processes: looking a curated technologies [J]. J Anthropol Res, 1979, 35:255-273. [9] PARRY W, KELLY R. Expedient core technology and sedentism [A]. In: JOHNSON J, MORROW C eds. The Organization of Core Technology. Boulder: Westview Press, 1987, 285-309. [10] KUHN SL. Mousterian Lithic Technology: An Ecological Perspective [M]. Princeton: Princeton University Press, 1995. [11] ANDERSON-GERFAUD P. Aspects of behavior in the Middle Paleolithic: functional analysis of stone tools from Southwest France [A]. In: MELLARS P ed. The Emergence of Modern Humans: An Archaeological Perspective. Ithaca: Cornell University Press, 1990, 389-418. [12] POPE G. Bamboo and human evolution [J]. Nat Hist, 1989, 10: 48-57.

GAO: Interpretation of Lithic Technology at Zhoukoudian Locality 15

165

[13] PEI WZ, Zhang SS. A Study on the Lithic Artifacts of Sinanthropus [M]. Beijing: Science Press, 1985. [14] SCHICK KD, DONG ZA. Early Paleolithic of China and Eastern Asia [J]. Evol Anthropol, 1993, 2(1):22-35. [15] ZHANG SS. The early Paleolithic of North China [A]. In: WU RK, WU XZ, ZHANG SS eds. Early Humankind in China. Beijing: Science Press, 1989, 97-158. [16] JIA LP, HUANG WW. On the recognition of China’s Paleolithic cultural traditions [A]. In: WU RK, OLSEN JW eds. Palaeoanthropology and Palaeolithic Archaeology in the People’s Republic of China. New York: Academic Press, Inc, 1985, 259-265. [17] GAO X, OLSEN JW. Similarity and variability within the Lower Paleolithic: East Asia, western Europe and Africa compared [A]. In: TONG YS et al. eds. Evidence for Evolution—Essays in Honor of Prof. Chungchien Young on the Hundredth Anniversary of His Birth. Beijing: China Ocean Press, 1997, 63-76. [18] QIU ZL. The Middle Paleolithic of China [A]. In: WU RK, WU XZ, ZHANG SS eds. Early Humankind in China. Beijing: Science Press, 1989, 195-219. [19] GAO X. A discussion of the “Chinese Middle Paleolithic” [J]. Acta Anthropol Sin, 1999, 18(1): 1-16.

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

166-169

Appearance of Early Blade Technique in Northeast Asia Kazuto MATSUFUJI (Department of Humanity, Doshisha University, Kyoto, Japan)

Abstract Early blade technique was introduced to Northeast Asia from the Altai region. The early technique coexisted with native technologies and tools in Korea and Japan. Once the technique diffused into some local groups, it made technological variations and regional advances under the various ecological environments in Northeast Asia. Especially in the northeastern Japan, blade technique had prominent development linking with siliceous shale. True blade industries existed there. On the other hand, blade technique had merely limited influence in North China and Korea. It coexisted with the preceding massive tool-making tradition in Korea. This suggests that new blade tools were added to native equipments.

Key words:

Upper Palaeolithic; Blade, Blade technique; Shuidonggou site

1

Introduction

The appearance and diffusion of blade techniques in Northeast Asia is one of the most attractive subjects for Palaeolithic archaeologists. In general the technique is considered as an important element characterizing the Upper Palaeolithc cultures. The technique spread rapidly over various ecological zones. However the reality of the technique is very complicated according to environments around sites and preceding cultural tradition. In future the detailed researches may attribute to elucidate cultural relationship of peoples in this vast area. On this paper, I offer a hypothesis on the diffusion of blade techniques in Northeast Asia.

2

Blade technique in North China

Teilhard de Chardin and Licent [1] excavated the famous Shuidonggou site in North China in 1923. It is situated at ca.30 km southeast of Yinchuan City in Ningxia Hui Autonomous Region. After the liberation, Chinese archaeologists unearthed the site in 1960 [2], 1963 and 1980 [3]. The Palaeolithic culture layer is buried in silt under the Neolithic layers, about 9 m below the present ground surface. At least 10,000 stone artifacts have been recovered in past excavations. Fortunately I had an opportunity to observe the artifacts from 1980's investigation. The artifacts were carefully picked up separating the Palaeolithic layer and the Neolithic layers under stratigraphical control. The raw material is mainly composed of quartzite and dolomite (siliceous rock) which occur in river bed in front of the site. A great number of blades, blade-flakes and blade cores were recovered with a small number of flake points like Mousterian and discoidal cores. Most of the blades have flat and large striking platform formed by single or a few percussion. The blades are thick and broad against their length on the whole. The blade-cores are very characteristic ones with double striking platforms opposite, though there are single platform cores. A few crested flakes with triangle section yielded in the Palaeolithic culture layer. Accordingly most of blades must be struck off without removal of crested flake. The core size concentrates in 4 to 9 cm in length. Striking platforms incline slightly to back. Blades were struck off on only a core face. This blade technique is similar to that of level of occupation 6 at Kara-Bom Site in the Altai [4]. End-scrapers, sidescrapers, notches and utilized blades were made on blades in the Shuidonggou site. However these finished tools are not many compared to the number of blades and blade cores. There are also blades divided into short pieces. I found out a few base trimming knives on blades or blade-flakes within the collection. The Shuidonggou industry was recognized as the transitional one from the Middle to Upper Palaeolithic. On the new evidences that it accompanied a bone point and beads made on ostrich eggshell, Chinese archaeologists became to consider it the Upper Palaeolithic. At present we can use four datings for the industry. They are 38,000-2,000y.B.P. and 34,000-2,000y.B.P. by uranium

MATSUFUJI: Appearance of Early Blade Technique in Northeast Asia

167

series method, 25,450-800y.B.P. and 16,760-210y.B.P. by radio carbon dating [5]. The last one is too young for this industry. The same blade industry as the Shuidonggou is obscure in China with exception of fragmentary finds in the upper and middle Huang River basin. This industry differs clearly from contemporary industries of the Upper Palaeolithic in North China, which are traced to the flake tool tradition of the Middle Palaeolithic. Therefore I think the makers of the Shuidonggou industry came into Northern China through Mongolia Plateau from the Northwest. On this point, I pay special attention to the late Middle and the early Upper Palaeolithic industries at the Altai region in Russia. On this point, the site of Kara-Bom is especially remarkable.

3

Blade techniques in the Korean Peninsula

The progress of Korean Palaeolithic archaeology in last decade is worthy of attention. Up to now several industries with blades have been recovered in the southern part of the Korean Peninsula. The most remarkable industries come from Sokchangni, Kum Cave, Suyanggae, Jucknaeri and Koraeri sites in South Korea. Kum Cave is opened on the terrace of Nam-Hang River, which was excavated by Prof. Pokee Sohn in 1983-85. It has 7 cultural layers from the Lower Palaeolithic to the Bronze Age [6-7]. The assemblage of the 4th cultural layer at Kum Cave is composed of end-scrapers, pebble tools, sidescrapers, denticulates and pointed tools. A long bone point was found in the same layer. The radiocarbon dating against the cultural layer is between ca.32,000 and 28,000 y.B.P. Many blades were recovered, though blade-core is not reported. They concentrate in 3.5 to 9 cm in length and 2 to 3.5 cm in width. The cultural layer includes a base trimming knife on a long blade and an endscraper on a blade [8]. The open-air site of Suyanggae is also located on the river terrace at the upper stream of NamHang River. The excavation was carried out by Prof. Yung-jo Lee [9-11]. So many stone artifacts were found in situ. The Upper Palaeolithic artifacts occurred in the lower part of the layer W with 49 concentrations. The finds are separated stemmed-points on blades group and micro-cores one, basing on each superficial distribution [12-13]. The radiocarbon dates of the layer W are 18,630y.B.P. and 16,400y.B.P.. Stemmed-points occur without coexisting with any micro-cores and micro-blades in Kyushu Island of Japan, after falling of the Aira-Tanzawa volcanic ash (in short AT: ca.24,000y.B.P.). Suyanggae's stemmed-point industry contains blade-cores similar to those in Shuidonggou Site. It also yielded other types of semi-conical shape with single striking platform and semi-cylindrical shape with double striking platforms. The blades were removed from only one core face with large angle. Moreover refitted materials were recovered on this site. The industry of Kum Cave without blade-core must precede Suyanggae's blade industry, because the former has no stemmed point known at other several sites in the peninsula. This is proved by the radiocarbon dates too. Blade technique appeared suddenly in the Korean Peninsula as well as North China. It coexists with massive choppers and chopping-tools in Korea. In addition to traditional quartz and quartzite, siliceous rock, which is more suitable for flaking blades, was begun to use as the raw material. It is suggested intensely for us that Korean blade techniques were introduced into this area from another one.

4

Blade techniques in the Japanese Archipelago

Basic flaking technology of the Upper Palaeolithic in the Japanese Archipelago is characterized by blade techniques. The techniques had already covered over the main islands before AT volcanic ash fall. However there are two opposite opinions regarding the origin of the technique in Japan In the Kanto Plain, it is assured that blade industries, dating from ca.30,000y.B.P., followed trapezoid and partially polished axe industries. Although trapezoid still survived in later period, the axe disappeared earlier. Blades trimmed slightly on both sides of the platform appeared at first,

168

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

before long they evolved into regular backed knives with one edge blunted for safer handling. Backed knives developed independently within the Japanese Islands. It has several regional variations in morphology and technology as well as raw materials. This fact suggests that several local groups were formed and frequently exchanged technological information among each groups. The blade industries with backed knives are distributed through much of the country from the Tohoku to the Kyushu before AT ash fall, showing their regional varieties. The Owatari Usite in the Tohoku yielded a typical blade industry before AT. Another typical blade industry was also recovered at the Komagata-Furuya site in the northeastern Kyushu. In the district there is a dark colored soil, the so-called Black Band, just under AT. The industries in the buried soil are characterized by elegant backed knives and end-scrapers on blades or blade-flakes. Nevertheless the root of Japanese blade technique has not been sufficiently elucidated yet. The blade technique of the Shuidonggou site in North China, the Sokchangni site and Kum Cave in South Korea may hold the key to resolve this problem in future.

5

Conclusion

Blade technique in East Asia is very complicate in space and time. The detailed comparison is remained for future research. Here I predict roughly the relations between the continent and the Japanese Islands. With regard to the early blade technique in East Asia, I summarize as follows. 1) Early blade techniques appeared suddenly between ca.40,000 and 30,000y.B.P. in Northeast Asia. 2) Siliceous or glassy rocks were intentionally selected as raw material just as blade technique appeared in each area. 3) Early blade-cores are primitive and similar to one another. It has one or two striking platforms for percussion. The striking platform is often wide and inclined to back. Blades are struck off on only one surface. The back remains cortex or primary flaking surface. 4) Industries with early blade technique have end-scraper and primitive backed knife on a blade. However the latter is very scare in number. True burin does not exist in early blade industries. 5) Early blade technique has not been found in South China and Southeast Asia so far. This indicates that it is northern origin. 6) Preceding the appearance of blade technique, true prepared core technique like Levallois is not known in North China, the Korean Peninsula and the Japanese Islands. In East Asia, early blade techniques had not each root in the preceding industries. In conclusion, blade techniques must have been introduced to East Asia from other region. The early technique coexisted with native technologies and tools in Korea and Japan [14]. Once the technique diffused into some local groups, it made technological variations and regional advances under the various ecological environments in northeast Asia. The unique Setouchi technique in Western Japan appeared as an adaptation for the local raw material on the accumulated technologies. Especially in the northeastern Japan, blade technique had prominent development linking with siliceous shale. True blade industries existed there. On the other hand, blade technique had merely limited influence in North China and Korea. It coexisted with the preceding massive tool-making tradition in Korea. This suggests that new blade tools were added to the native equipment. References: [1] TEILHARD DE CHARDIN P, LICENT E. On the discovery of a Palaeolithic Industry in Northern China [J]. Bull Geol Soc China, 1924, 3(1):45-50. [2] JIA LP et al. New finds in Shuidonggou Palaeolithic site [J]. Vertebr PalAsiatica, 1964, 8(1):75-81 (in Chinese). [3] NINGXIA MUSEUM et al. Excavating report at Shuidonggou site in 1980. Acta Archaeol Sin, 1987, 4:439-449. [4] DEREVIANKO AP, ZENIN AN. The Mousterian to Upper Palaeolithic transition through the example of cave and open air sites of the Altai [A]. In: The Second International Symposium: Suyanggae and Her Neighbors, Korea. 1977, 243254.

MATSUFUJI: Appearance of Early Blade Technique in Northeast Asia

169

[5] CHEN TM, YUAN SX, GAO SJ. The study on Uranium-series dating of fossil bones and an absolute age sequence for the main Paleolithic sites of North China [J]. Acta Anthropol Sin, 1984, 3(3):259-269. [6] SOHN P. A report on Paleolithic Site of Todam Kum Cave, Tanyang [R]. Report of Ch'ungju Dam, 1984, 15-99 (in Korean). [7] SOHN P. A report on Paleolithic Site of Todam Kum-Gul Cave, Tanyang [A]. Report on the Extension Excavation of Archaeological Sites in the Submerging Area of Ch'ungju Dam Construction (Extension Report of Ch'ungju Dam), 1985, 5-100 (in Korean). [8] SHIRAISHI N. On stone-tools of the early stage of Upper Palaeolithic Age in Korea [A]. Prehistoric and Archaeological Studies, 1. University of Tsukuba, 1989 (in Japanese). [9] LEE YJ. A preliminary report on Paleolithic site of Suyanggae, Tanyang [A]. Preliminary Report of Ch'ungju Dam, 1983, 45-66 (in Korean). [10] LEE YJ. A report on Paleolithic site of Suyanggae, Tanyang [A]. Report on the Excavation of Archaeological Sites in the Submerging Area of Ch'ungju Dam Construction, Part 1. 1984, 101-186 (in Korean). [11] LEE YJ. Excavation of Suyanggae Site [A]. Report on the Extension Excavation of Archaeological Sites in the Submerging Area of Ch'ungju Dam Construction (Extension Report of Ch'ungju Dam), 1985, 101-252 (in Korean). [12] MATSUFUJI K. Reexamination of Setouchi technique [J]. Futagami, 1974, 138-163 (in Japanese). [13] MATSUFUJI K. A cultural exchange between Kyushu Island and the Korean Peninsula in the Upper Paleolithic Age [A]. The 2nd International Symposium: Suyanggae and her neighbors, 1997, 111-126. [14] KATO S. The appearance of Blade Technique in East Asia [J]. Quart Res, 1997, 36:197-206 (in Japanese).

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

170-180

Early Middle Palaeolithic Blade Technology in Southwestern Asia Liliane MEIGNEN (Prehistoire et Technologie, CRA-CNRS, Sophia Antipolis, 06560 Valbonne, France)

Abstract The Near Eastern area is well-know for its high component of elongated blank production, already recognized for more than 40 years in the Middle Palaeolithic sequence. But it is only recently, with the progress in lithic technological studies and radiometric dating, that the importance and duration of the phenomenon have been recognized. Recent technological studies of several sites have demonstrated the existence of various blade-production technical systems, some of them, in most respects, almost identical to those identified during the Upper Palaeolithic, at a surprisingly early date in the MP sequence. It means that the "laminar" concept of debitage, largely adopted later, was already part of the Middle Palaeolithic technical knowledge 190 000 years ago as a minimum (Hayonim Cave). The data presently available demonstrate that, even if sporadic, the blade production was in fact known not only in the Middle Palaeolithic of the Near East but also in many other regions (Western and Eastern Europe, Africa, Western Asia); this production was more or less adopted, often discrete, but nevertherless present. This phenomenon includes areas where only Neandertals are known, such as the numerous sites of Northern France. On the opposite, Qafzeh/Skhul hominids (archaic Homo sapiens ), in the Levant, are always associated with Levallois flake industries. Thus, contrary to what was claimed for a long time, the sole presence of bladegeared industries is not indicative of modern human behaviour.

Key words:

Blade technology; Middle Paleolithic; Southwest Asia

Following the gradualist evolution hypothesis, which postulates a very close association between cultural and biological changes in human evolution, prehistorians , during a long period, considered the blade production as a major technological innovation linked with the appearance of Modern Humans (Homo sapiens sapiens). The Middle Palaeolithic was then characterized by flake tools, while the Upper Palaeolithic had blade tools. Still nowadays, the sole presence of a significant blade component leads some authors to consider these assemblages as an «evolved Mousterian » or even as «Transitional industries ». The idea of progressive evolution along different technical stages is still persistent[1-3] and the manufacture and use of blades is considered by several authors as a criteria for «fully modern behavior » in the Palaeolithic [4-6]. In fact, the shift to blade technology has been interpreted as more efficient than the Mousterian flake technology and considered as an element of progress. But, in the 2 last decades, more detailed chronostratigraphical researches, based mostly on recent fieldwork and new radiometric methods of datation, and the development of technological studies have demonstrated the existence of different blade-production technical systems, not only at the early beginning of the Upper Palaeolithic but also at a surprisingly early date in the MP sequence (as old as 250- 300 000 years ago), long before the transition to the UP. Moreover, some of them, in most respects, are almost identical to those identified during the Upper Palaeolithic[7-11], it will be discussed later. This Middle Palaeolithic blady phenomenon has been now recognized in numerous places of the world, at different periods, demonstrating the oscillating nature of this technological change rather than a linear evolution. The present state of research shows the development of blade production. - in Africa, where a small assemblage with blades produced from large prismatic cores has been found in layers of the Kapthurin Formation (Kenya) dated to around 240 000 y ago [12-13]. - in Northern Europe [8-10, 14-15] where the numerous sites are mostly occupied during isotopic stages 5 and 4 (see Delagnes, this volume). - in Central Asia : in Tadzhikistan, a blady assemblage has been recently published in the site of Khonako III, dated between 200-240 000 y [16]; in the Altaï, the site of Kara Bom demonstrate elongated blank production since the end of the Mousterian through the beginning of the Upper Palaeolithic[3].

171

MEIGNEN: Early Middle Palaeolithic Blade Technology in Southwestern Asia

- in Transcaucasia, the assemblages of Koudaro I, Djrujula, Tsona [17-18] are characterized by elongated blanks, often retouched in points, close to those recovered in Hayonim and Abou Sif, in the Near East. - and finally, in Southwestern Asia where the manufacture of blades appeared early (the socalled Amudian, around 300 000y) and was «re-invented » sporadically during the Mousterian period.

1

Near Eastern blady industries

The Near Eastern area is well-know for its high component of elongated blank production in the Middle Palaeolithic sequence (figure 1); this fact is already recognized for more than 40 years with the identification of the so called PreAurignacian (Yabrud, Syria) [19-22] , Amudian (Tabun unit XI, in Israel; Abri Zumoffen, in Lebanon) [23-27], and Tabun D type industries [25-26]; if the Amudian and the Pre-Aurignacian were identified as non Levallois since their discovery, the Tabun D type industries were all considered as Levallois until 1994 [7, 28]. But it is only recently, with the progress in lithic technological studies and radiometric dating, that the importance, diversity and duration of the blady phenomenon have been recognized in this area. The data presently available show: - a large spatial repartition over the Near East, covering different environmental contexts: in the Mediterranean vegetational zone, along the coastal plain and in Galilee, as well as in areas which are today in xeric Irano-Turanian steppe environments ( Palmyra basin, Negev and Jordanian deserts); only the industries where the blade component is largely developed have been here taken into account. - a large time dispersal : even if still limited, the radiochronological data set shows that these numerous sites with blade technology are known over a period of more than 200 000 years (table 1). The evidence for the time-transgressive nature of these blady industries is confirmed by dates ranging from 306 +/- 33 000 (TL date for the Amudian at Tabun unit XI [29]) to ca. 80 000y at Ein Aqev in the Negev desert [30]. Blades are scarce in the Late Mousterian phase (between 70 and 50 000), only found in small quantities in some sites such as Quneitra, for example[31]. Table 1

Available datations for the Near Eastern blady industries

Locality

Horizon

References

Tabun, unit XI (Amudian)

306 +/- 33 000 (TL)

(Mercier et al. 1995)

Tabun, units IX to II (elongated Levallois blanks)

263 +/- 27 000 to 212 +/- 22 000 (TL)

(Mercier et al. 1995)

Abri Zumoffen (Amudian)

stage 7

(Sanlaville 1998)

Yabrud c.13 et 15 (Preaurignacian)

younger than 195 +/- 15 000 (layer 18, TL)

(Farrand 1994)

Hayonim Ebase

150-200 000.(TL, ESR)

(Schwarcz 1994; Valladas et al. 1998; Schwarcz and Rink 1998)

Ain Difla

90-180 000 (TL,ESR,U/Th)

(Clark et al. 1997)

Hummal Ia (Hummalian)

younger than 160+/- 22 000 (layer Ib,TL)

Oxford laboratory 1988)

Rosh Ein Mor

80 000 env. (U/Th)

(Schwarcz et al. 1979)

172

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

The common feature between all these assemblages (figure 1) is the importance of the elongated products in the lithic production, whatever the core reduction strategy chosen. Several researchers have already stressed the fact that the same blank morphology (blades, points) can be obtained in totally different technical systems[32-33]. Because making stone tools is the result of learned behavior transmitted through generations [32-35], the methods of production must be characteristic of the technical knowledge of the prehistoric groups. It means that for understanding the technical repertoire of the prehistoric groups, it is important to take into account not only the end-products, the tools, but also the reduction strategies adopted for producing these tools. For this purpose, we focussed our researches on the variability of the dynamic process of knapping (the « chaîne opératoire ») [36] leading to the production of the elongated blanks. We tried to decipher the way the flintknappers organized the volume of raw material to be worked, and to identify the necessary steps to be taken in the core reduction in order to obtain end products of the desired morphology.

Figure 1

Map of the sites with blade production

MEIGNEN: Early Middle Palaeolithic Blade Technology in Southwestern Asia

173

Recently, one of the significant development in Near Eastern lithic studies has been the identification of different methods of debitage (different concepts) in the blade production[7, 11, 28, 33], that could be succintly sum up in 2 different groups: - the Levallois method for production of elongated blanks (Levallois blades and points), identified in the so-called Tabun D type industries. - a true laminar concept, that we called the Laminar method, close to those documented later in fully Upper Paleolithic industries.Two examples of these lithic assemblages have been chosen to illustrate these two main core reduction strategies and the end-products associated with them. 1.1

Levallois method for production of elongated blanks ex: Tabun unit IX (Mount Carmel, Israel) The excavations in Tabun Cave [7, 11, 23, 28, 33, 37] have revealed a long sequence of deposits (about 25 m), which has been considered as the reference site for the Near Eastern Lower and Middle Palaeolithic. Unit IX (in Jelinek’s stratigraphy, equivalent of layer D in Garrod’s excavations [26]), dated to 263+/-27 000 y by TL [29], is topped by several mousterian units with Levallois short blank production (the so called Tabun C and B type industries). The chaîne opératoire involved is oriented toward the production of numerous elongated Levallois points and wide, thin blades, often subtriangular; these end-products come from Levallois cores exploited by unidirectional or bidirectional removals. The method is recurrent, which means that a succession of elongated blanks extending down the greater part of the length of the core are struck from prepared platform at either one or two ends of the core. The characteristics of the striking platforms, bulb of percussion and ventral surfaces indicate the use of hard hammer. The structure of the cores is characteristic of the Levallois method [33, 38], with two opposite secant surfaces, one for the preparation of the striking platform, the other for the debitage; they present, at their final stage, a relatively flattish upper surface (debitage surface) and elongated scars. The retouched tools mainly comprise few side scrapers, often on the shorter blanks, some retouched elongated points and Upper Palaeolithic tools such as burins. A few bifaces have been also found in this unit. 1.2

Laminar method ex: Hayonim layers lower E and F Recent excavations in Hayonim cave (Galilee, Israel) have exposed an important Middle Palaeolithic sequence of more than 5m thick. Layers lower E and F, localized at the bottom of the stratigraphy, are covered by layer Upper E which contains classical Levallois flake assemblages. Layer lower E is dated to around 150-200 000 BP (Mercier and Valladas, personal communication). The most striking feature of these assemblages is the proportion of elongated blanks, frequently retouched into elongated points and retouched blades. But this production is not exclusive. Beside this, Levallois short blanks, often of triangular shape, are also present. Taking into account all the products and by-products linked with blade production, preliminary technological studies [11] show that the end-products consist of elongated, narrow and thick blades, with triangular or trapezoidal sections (figure 2). These morphologies imply relatively narrow cores, with highly oblique lateral sides in cross section. The most informative data concern the cores which demonstrate a spatial configuration quite different from those resulting from the Levallois concept. Unidirectional cores, the most frequent, show a highly convex tranverse section, with a flaking surface expanding to the lateral edges of the core (in fact, the active surface, from which the blade removals are struck, extends around a large part of the circumference of the core). The morphology is the most often «semi pyramidal » (figure 3). A special preparation of the striking platform with a change in the orientation of the removals allows debitage of the lateral edges. Accidental plunging blades confirm these observations. The bidirectional cores (figure 4), less frequent, also demonstrate a particular structure: the 2 opposed platforms are slightly twisted; from

ACTA ANTHROPOLOGICA SINICA

174

Supplement to Vol. 19, 2000

these striking platforms, in fact, 2 reduction surfaces are then exploited, whose intersection creates the necessary convexities for the debitage. The resulting debitage surface is, as in the previous case, highly convex, and the morphology can be identified as «semi-prismatic ».

Figure 2

Elongated retouched points, on narrow thick blanks

MEIGNEN: Early Middle Palaeolithic Blade Technology in Southwestern Asia

Figure 3

175

Unidirectional core for elongated blanks

The core shaping and maintenance involve the use of crested blades, the classical ones (with 2 versants) ensuring the initial shaping, and those with one «versant », the enlargment of the flaking surface during the knapping process. The characteristics of the striking platforms, bulbs of percussion and ventral surfaces suggest direct percussion, with probably a soft stone hammer. In the case of Hayonim lower E, the retouched tools are mostly of the Mousterian type, i.d. elongated retouched points (figure 2), called «Abou sif points » in this area [39]. Only part of the tool-kit was designed on the end-products of the Laminar reduction strategy. Besides them, classical mousterian point and typical burins, even if not very numerous, are often made on short products obtained in a Levallois core reduction strategy, coexisting with the Laminar method. In layer F, at the bottom of the stratigraphy, aside the same tool kit as in Lower E, there is a striking increase in inverse retouched scrapers (racloirs à retouches sur face plane), a quite frequent phenomenon in the Near Eastern Mousterian (Kebara unit XII to IX; Tor Faraj [40]; Umm el Tlell layer VI3b’[41]). Thus, the Laminar core reduction strategy (unidirectional and bidirectional) recognized in Hayonim lower E, called in french « debitage laminaire semi-tournant » because of the continuous exploitation of a large part of the circumference of the block [9] (see Delagnes, this volume), differs significantly from the Levallois core exploitation. Both methods involve significantly different concepts in the basic approaches to core reduction, leading to different forms of cores, by-products and even to slightly different morphologies in the elongated end-products. In the case of the Levallois method [33, 38, 42], the debitage is organized along the flattening plan of the block (the largest surface) , with a series of removals more or less parallel to this plan, resulting in flat cores. Partial reshaping of the core for the maintenance of lateral and distal convexities is necessary during the knapping sequence. The end-products are, in general, relatively large and thin, due to the morphology of the debitage surface.

ACTA ANTHROPOLOGICA SINICA

176

Figure 4

Supplement to Vol. 19, 2000

Bidirectional core with slightly twisted opposed platforms

On the contrary, for what we call the « Laminar method », the debitage follows the maximum length, organized in the thickness of the block. All the volume is then reduced in a continuous process, without reshaping the core if the debitage is well controlled. In relation with the morphology of the flaking surface, the end-products (the blades) are narrow and relatively thick. In this reduction strategy, the final cores are more akin to Upper Palaeolithic than Middle Palaeolithic forms; and in fact, this flaking strategy, here identified in Hayonim, largely developped later during the Upper Palaeolithic times. It must be stressed now that this example is not unique. Recent researches tend to prove that this « Laminar concept » is a more widely spread phenomenon than previously said. In our present state of knowledge, a systematic blade production in a volumetric conception close to Hayonim lower E is already recognized in several sites, as for example: - Hummal Ia (El Kowm Basin, Syria): E. Boeda[43] recently pointed out that the thick blades are removed in series from two opposed striking platforms «not along the same axis » with hard hammer technique. Not only the technology is the same as in Hayonim, but also the tools, mostly the retouched points which present the same variability in size, location of retouch, type of retouch[44].

MEIGNEN: Early Middle Palaeolithic Blade Technology in Southwestern Asia

177

- Abou Sif (Desert of Judea, Israel) : based on the morphology of blanks, core reduction strategies in this site can be considered as close to Hayonim. Both Laminar method for elongated blank production and Levallois core reduction for short triangular products coexist in this assemblage [45] (and personal observations). Like in Hummal and Hayonim, elongated points were often made on narrow, thick blades. - Rosh Ein Mor (Negev, Israel): as recently demonstrated by A. Marks and K. Monigal[28], part of the elongated blanks were obtained from unidirectional prismatic cores. - Douara IV (Palmyra Basin, Syria): the thick narrow elongated blanks from this site clearly result from cores whose flaking surfaces expanded onto the lateral sides of the prismatic cores described by T. Akazawa [46]. Y. Nishiaki [47], on technomorphological criteria, pointed out affinities with the early Levantine Mousterian from Tabun IX. In our opinion, the available data already published on this assemblage would indicate the presence of a « Laminar » debitage as identified here in Hayonim. - Ain Difla (Jordan): very narrow elongated blanks seem to have been knapped from single and opposed platform narrow cores[48]. Y. Demidenko and V. Usik [49] reported the presence of crested blades in this assemblage.

2

Diversity of the Middle Palaeolithic assemblages

The detailed technological studies recently conducted have also demonstrated that in many Middle Palaeolithic lithic assemblages, distinct reduction strategies were held simultaneously. As we already stressed it in the case of Hayonim lower E, the blade component is rarely exclusive. In fact, only the assemblage from layer Ia in Hummal (Syria) presents an exclusive blade production. In most cases, the laminar core reduction strategy coexists, in the same unit, with other reduction strategies. For examples, in the sites of Hayonim and Abou Sif, both Laminar and Levallois methods are present, aimed at different end-products (elongated blanks for the former, short points for the latter); in Rosh ein Mor, different morphologies of blades and elongated points are obtained from Levallois and Laminar cores. A more contrasted situation is observed in Tabun unit XI (Amudian) where the production of thick blades, in a very simple Laminar concept, coexists with the thick short flake production (Quina type) characteristic of the Yabrudian industries in the Near East. It must be stressed now that in some sites, few elements such as cores, end-products and specific technical pieces testify the presence of the Laminar debitage, even if it is not largely adopted. This fact has been already recognized by N. Goren-Inbar, in Quneitra [31], an open air site in the Golan Heights, and in other mousterian sites in Western Europe. Thus, contrary to the classical Upper Palaeolithic technical behaviour oriented towards the largely dominant production of one type of blank (blade/bladelet), the characteristic of the Mousterian technical behaviour is to involve several concepts of debitage to ensure the diversity of the tool kit. In term of retouched tools, the variability is also the rule. While in lithic assemblages such as Hayonim lower E and F, Abou Sif, Hummal Ia and Tabun IX, Middle Palaeolithic type tools (elongated retouched points ) are prevaling, in others, such as the Amudian of Tabun XI, the PreAurignacian of Yabrud and the Mousterian of Rosh Ein Mor, the Upper Palaeolithic elements are largely developed (couteaux à dos retouché in the Amudian, burins and endscrapers at Yabrud and Rosh Ein Mor). But it must be stressed that, in most of the blade geared industries, whatever the debitage system, the typical burins are well represented. Taking into account all the data previously stated, it is clear that inside the Near Eastern blady assemblages, an important variability can be already stressed, expressed in the different steps of the chaîne opératoire . The methods of production (volumetric structure of the cores, core shaping, location of the striking platform, organization of the removals, end products) as well as the tool management (manufacture, use and maintenance) demonstrate a non homogeneity that must be better defined in the future studies.

178

ACTA ANTHROPOLOGICA SINICA

3

Supplement to Vol. 19, 2000

Conclusion

The stratigraphical and new chronological evidences demonstrate the antiquity of blade geared industries in the Near East (minimum from stage 8) long before the onset of the Upper Palaeolithic. Their stratigraphical position (under flaky industries) and their ages rule out their interpretation as « Late Mousterian » or «transitional industries ». It means that the sole presence of numerous blades, even in the Laminar production system, and Upper Paleolithic tools, has per se no chronological meaning. These first results already emphasize important variability in the blady core reduction strategies of the so-called Early Levantine Mousterian, considered as Levallois until recently. It is worth noting that Tabun D type industries encompass several technical systems of lithic production, in different assemblages or even coexisting in the same lithic assemblage. Future technological studies must focus on this variability and its meaning. Recent researches in Hayonim cave showed that the concept of blade production largely spread later, during the Upper Paleolithic, was already part of the mousterian technical knowledge 150-200 000 years ago, a long time before the the appearance of morphologically Modern Humans. However, if the geometric construction of the core and the rules to follow during the knapping process, in order to obtain the elongated blanks in the Laminar method, are very close to the Upper Palaeolithic core reduction, the Mousterian end-products, (the blades), are not so thin, not so regular in shape and not so numerous from each core than in the classical Upper Palaeolithic assemblages. Comparisons with the Early Upper Paleolithic industries in the Near East (the so-called Ahmarian) emphasize the regularity of the products and productivity per core. A more cautious core shaping (especially to control the orientation of the striking platform, the longitudinal curvature and the transversal convexity of the cores) and a significant change in the technique of percussion (use of soft hammer as opposed to hard hammer) allowed Upper Palaeolthic flintknappers to obtain such standardised end products. Recently, Bar Yosef and Kuhn [50] suggest that the degree of control over the dimensions and shapes of a limited range of products, the blades, should be connected with need for interchangeable parts in the case of composite-tools. This idea is in accordance with the evidence that the number, diversity and complexity of multi-component tools increased during the Upper Paleolithic[6, 51]. The data already available demonstrates that during the MP times, the blade production was, in fact, present in many regions (Western Asia, Western Europe, Central Asia, Africa) but more or less adopted, often discrete. This phenomenon includes areas where only Neandertal remains are known, such as Western Europe. On the opposite, Qafzeh/Skhul hominids (archaic Homo sapiens), in the Levant, are always associated with Levallois flake industries. Thus, contrary to what was claimed for a long time, the sole presence of bladegeared industries is not indicative of modern human behaviour. Moreover, their presence cannot be used as a criterion for tracing the dispersal of Modern Humans, possibly out of Africa. References: [1] DEMIDENKO Y, USIK V. Establishing the Potential Evolutionary Technological Possibilities of the "Point" Levalloismousterian : Korolevo I Site-complex 2B in the Ukrainian Transcarpathians [A]. In: DIBBLE H, BAR YOSEF O eds. The Definition and Interpretation of Levallois Technology, Monographs in World Archaeology. Madison, Wisconsin: Prehistory Press, 1995, 23:439-454. [2] DEREVIANKO A, PETRINE V, OTTE M. Variante de la transition du Mousterien au Paleolithique tardif a l'Altaï [A]. In: Otte M ed. Prehistoire d'Anatolie, Genese de deux mondes. Liege: ERAUL, 1998, 185:815-843. [3] DEREVIANKO A, PETRIN V, RYBIN E et al. Palaeolithic Complexes of the Stratified Part of the Kara-Bom Site (Mousterian/Upper Paleolithic) [M]. Novosibirsk: Russian Academy of Science, 1998, 279. [4] CLARK G, LINDLY J. The Case for Continuity : observations on the Biocultural Transition in Europe and Western Asia [A]. In: Mellars P, Stringer C eds. The Human Revolution : Behavioural and Biological Perspectives on the Origins of Modern Humans. Edinburgh: Edinburgh University Press, 1989, 626-676. [5] SCHICK K, TOTH N. Making Silent Stones Speak : Human Evolution and the Dawn of Technology [M]. New York: Simon and Schuster, 1993.

MEIGNEN: Early Middle Palaeolithic Blade Technology in Southwestern Asia

179

[6] SHERRATT A. climatic cycles and behavioral revolutions [J]. Antiquity, 1997, 71(272):271-287. [7] MEIGNEN L. Paleolithique moyen au Proche-Orient : le phenomene laminaire [A]. In: Révillion S, Tuffreau A, eds. Les Industries Laminaires au Paleolithique Moyen, Dossier de Documentation Archeologique. Paris: CNRS Editions, 1994, 18:125-159. [8] REVILLION S, TUFFREAU A. Les Industries Laminaires au Paleolithique Moyen [C]. Dossier de Documentation Archeologique, Paris: CNRS Editions, 1994, 18:191. [9] REVILLION S. Les industries Laminaires du Paleolithique Moyen en Europe Septentrionale. L'exemple des Gisements de Saint-Germain-des-Vaux/Port Racine (Manche), de Seclin (Nord)et de Riencourt-les-Bapaume (Pas-de-Calais) [M]. Lille: CERP, Universite des Sciences et Technologies de Lille, 1994, 187. [10] DELAGNES A, ROPARS A. Paleolithique Moyen en Pays de Caux (Haute-Normandie) [C]. Documents d'Archeologie Française, Paris: Editions de la Maison des Sciences de l'Homme, 1996, 56:242. [11] MEIGNEN L. Hayonim cave Lithic assemblages in the context of the Near-Eastern Middle Palaeolithic : a preliminary report [A]. In: Akazawa T, Aoki K, Yosef OB eds. Neandertals and Modern Humans in Western Asia. New York: Plenum Press, 1998, 165-180. [12] MCBREARTY S, BISHOP L, KINGSTON J. Variablity in traces of Middle Pleistocene hominid behavior in the Kapthurin Formation, Baringo, Kenya [J]. J Hum Evol, 1996, 30:563-580. [13] TEXIER PJ. Production en serie [J]. Pour la Science, 1996, 232:22. [14] CONARD NJ. Laminar lithic assemblages from the last interglacial complex in northwestern Europe [J]. J Anthropol Res, 1990, 46(3):243-262. [15] OTTE M. Reflexions sur les Lames au Paleolithique Moyen. Les Industries Laminaires au Paleolithique Moyen [C]. Dossier de Documentation Archeologique N° 18, Paris : CNRS éd., 1994 :189-191. [16] SCH ÄFER J, RANOV V. Middle Palaeolithic blade industries and the upper Palaeolithic of Central Asia [A]. In: Otte M ed. Prehistoire d'Anatolie, Genese de Deux Mondes. Liege: ERAUL, 1998, 85:785-814. [17] LIUBIN VP. Mousterian Culture in the Caucasus [M]. Leningrad: Nauka (in Russian), 1977. [18] LIUBIN VP. The Palaeolithic of Caucasus [M]. Leningrad: Nauka (in Russian), 1989. [19] RUST A. Die Höhlenfunfe von Jabrud (Syrien) [M]. Karl Wachholz Verlag, Neumünster, 1950, 41-68. [20] BORDES F. Le Paleolithique inferieur et moyen de Jabrud (Syrie) et la question du Pre-Aurignacien [J]. L'Anthropol, 1955, 59:486-507. [21] BORDES F. Que sont le Pré-Aurignacien et le Iabroudien [A]? In: ARENSBURG, BAR-YOSEF eds. Moshe Stekelis Memorial Volume. Jerusalem: The Israel Exploration Society, 1977, 49-55. [22] GARROD DAE. Acheuléo-Jabroudien et "Pre-Aurignacien" de la grotte du Taboun (Mont Carmel); étude stratigraphique et chronologique [J]. Quaternaria, 1956, 3:39-59. [23] GARROD D, BATE D. The Stone Age of Mount Carmel (Vol. 1) [M]. Oxford: Clarendon Press, 1937:240. [24] GARROD D, KIRKBRIDE D. Excavation of the Abri Zumoffen, a palaeolithic rockshelter near Adlun South Lebanon [J]. Bull Musée de Beyrouth, 1961, 16:7-46. [25] JELINEK AJ. A preliminary report on some Lower and Middle Paleolithic industries from the Tabun Cave, Mount Carmel (Israel) [M]. In: WENDORF F, MARS HE eds. Problems in Prehistory : North Africa and the Levant. Dallas: Southern methodist Univ. Press, 1975, 297-315. [26] JELINEK AJ. The Middle Paleolithic in the Southern Levant from the Perspective of the Tabun Cave [A]. In: CAUVIN J, SANLAVILLE P eds. Prehistoire du Levant, Chronologie et Organisation de l'Espace depuis les Origines jusqu'au VIème Millénaire. Paris: Editions du CNRS, 1981: 265-280. [27] JELINEK AJ. The Amudian in the Context of the Mugharan Tradition at the Tabun Cave (Mount Carmel), Israel [A]. In: MELLARS P ed. The Emergence of Modern Humans. An Archaeological Perspective. Edinburgh Univ. Press, 1990, 81-90. [28] MARKS AE, MONIGAL K. Modeling the production of Elongated Blanks from the early Levantine Mousterian at Rosh Ein Mor [A]. In: DIBBLE H, BAR-YOSEF O eds. The Definition and Interpretation of Levallois Technology, Monographs in World Archaeology. Madison: Prehistory Press, 1995, 23:267-278. [29] MERCIER N, VALLADAS H, VALLADAS G, et al. TL dates of burnt flints from Jelinek's excavations at Tabun and their implications [J]. J Archaeol Sci, 1995, 22:495-509. [30] SCHWARCZ HP, BLACKWELL B, GOLDBERG P et al. Uranium series dating of travertine from archaeological sites, Nahal Zin, Israel [J]. Nature, 1979, 277:558-560. [31] GOREN-INBAR N. Quneitra : a Mousterian Site on the Golan Heights [M]. Jerusalem: The Hebrew University of Jerusalem, QEDEM, 1990, 31:239.

180

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

[32] MARKS AE, VOLKMAN PW. Changing core reduction strategies : a technological shift from the Middle to Upper Paleolithic in the southern Levant [A]. In: TRINKAUS E ed. The Mousterian Legacy, Human Biocultural Change in the Upper Pleistocene. Oxford: BAR Internat. Series 164, 1983, 13-33. [33] BOEDA E. Levallois: A volumetric construction, methods and technique [A]. In: DIBBLE H, BAR-YOSEF O eds. The Definition and Interpretation of Levallois Technology. Monographs in World Archaeology, Madison: Prehistory Press, 1995, 23:41-68. [34] PELEGRIN J. Les savoir-faire : une tres longue histoire. Terrain 16 [J]. Revue du Patrimoine, Public du Ministere de la Culture, 1991, 106-113. [35] PELEGRIN J. Technologie lithique : le Chatelperronien de Roc-de-Combe (Lot) et de La Cote (Dordogne) [M]. Paris: CNRS Editions, 1995, Cahiers du Quaternaire, N°20. [36] BOEDA E, GENESTE JM, MEIGNEN L. Identification de chaines operatoires lithiques du Paleolithique ancien et moyen [J]. Paleo, 1990, 2:43-80. [37] JELINEK AJ, FARRAND WR, HAAS G et al. New excavations at the Tabun Cave, Mount Carmel, Israel, 1967-1972 : a preliminary report [J]. Paléorient, 1973, 1(2):151-183. [38] BOEDA E. Approche technologique du concept Levallois et evaluation de son champ d'application [D]. Paris XNanterre, 1986. [39] BORDES F. Le pre-Aurignacien de Yabroud (Syrie) et son incidence sur la chronologie du Quaternaire au Moyen Orient [J]. Bull Res Council Israel, 1960, 9:91-103. [40] HENRY DO. Prehistoric Cultural Ecology and Evolution [M]. New York and London: Plenum Press, 1995, 466. [41] BOEDA E, BOURGUIGNON L, GRIGGO C. Activites de subsistance au Paleolithique moyen : couche VI3 b' du gisement d'Umm El Tlel (Syrie) [A]. In: BRUGAL JP, MEIGNEN L, PATOU-MATHIS M eds. Economie Prehistorique: les Strategies de Subsistance au Paleolithique. Sophia-Antipolis: Editions APDCA, 1998, XVIII° Rencontres Internationales d'Histoire et d'Archeologie d'Antibes. [42] INIZAN ML, REDURON-BALLINGER M, ROCHE H et al. Technology and Terminology of Knapped Stone [M]. Nanterre: CREP, 1999, 189. [43] BOEDA E. Technogenese de Systemes de Production Lithique au Paleolithique Inferieur et Moyen en Europe Occidentale et au Proche Orient [D]. Nanterre-Paris X, 1997. [44] COPELAND L. The pointed tools of Hummal Ia (El Kowm, Syria) [J]. Cahiers de l'Euphrate, 1985, 4:177-189. [45] NEUVILLE R. Le Paleolithique et le Mesolithique du Desert de Judee [M]. Paris: IPH, Archives de l'Institut de Paleontologie Humaine, N° 24, 1951. [46] AKAZAWA T. Middle Paleolithic assemblages from Douara caves [J]. Bull Univ Mus, 1979, 16:1-30. [47] NISHIAKI Y. Early blade industries in the Levant : the placement of Douara IV industry in the context of the Levantine Early Middle Paleolithic [J]. Paleorient, 1989, 15(1):215-229. [48] LINDLY J, CLARK G. A preliminary lithic analysis of the Mousterian Site of 'Ain Difla (WHS Site 634) in the Wadi Ali, West-Central Jordan [J]. Proc Prehist Soc, 1987, 53:279-292. [49] DEMIDENKO YE, USIK VI. The problem of changes in Levallois technique during the technological transition from the Middle to Upper Palaeolithic [J]. Paleorient, 1993, 19(2):5-15. [50] BAR-YOSEF O, KUHN S. The big deal about blades: laminar technologies and human evolution [J]. Am Anthropol, 1999, 101(2):322-338. [51] MELLARS P. Technological changes at the Middle to Upper Paleolithic Transition: Economic, Social and Cognitive Perspectives [A]. In: MELLARS P, STRINGER C eds. The Human Revolution: Behavioral and Biological perspectives on the Origins of Modern Humans. Edinburgh: Edinburgh University Press, 1989, 338-365.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

181-188

Blade Production During the Middle Paleolithic in Northwestern Europe Anne DELAGNES (Maison de l’Archéologie et de l’Ethnologie, Université Paris X - Nanterre, 92023 Nanterre CEDEX, FRANCE)

Abstract Evidence for the existence of a blade production during the Middle Paleolithic in northwestern Europe dates back to the early 1970s. This production is documented by a set of sites included in a restricted geographical (southern Belgium, western Germany, northwestern France) and chronological context (the very beginning of the last glaciation). Seven major sites are taken into account in this study. The technical modalities applied to this production - percussion techniques, method and core volume management, purpose of the production and association with other systems of production - bring new light on the relationship it bears to contemporaneous Levallois debitage and to subsequent Upper Paleolithic blade production.

Key words:

Blade production; Middle Paleolithic ; Europe ; Technology ; Levallois debitage ; Chatelperronian

The existence of a genuine blade production in the Middle Paleolithic - comparable to Upper Paleolithic blade production -, was acknowledged by prehistorians in three major steps. - At the beginning of this century, a blade production was identified alongside a flake production in some assemblages extending back to the penultimate glaciation, which were found in the Somme valley terraces in northern France [1-2]. At the time, this seemed incompatible with the chrono-cultural frame that was being developed for Paleolithic industries (blade production was supposed to be an exclusive feature of the Upper Paleolithic), so that for half a century the importance of such an association was largely disregarded. - It is only in the early 1970s, following the well-dated discoveries made at Rheindalhen in Germany [3] and Seclin in northern France [4-6], that the existence of a blade production in a Mousterian context was really acknowledged. - Since the 1980s, the increase in the number of Middle Paleolithic blade industries, especially in northern France, has given a new dimension to this phenomenon [7-14], owing to both the quality and the quantity of the artefacts recovered from these sites. At present, the main sites with Middle Paleolithic levels yielding blade industries add up to a dozen. Within the context of the European Middle Paleolithic, this production is characterized by its relative concentration in space and time. Geographically, all the sites are located in the western part of the north-European plain (fig.1), a zone that was sproradically settled only during milder intervals in the middle and early upper Pleistocene. Chronologically, blade production spans a relatively short period (fig.1). It appears during the penultimate glaciation in early Middle Paleolithic industries, and is particularly well represented during the first part of the last Glacial [11, 15-16] (oxygen isotope stage 5). No skeletal remains were recovered from any of the sites. One should however keep in mind that the only hominins documented in Europe for those periods are Neandertals. What are the bio-cultural implications of Middle Paleolithic blade production? What relationship does it bear to contemporaneous Levallois debitage on the one hand, and to subsequent Upper Paleolithic blade debitage on the other hand ? Such are the major issues addressed in this paper. They will be developed through the analysis of the technical modalities brought into play on seven sites or complexes of sites (fig.1): the Vanne valley sites and Vinneuf (level N1) [11], Seclin[12], Riencourt-les-Bapaume (level CA) [9, 12], Saint-Germain-des-Vaux [12-13], Rocourt [7]

182

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

and Etoutteville [14]. Blade production in these sites, which all date back to the first part of the last Glacial (oxygen isotope stages 5d to 5a and stage 4 : fig.1) [11, 15-16], is both well represented and well documented by recent technological studies, based on a large number of nearly completely refitted flaked blocks.

Figure 1

Geographical and chronological distribution of the main sites in north-western Europe with a Middle Paleolithic blade industry (black filled-in circles and vertical lines) 1. Rocourt, 2. Seclin, 3:Riencourt-les-Bapaume, 4. Vanne valley sites, 5. Vinneuf, 6. Etoutteville, 7. Saint-Germain-des-Vaux) and geographical distribution of the main chatelperronian sites (blank circles) (ill. G. Monthel)

DELAGNES: Blade Production During the Middle Paleolithic in Northwestern Europe

1

183

Technical modalities

1.1

Percussion technique Direct percussion with a stone hammer is the only technique documented for Middle Paleolithic blade debitage, as well, of course, as for the entire flake production. In some of the sites, soft hammer flaking was known and perfectly mastered but only used for the shaping of handaxes. This is the case, for instance, in the Vanne valley sites [11], where within a single assemblage one finds both blade and flake debitage carried out using a hard hammer, and a bifacial reduction sequence carried out using a soft hammer.

Figure 2

Middle Paleolithic blade production in north-western Europe: the four principles of core volume management (1. semi-rotating debitage, 2. rotating debitage, 3. frontal debitage, 4. facial debitage). For each site, the dominant principles are illustrated by a large scale diagram (ill. G. Monthel)

184

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

1.2

Method and core volume management The detachment of blades is carried out from either one striking platform or more generally from two opposite ones. It is organized following four main principles of core volume management (fig.2): - the first corresponds to a semi-rotating debitage, which gives the core a semi-prismatic transversal section ; the debitage surface is opposed to a flat unflaked surface, which can be a cortical surface or the lower face of a flake; - the second principle consists in a rotating debitage, in which all the faces of the core are exploited, resulting in a core with a polygonal transversal section; - the third principle is based a frontal debitage that affects the narrowest face of the core. Debitage is carried out along the thickest part of a blank, which is often a flake. When such is the case, the edge of the flake serves as guiding arris for the removal of the first blade ; - the fourth principle corresponds to a so-called facial debitage ; the removal of blades is carried out from a flat or slightly convex surface, and affects the broadest face of the core. In the different assemblages under study, these four major principles of core volume management occur in full or partial combination (fig.2). In most assemblages, the main mode of volume management is the semi-rotating one. It is associated in several cases with a rotating debitage which corresponds probably to a subsequent stage of the cores exploitation. Besides this example, there is few evidence for the successive use of different principles, except in Rocourt [7]. In this site, the knappers began with a frontal debitage carried out along the narrowest face of the core, and subsequently exploited one of the adjoining faces, thus shifting to a semi-rotating debitage. The preparation of crests, with one or two prepared versants, is frequent although not systematic. This type of preparation takes place at the beginning of the production sequence or more often during production itself, in order to recreate guiding arrises. As a rule, cores are only minimally preformed, and the volume is not thoroughly shaped out before starting the production of blades. 1.3

The purpose of blade production The morphometric characters of the blades vary enormously, between different assemblages as well as within a single one. Intra-assemblage variability is particularly evident at Etoutteville (fig.3), and shows that obtaining specific sizes of blades was not a purpose there [14]. Interassemblage variability in the dimensions of blades can easily be explained by differences in size of the available raw material. Only small blades could be manufactured on the small flint pebbles collected from offshore bars at Saint-Germain-des-Vaux [8], while longer blades - often more than 10 cms long - could be produced on the large flint nodules knapped at Etoutteville [14]. Apparently, the products are mainly intended for use in their original unmodified state. Very few of the blades are retouched - this holds true for all the products (the proportion of retouched products in the assemblages never exceed 5%) - and those that are modified only bear marginal retouches on a small portion of the edges. However, on some sites, blades were selected as the blanks for particular tools, as in Riencourt-les-Bapaume [9, 17] and Rocourt [7], where burins were made mainly from blades. There is also a small number of backed blades in the Vanne valley sites [11] and Seclin [12]. 1.4

Association with other systems of production In Middle Paleolithic industries, the production of blades is never exclusive ; it always occurs in combination with a production of flakes, the latter being generally the best represented. The sole exception is Rocourt [7], where there is only blade debitage, but unfortunately only a small area of the site was excavated and the number of artefacts recovered is quite small. In the

DELAGNES: Blade Production During the Middle Paleolithic in Northwestern Europe

185

other assemblages, flakes are produced according to the technical principles of Levallois debitage[18]. In the sites under study, the debitage methods involved by this Levallois production are varied. They pertain mainly to the so called recurrent Levallois methods [18], intended to yield several predetermined flakes by means of centripetal or more generally unidirectional removals flaked from a single debitage surface. The recurrent unidirectional Levallois method produces long, even blade-like flakes, which cannot however be mistaken for blades proceeding from a laminar debitage. This is the case for instance at Etoutteville where Levallois debitage produces elongated flakes with morphological features clearly distinct from those of the blades [14]. The Levallois products have a lower elongation, they are thinner, their transversal section shows greater symmetry, and their profile is more rectilinear. The relationship between the two flaking systems is nevertheless very strong. At Etoutteville[14], the Levallois and the blade production occur in the same reduction sequence (fig. 3). The Levallois production is carried out on large blocks of flint, which often fragment at the beginning of the reduction process. The large fragments and flakes proceeding from this initial stage of the debitage are almost systematically recycled into blade cores, whereas the initial blocks are flaked according to the Levallois principles.

2

Emergence and posterity

Concerning the emergence of Middle Paleolithic blade production, the previous points represent very strong arguments in favour of a direct technical filiation between Levallois production and blade production: they are nearly always associated, and it is noteworthy that in both types of debitage the same percussion techniques are used. Levallois production dates back to the penultimate glaciation and is particularly well represented in north-western Europe where it is also extremely well mastered. Among the different methods brought into play, the recurrent unidirectional Levallois method which produces elongated flakes, is the most commonly used. Thus, the technical context of the North-West European Middle Paleolithic was particularly suitable for an innovation such as blade debitage. But what relationship does Middle Paleolithic blade debitage bear to Upper Paleolithic blade debitage ? This is more problematic. In order to address this question, we shall draw upon what is known about Chatelperronian industries, which appear in France at the beginning of the Upper Paleolithic, around 40 000/38 000 B.P. [19-20], in association with Neandertals remains [2122] . At the same period, the contemporaneous Aurignacian culture was apparently related to the arrival of modern human groups in Europe. Chatelperronian blade production [23] differs from Middle Paleolithic blade production on the four points previously mentionned : percussion techniques, core volume management, purpose of blade production and association with other systems of production. In the Chatelperronian, the technique used for the detachment of blades is direct percussion with a soft hammer. The early phases of core management - which can be carried out with a hard hammer consist in a thorough shaping out of the volume of the core, whereas in the Middle Paleolithic knappers either prepared their cores summarily or started flaking directly by taking advantage of pre-existing guiding arrises to remove the first blades. In addition to this, Chatelperronian blade production is guided by a specific conception of the tool-kit. The blades are relatively standardized, in their dimensions and their morphoplogy. Moreover, particular types of bladeblanks were used for the manufacture of particular types of tools. For instance, Chatelperron points were exclusively made on the broadish, rather straight blades, between 4 and 8 cms long, on which production focused [23]. And, finally, there is no specific flake production sequence as in the Middle Paleolithic series, since flakes can be considered as by-products of the main blade production sequence.

ACTA ANTHROPOLOGICA SINICA

186

Figure 3

Supplement to Vol. 19, 2000

Size range of the blades from Etoutteville (ill. M. Ballinger)

DELAGNES: Blade Production During the Middle Paleolithic in Northwestern Europe

187

The absence of any direct technical filiation between Upper and Middle Paleolithic blade industries is not so very surprising when chronology and geography are taken into account. Middle Paleolithic blade industries do not endure later than 60.000 BP (fig.1), whereas the oldest Chatelperronian assemblages do not appear before 40.000 BP [19-20]. Spatially, their distribution areas are quite different, since Middle Paleolithic blade production is restricted to north-western Europe, while Chatelperronian industries are recorded only in south-western Europe (Centre and South-West of France, North of Spain: fig.1). In conclusion, Middle Paleolithic blade production should be considered as a technical phenomenon confined to a relatively short period, which cannot, on the basis of the current data, have directly given rise to early Upper Paleolithic blade productions. The technical knowledge and skills needed to produce blades where already present among Middle Paleolithic groups and the reappearance of a blade production at the beginning of the Upper Paleolithic, among Neandertal groups, must not necessarily be considered as the sign of a modern human influence. References: [1] COMMONT V. Saint-Acheul et Montieres, notes de Geologie, de Paleontologie et de Prehistoire [M]. Memoires de la Societe Geologique du Nord, 1909, VI(3). [2] COMMONT V. Mousterien a faune chaude dans la vallee de la Somme a Montieres-les-Amiens [A]. Geneve: Congres International d’Archeologie et d’Anthropologie prehistorique, 1912, 291-300. [3] BOSINSKI G. Der Palaölithische Fundplatz Rheindahlen, Ziegelei Dreesen-Westwand [J]. Bonner Jahrbuch, 1966, 166:318-343. [4] TUFFREAU A. Le Paleolithique dans le nord de la France (Nord-Pas-de-Calais) [J]. Bull AFEQ, 1978, 15:15-25. [5] TUFFREAU A. Les industries lithiques a debitage laminaire dans le Paleolithique moyen de la France septentrionale [J]. Studia Praehist Belgica, 1983, 3:135-141. [6] TUFFREAU A, REVILLION S, SOMME J et al. Le gisement paleolithique moyen de Seclin (Nord) [J]. Bull Soc Prehist Française, 1994, 91(1):23-46. [7] OTTE M, BOEDA E, HAESAERTS P. Rocourt : industrie laminaire archaique [J]. Helinium, 1990, 29(1):3-13. [8] CLIQUET D. Le Gisement Paleolithique Moyen de Saint-Germain-des-Vaux/Port-Racine (Manche) dans son Cadre Regional: Essai Palethnographique [M]. Liege (Belgique): Universite de Liege, 1992, 2 vol (ERAUL; 63). [9] AMELOOT-VAN DER HEIJDEN N. L’industrie laminaire du niveau CA [A]. In: TUFFREAU A ed. Riencourt-lesBapaume (Pas-de-Calais): un Gisement du Paleolithique Moyen. Paris: Maison des Sciences de l’Homme, 1993, 26-52. (DAF ; 37). [10] TUFFREAU A ed. Riencourt-les-Bapaume (Pas-de-Calais): un Gisement du Paleolithique Moyen [M]. Paris: Maison des Sciences de l’Homme, 1993 (DAF ; 37). [11] DELOZE V, DEPAEPE P, GOUEDO JM et al. Le Paleolithique dans le Nord du Senonais (Yonne): Contexte Geomorphologique, Industries Lithiques et Chronostratigraphie [M]. Paris: Maison des Sciences de l’Homme, 1994 (DAF ; 47). [12] REVILLION S. Les Industries Laminaires du Paleolithique Moyen en Europe Septentrionale: l’Exemple des Gisements de Saint-Germain-des-Vaux/Port-Racine (Manche), de Seclin (Nord) et de Riencourt-les-Bapaume (Pas-de-Calais) [M]. Lille: Universite des Sciences et Technologies de Lille-Flandres-Artois, 1994. [13] REVILLION S, CLIQUET D. Technologie du debitage laminaire du gisement paleolithique moyen de Saint-Germaindes-Vaux/Port-Racine (secteur I) dans le contexte des industries du Paleolithique moyen du massif Armoricain [A]. In: REVILLION S, TUFFREAU A eds. Les Industries Laminaires au Paleolithique Moyen. Paris: Ed du CNRS, 1994, 4562. [14] DELAGNES A, KUNTZMANN F. L’organisation technique et spatiale de la production laminaire a Etoutteville [A]. In: DELAGNES A, ROPARS A eds. Paleolithique Moyen en Pays de Caux (Haute-Normandie) : Le Pucheuil, Etoutteville: Deux Gisements de Plein-air en Milieu Loessique. Paris: Maison des Sciences de l’Homme, 1996 (DAF ; 56). [15] VAN VLIET-LANOE B, TUFFREAU A, CLIQUET D. Position stratigraphique des industries a lames du Paleolithique moyen en Europe occidentale [A]. In: TUFFREAU A ed. Riencourt-les-Bapaume (Pas-de-Calais): un Gisement du Paleolithique Moyen. Paris: Maison des Sciences de l’Homme, 1993 (DAF ; 37). [16] DELAGNES A. Presentation generale du site [A]. In: DELAGNES A, ROPARS A eds. Paleolithique Moyen en Pays de Caux (Haute-Normandie): Le Pucheuil, Etoutteville : Deux Gisements de Plein-air en Milieu Loessique. Paris: Maison des Sciences de l’Homme, 1996 (DAF ; 56).

188

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

[17] BEYRIES S. Analyse fonctionnelle de l’industrie lithique du niveau CA : rapport preliminaire et directions de recherche [A]. In: TUFFREAU A ed. Riencourt-les-Bapaume (Pas-de-Calais) : un Gisement du Paleolithique Moyen. Paris: Maison des Sciences de l’Homme, 1993 (DAF ; 37). [18] BOEDA E. Le Concept Levallois: Variabilite des Methodes [M]. Paris: CNRS Editions, 1994 (Monographie du CRA ; 9). [19] MERCIER N, VALLADAS H, JORON JL et al. Thermoluminescence dating of the late Neandertal remains from SaintCesaire [J]. Nature, 1991, 351:737-739. [20] JORIS O, WENINGER B. Calendric age-conversion of glacial radiocarbon data at the transition from the Middle to Upper Palaeolithic in Europe [J]. Bull Soc Prehist Luxembourgeoise, 1996, 18:43-55. [21] LEVEQUE F, VANDERMEERSCH B. Decouverte de restes humains dans le niveau castelperronien a Saint-Cesaire (Charente-Maritime) [J]. Com-rendu Acad Sci, Paris, 1980, 291(D):187-189. [22] VANDERMEERSCH B. A propos de la decouverte du squelette neandertalien de Saint-Cesaire [J]. Bull Mem Soc Anthropol Paris, 1984, 1(14):191-196. [23] PELEGRIN J. Technologie Lithique: le Chatelperronien de Roc-de-Combe (Lot) et de La Cote (Dordogne) [M]. Paris: CNRS Editions, 1995 (Cahiers du Quaternaire, 20).

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

189-193

The First Part of Upper Paleolithic in Western Europe. News Results on the Abri Pataud (Les Eyzies-de-Tayac, Dordogne) Roland NESPOULET (Museum National d’Histoire Naturelle, France, Laboratoire de Préhistoire, UMR 6569 du CNRS; Musée de l’Abri Pataud - 24620 Les Eyzies-de-Tayac, France)

Abstract The Upper Palaeolithic rock-shelter Abri Pataud is located in the village of les Eyzies, in the Vézère river Valley, in the Dordogne region, at the south-western part of France. The chronostratigraphic sequence of the Abri Pataud adduce decisive arguments to the definition of the Upper Palaeolithic in Western part of Europe. Furthermore, the presence of abundant human remains (seven humans remains found in level 2 : Fina Gravettian), is of great importance and interest for the knowledge of Homo sapiens sapiens and his technical behaviour at the Upper Pleistocene in Western Europe. The cultural sequence corresponds to the Aurignacian (Levels 14, 13, 12, 11, 10, 9, 8, 7, 6), Gravettian (levels 5, 4, 3, 2) and Solutrean (level 1, uppers levels), between 34.000 and 20.000 B.P.. Since 1989, the objective of the new studies, conducted by the Laboratoire de Préhistoire du Muséum National d’Histoire Naturelle, has been to have an exhaustive comprehension of the very rich archaeological collections discovered during the excavation of the site (more than 1.5 million of artifacts). The technical behaviour differences between each cultural period is exposed on the basis of artifacts evidence. The utilization of raw material was different between long settlements (winter and summer) and short settlements (winter or summer). The technological study of flint industry shows the existence of specialized techniques of knapping, as the projectile, points during the gravettian period.

Key words:

Upper Palaeolithic; Homo sapiens sapiens; Aurignacian; Gravettian; Raw material; Flint provenience; Refitting

Abri Pataud is one of the famous Paleolithic reference sites in the region surrounding Les Eyzies (Dordogne, France), which also include La Ferrassie, Le Moustier, La Micoque, LaugerieHaute, Laugerie-Basse, La Madeleine and others. In fact, the village of Les Eyzies is in the middle of a large concentration of more than 100 sites in the Vézère Valley. Abri Pataud, located in the center of the village and about 200 meters from the famous site of Cro-Magnon, is a rock-shelter in the second eroded level of the Coniacian limestone cliff. It was thanks to Professor Hallam Leonard Movius Jr., from Harvard University, that the first large-scale excavations were undertaken, beginning in 1953 and continuing over a decade [1-3]. In the first year of the excavation, the discovery of human remains, such as the complete skull of a young Homo sapiens sapiens, enhanced the scientific value of Abri Pataud [4]. The number of artifacts recovered during his excavation is estimated to be 1.5 million, of which 70 % are bones and 30 % stones and lithic pieces. The proportion of bone and stone tools is about 3 % of the total amount. After the study and publications by Movius and others contributors [5-6], the Laboratory of Prehistory of the Muséum National d’Histoire Naturelle carried on the investigations related to this site. In 1990, The Museum of Abri Pataud was opened to the public. Being a key site with the respect to chronostratigraphical sequence of southwest France, Abri Pataud has vastly improved our knowledge of the first part of the Upper Paleolithic chronology in this classic region of French prehistory. In its nine meters of stratigraphy, the deposits of Abri Pataud are mainly composed of collapsed limestone blocks from the cliff. The cultural sequence (see table 1) includes Aurignacian, Gravettian and Solutrean. The latter are not very rich and are not in primary position due to cryoclastic and modern anthropic disturbance, and for this reason are not included in this presentation. Most of the human remains were found in level 2: 160 bones or fragments, including the skull of the young Homo sapiens sapiens. The minimum number of human individual is seven, including three adults and four children [7].

ACTA ANTHROPOLOGICA SINICA

190

Supplement to Vol. 19, 2000

Abri Pataud is actually the only site comprising all the Gravettian (=Upper Perigordian) stages from this region, and these collections have been used as a reference by many authors for typological and chronostratigraphic definitions. The study of all the assemblages (tools and nonretouched debitage) is based on 100,000 artefacts, including 5,000 tools. This presentation is on the tool data only. Table 1

Cultural sequence of Abri Pataud

Levels

Culture

1

Solutrean (Lower Solutrean ?)

2

Final Gravettian (Perigordian VII)

3

Final Gravettian (Perigordian VI)

4

Middle Gravettian (Perigordian V)

5

Lower Gravettian (Perigordian IV)

8 to 6

Evolved Aurignacian

14 to 9

Early Aurignacian

In the northern part of the Aquitaine basin, several sources of flint are known [8]. These are divided into two categories: local flint (found within a 10 kilometre radius of the site) and non-local. The local supply is the most abundant in the entire layer. Some of this material comes from the plateau (primary position) and some comes from the fluviatile deposits of the Vézère river (secondary position). The local flint is Senonian and not always of good quality. There are many type of non-local flint. The most highly represented of these, and also of the highest quality, is the flint from Bergerac, which is found thirty to forty kilometres from Les Eyzies. This flint comes from upper levels of Senonian rocks and it is probably the best for laminar knapping in this part of France. Flint from a few kilometres from the town of Fumel is a very particular one, and is present in Turonian. Jaspoïd flint is found in the northern part of Dordogne region and also on the border of the Massif Central, in the southern part of Brive. This flint comes from Infralias. Table 2

Local and non-local flint variation in the tool assemblages

Levels

Local flint

Non local flint

2 (Grav.)

69%

31%

3 (Grav.)

74%

26%

4:Upper (Grav.)

80%

20%

5:Front Lower (Grav.)

94%

6%

6 (Aur.)

89%

11%

7:Upper (Aur.)

97%

3%

7:Lower (Aur.)

88%

13%

8 (Aur.)

98%

2%

9 to 10 (Aur.)

99%

1%

11 (Aur.)

75%

25%

12 (Aur.)

97%

3%

13 (Aur.)

90%

10%

14 (Aur.)

84%

16%

NESPOULET: The First part of Upper Paleolithic in Western Europe - New Results on the Abri Pataud (Les Eyzies-de-Tayac, Dordogne)

191

Overall, the average proportion of non-local flint is double in the Gravettian levels than in the Aurignacian levels (Gravettian = 21 %; Aurignacian = 12 %), but with some significant variation. The noticeable proportions (see table 2) are level 11 in Aurignacian (highest proportion: 25 %) and level 5 Front: Lower in Gravettian (lower proportion: 6 %). A continuous increase during the Gravettian is also an important fact to note. The Laminar Tool Index (Tools on blades / on flakes) for each level also shows important variation (see table 3). In level 14 (primitive Aurignacian) and level 7 (evolved Aurignacian) the Laminar Tool Index is as high as those of the Gravettian levels. All the Gravettian tool assemblages have a high Laminar Tool Index. The highest is in level 2. Table 3

Blades and flakes variation in the tool assemblages

Levels

Tools on blades

Tools on flakes

2 (Grav.)

88%

12%

3 (Grav.)

74%

26%

4:Upper (Grav.)

79%

21%

5:Front Lower (Grav.)

70%

30%

6 (Aur.)

43%

57%

7:Upper (Aur.)

72%

28%

7:Lower (Aur.)

46%

54%

8 (Aur.)

37%

63%

9 to 10 (Aur.)

40%

60%

11 (Aur.)

56%

44%

12 (Aur.)

46%

54%

13 (Aur.)

52%

48%

14 (Aur.)

73%

27%

The interpretation of these data is as follows: 1) The importance of non-local flint in the industries of these site can be related both to the degree of movement between the site and the original deposit of raw material and to the degree of selection of the best flint as possible (the non-local flint is often of better quality than the local one). 2) The technology of the assemblages is conditioned by the quality of raw material. In part this means that a sophisticated knapping technique requires a good quality flint. There is also a close relationship between the proportion of non-local flint and the Laminar Tool Index. This is an observation made by others for many Upper Paleolithic sites in southwest France, though it is especially clear in the Abri Pataud assemblages. The different sources of flint can also be related to zooarchaelogical studies, especially the determination of the seasonality of occupation (missing area is due of the lack of significant material). Levels 14, 11, 4, 3 and 2, which have a high non-local flint proportion, were occupied during the autumn and winter (the "bad season"). On the other hand, level 5 (Front Lower) was occupied during the spring and summer seasons, and has a very low frequency of non-local flint. The proportion of non-local flint also seems to relate to certain tool production characteristics. For example, Gravettian armatures (fléchettes, Gravette and microgravettes points) from Abri Pataud are often on non-local flint, and especially that from around Bergerac. The refitting shown in Figure 1 is an illustration of this fact. It comes from level 3, which is a final Gravettian dating to about 24 000 B.P. [9-10]. The material is flint from Bergerac. The refitting shows a bidirectional laminar knapping sequence, with about 10 bladelets that are missing from the middle of the refit

ACTA ANTHROPOLOGICA SINICA

192

Supplement to Vol. 19, 2000

core. Just at the beginning of this missing part, a microgravette point, a characteristic armature of this level, is refit. The specialized knapping technique used to make it is closely relates to the choice of good quality non-local flint. In the level 3 assemblages, 25 % of the Bergerac flint tools are Gravette and microgravette points.

Figure 1

Refitting showing a bidirectional laminar knapping sequence

In a recent paper based on flint provenience data from northern Aquitaine, Pierre-Yves Demars[11] has shown that during the Upper Paleolithic , reindeer hunters moved seasonally following an west-east reindeer migration: from the Gironde plain to the plateau of the Massif Central. This territory seems to be well defined and evidence of north to south raw material communication is low or nonexistent. With the exception of level 5: Front Lower, the Abri Pataud findings seem to be in agreement in favour with this regional pattern: winter settlements are found in Les Eyzies and summer settlements in others sites [12]. It is clear that further studies of Abri Pataud will continue to contribute to a better knowledge of regional cultural patterns of the first part of the Upper Paleolithic. We must pay more attention to the "classic" sites of the Vézère valley, since sites such as la Ferrassie, Laugerie-Haute, and Abri Pataud have an important place in the cultural stratigraphy and typological definitions. New studies such as this one show that the classic sites, in particular, must be analysed as local cultural expression and this is equally true for others region of southwestern Europe. In the Dordogne region especially, this critical analysis must precede any attempt of generalization. Acknowledgement: I cannot mention all the colleagues who have contributed to the new studies on Abri Pataud. Nevertheless, I want to name five people who contributed to this communication: Su Jin Cho, Aziza Sekhr, Laurent Chiotti, Tea Sop Cho and Christophe Pottier. The results presented here were obtained within the framework of a multidisciplinary study carried out by the Laboratory of Prehistory of the Muséum National d’Histoire Naturelle, directed by Professor Henry de Lumley. The rich collections of the Museum of Abri Pataud are the basis of this study. I want also like to thank for his translation and help in Beijing Miguel Caparros, for their comments and corrections on this paper Harold L. Dibble and Shannon Mc Pherron.

NESPOULET: The First part of Upper Paleolithic in Western Europe - New Results on the Abri Pataud (Les Eyzies-de-Tayac, Dordogne)

193

References: [1] MOVIUS HLJ. Les Eyzies: a test excavation [J]. Archaeology, 1954, 7(2):82-90. [2] MOVIUS HLJ. The Abri Pataud Program of the French Upper Palaeolithic in Retrospect [M]. Archaeological Researches in Retrospect, Cambridge: Winthrop, 1974, 87-116. [3] BRICKER HM. Le Paléolithique supérieur de l ’abri Pataud, Dordogne, les fouilles de H..L. Movius Jr [M]. Maison des Sciences de l’Homme, Documents d’Archéologie Française, Paris, 1995, N°50, 328. [4] MOVIUS HLJ, VALLOIS H. Crâne protomagdalénien et vénus du Périgordien final trouvés dans l ’abri Pataud, Les Eyzies, Dordogne [J]. L’Anthropologie, Paris, 1959, 63:213-232. [5] MOVIUS HLJ. Excavation of the Abri Pataud, Les Eyzies, Dordogne. Contributors [M]. American School of Prehistoric Research, Peabody Museum. Cambridge: Harvard University, 1975, 30:305. [6] MOVIUS HLJ. Excavation of the Abri Pataud, Les Eyzies (Dordogne). Stratigraphy [M]. American School of Prehistoric Research, Peabody Museum. Cambridge: Harvard University, 1977, 31:165. [7] BILLY G. Les restes humains de l'abri Pataud [A]. In: MOVIUS HLJ ed. Excavation of the Abri Pataud, Les Eyzies, Dordogne. Contributors. American School of Prehistoric Research, Peabody Museum. Cambridge: Harvard University, 1975, 30:305. [8] DEMARS PY. L'économie du silex au paléolithique supérieur dans le nord de l'Aquitaine [D]. Université Bordeaux I, Bordeaux, 1994, 549, 270. [9] NESPOULET R. Le Périgordien VI de l’abri Pataud, les Eyzies-de-Tayac, Dordogne. Etude technologique et typologique de l’industrie lithique de la couche 3 [D]. Muséum National d’Histoire Naturelle, Paris, 1996, 260. [10] NESPOULET R. Le Gravettien final de l’Abri Pataud, les Eyzies-de-Tayac, Dordogne. Nouvelles données technologiques et typologiques sur l'industrie lithique provenant du niveau 3 [J]. L’Anthropologie, Paris, 2000, in press. [11] DEMARS PY. Circulation des silex dans le nord de l'Aquitaine au Paléolithique supérieur. L'occupation de l'espace par les derniers chasseurs-cueilleurs [J]. Gallia Préhistoire, Paris, 1999, 40 :1-28. [12] WHITE R. Upper Palaeolithic Land Use in the Périgord : A Topographic Approach to Subsistence and Settlement [M]. B.A.R. International Series, 1985, 252.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

194-197

Paleolithic Site Discovered at Dongfang Plaza, Beijing LI Chaorong1, FENG Xingwu1, YU Jincheng2 (1. Institute of Vertebrate Paleontology and Paleoanthropology, Chinese Academy of Science, Beijing 2. Beijing Cultural Relic Research Institute, Beijing 100009)

100044;

Abstract The Paleolithic Site discovered at Wangfujing Dongfang Plaza, Beijing, bears the most abundant Late Paleolithic cultural relics within Beijing City proper. The unearthed cultural relics include stone artifacts, bone artifacts, fire using remains and mammalian fossils. Considering the techniques used and types of stone artifacts, we conclude that Dongfang Plaza culture has close connections with Peking Man culture[1] and the Upper Cave culture[2], i.e. the human culture has come down in one continuous line since 500,000.a B.P.. As for researching the bone artifacts, the cut and chop marks were observed, and for the first time the research of jointing bone artifacts was carried out in domestic archaeology. These materials are of great value for the study of bone artifacts’ making art, human hunting activities, taphonomy and human living environments. It is the first paleolithic site that was discovered in China’s capital, Beijing, and therefore it is significant to study the history of Beijing.

Key words:

Dongfang Plaza; Late Paleolithic; Human activity site

1 Brief account of the discovery and excavation The first discovery of human fossils and paleolithic relics in Beijing area happened at Zhoukoudian in 1920s. Since then, Chinese and foreign scientists have been working together to do much excavation and research, and remarkable progress has been achieved. However, beyond Zhoukoudian area, little archaeological work was carried out in Beijing. To further explore the early human activities in Beijing area, an archaeological team, consisted of Institute of Vertebrate Paleontology and Paleoanthroplogy (IVPP) and Beijing Institute of Cultural Relics, formed in 1990. They conducted extensive investigation and excavation at some important sites. So far, excluding Zhoukoudian, 38 sites have been discovered in open fields in Beijing area, among which 12 sites are in Pinggu County, 3 sites in Miyun County, 10 sites in Huairou County, 8 sites in Yanqing County, 3 sites in Mentougou, 1 site in Dong Cheng District and 1 site in Xi Cheng District [3]. Dongfang Plaza Site at Wangfujing is one of the important sites discovered in Beijing area. Based on the information provided by Yue Shengyang, Li Chaorong, the leading author, examined the construction site and found some cultural relics (Fig. 1) in situ on Dec. 28, 1996. Through comprehensive analysis, we identified Dongfang Plaza as one important paleolithic site. Its geological age is Late Pleistocene, i.e. Late Paleolithic archaeologically. Between Dec. 1996 and Aug. 1997, we conducted a rescue excavation in Dongfang Plaza site. In addition, the Cultural Relics Preservation Division of Dongcheng district and Pinggu county also participated in the excavation. From July 23 to Aug.10,1997, the Science and Technology Center, the Institute of Archaeology of Chinese Academy of Social Science was entrusted to conduct removal of the relics for protection. The relics blocks were successfully removed and safely transferred to Liao Jin Museum for the time being. The construction of Museum of Wangfujing Dongfang Plaza Site started on Feb.2, 1999. Its floor area will be 400 square meters. The relics blocks will be sent back to the original place after the construction is completed. By then, the exhibitions of human culture in the museum will play an important role in popularizing scientific knowledge in this field. Dongfang Plaza site (116º25’28”E, 39º55’26”N) lies between Wangfujing Street and North Dongdan Street, north to Dongdantoutiao Street and south to Eastern Chang’an Street. It is estimated that the relics scatter on an area about 2000 m2. 90 test pits are within a total area of 1440 m2. Every pit is 4 meter long and 4 meter wide, and is equally subdivided into 4 sections, i.e. A, B, C and D section. A total excavated area covers 780 m2 with higher density of relics. Upper Culture Horizon is between 11.422 m and 1.784 m, Lower Culture Horizon is between 12.271 m

LI et al.:

Paleolithic Site Discovered at Dongfang Plaza, Beijing

195

and 12.643 m, and the distance between Upper Culture Horizon and Lower Culture Horizon is about 1 m. The Culture Horizons are fluvial-lacustrine sediments and over 2000 pieces of cultural relics are unearthed (among them, about 1500 pieces of specimen numbered. Fig. 2). The samples collected from Horizons include stone artifacts, bone artifacts fossils, hematite powder, using fire remains and plant root and foliage.

Figure 1

Stone artifacts unearthed from Dongfang Plaza

2

Cultural Relics

2.1

Stone Artifacts We observed and analyzed 1098 pieces of stone artifacts. There are 71 pieces unearthed from Upper Culture Horizon, including 2 cores, 20 chunks, 22 flakes, 4 broken pieces, 3 split pieces, 8 chips and 12 stone tools. There are 1027 pieces from Lower Culture Horizon, including 15 cores, 99 chunks, 344 flakes, 181 broken pieces, 28 split pieces, 314 chips and 46 stone tools. Among the 46 stone tools, there are 26 scrapers, 2 points, 12 burins, 2 bores, 2 anvils and 2 hammers. The materials of stone artifacts are mainly made of chert. Flakes are mainly made through direct percussion with stone hammer, or through casual bipolar percussion. In the Dongfang Plaza Culture, the quantity of flake is dominant and the stone tools are usually very small. Scrapers and burins are main types of stone tools. Although the second step of making stone tools often varies, the percussion direction is mainly toward dorsal. 2.2 Bone artifacts Concerning bone artifacts, 411 pieces are analyzed. There are 24 bone artifacts from Upper Culture Horizon including 3 bone cores, 2 bone block, 6 bone flake, 8 bone chips, 1 bone shovel, 1 bone burin, 2 bone points and 1 bone scraper. There are 387 bone artifacts from the Low Culture Horizon, including 23 bone cores, 53 bone block, 188 bone flake, 64 bone chips, 2 bone shovels, 9 bone burins, 31 bone points and 17 bone scraper. For the first time, the research of jointing bone artifacts is carried out in the field of paleolithic archaeology in China. There are 33 groups of jointed bones or bone artifacts. A group usually consists of 2 pieces, and the greatest group is

ACTA ANTHROPOLOGICA SINICA

196

Supplement to Vol. 19, 2000

made up of 5 pieces. A lot of man-made cutting, chopping and smashing traces were found on some bones or bone artifacts. These findings are vital to the study of bone artifacts making techniques, human hunting activities, taphonomy and paleoenvironmental culture. 2.3

Using fire The site is also rich in relics of using fire: burned bones, stone, charcoal and ashes. According to the regular distribution of using fire relics, there are 2 places of using fire in the Upper Culture Horizon and 4 places in the Lower Culture Horizon. Some burned stones and bones found in the Upper Culture Horizon can be restored. Besides, Hematite powders are discovered sticking on some bones and stones.

Figure 2

Distribution of Cultural relics in Dongfang Plaza Site

3 1.

Conclusion

Some vertebrate fossils are unearthed from the Dongfang Plaza Site. According to preliminary identification, vertebrate fossils are mainly composed of Bos primigenins,Cervus sp.,Lepus capensis, Struthio andersoni, Phasianidae and Teleotei. In addition, there unearthed some leaves, roots and seeds. Carbon 14 dating shows the Upper Culture Horizon is 24240 300 a. B.P., and the Lower Culture Horizon is 24890 350 a. B.P. The sediments of Dongfang Plaza site formed in late Pleistocene, i.e. archaeologically Late Paleolithic. Dongfang Plaza site is a temporary encampment of early human beings.

LI et al.:

2.

3.

4. 5.

Paleolithic Site Discovered at Dongfang Plaza, Beijing

197

Dongfang Plaza site is the first site that is found in China’s capital, Beijing, and it is also a paleolithic site with the richest cultural relics in Beijing City proper. It’s discovery attracts great attentions in academia. The unearthed cultural relics and the relevant information obtained from sediments are of great significance to conduct a comprehensive study on Dongfang Plaza site. It provides valuable evidence to study the history of Beijng City as well as human activities in Beijing plain. The analysis of the types and techniques of stone artifacts indicates that Dongfang Plaza culture has close connection with Peking Man culture, i.e. the human culture has come down in one continuous line since 500,000 a.B.P.. The discovery of bones with obvious manmade marks in North China is rare. These bone materials prove to be valuable for studying the making art of bone artifacts in the Late Paleolithic. The discovery of fire relics in the site is another great achievement in paleolithic archaeology since the discovery of the Upper Cave site. At present, one of hot spots in academia is the study of the relations between men and environments during the Late Pleitocene and Holocene. It is just the period of time that Dongfang Plaza site in Wangfujing belongs to. Therefore, the foliage, roots, tree seeds and pollens collected from the Dongfang Plaza site adds more evidence for settling some problems in this field.

Acknowledgement: This program is financed by the National Natural Science Fund, the Presidential Fund of Chinese Academy of Science and Leakey Foundation. The National Bureau of Cultural Relics, Chinese Academy of Science, the Beijing Institute of Cultural Relics, the Institute of Vertebrate Paleontology and Paleoanthropology, the Institute of Beijing Cultural Relics Research give great support to the excavation work. Those taking part in the excavation work include Mr. Zheng Shaohua, Dong Junshe, Xu Qinqi, Jin Changzhu, Zhao Lingxia, Wang Zhao of the institute of Vertebrate Paleontology and Paleoanthropology; Qi Jingguo, Zhang Xiuyun of Beijing Cultural Relics Research Institute; Li Jinlu, Xie Nan of Cultural Relics Management Institute of Dongcheng District; Yang Xuelin of Pinggu Cultural Relics Management Institute. President Qiu Zhuding and President Ye Jie, as well as other colleagues of the Institute of Vertebrate Paleontology and Paleoanthropology shows great concern and gives enthusiastic support to the whole work. On Apr. 18, 1997, the three Academicians Jia Lanpo, Hou Renzhi and Liu Dongsheng inspected the Site and instructed our work. Professors Jia Lanpo, Li Yanxian, Zhang Senshui, Wu Xinzhi and Zheng Shaohua also gave us valuable suggestions during our research work. Professors Zheng Shaohua and Hou Lianhai helped us identify the fossils and Mr. Zhang Jie took the pictures of specimens. We herewith wholeheartedly acknowledge all these people. Finally we’d like to take this opportunity to express our congratulations on the 70th anniversary of discovery of the First Skull of Peking Man. References: [1] PEI W, ZHANG S. A Study on the Lithic Artifacts of Sinanthropus [J]. Palaeontol Sin, N Ser D, 1985, 12:1-277. [2] PEI W. The Upper Cave Industry of Choukloutien [M]. Palaeontol Sin, N Ser D, 1939, 9:1-41. [3] LI C, YU J, FENG X. Latest Achievements of Paleolithic Archaeology in Beijing Area [J]. Acta Anthropol Sin, 1998, 17(2):137-146.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

198-208

Fire Control by Homo erectus in East Africa and Asia Ralph M. ROWLETT (Department of Anthropology, University of Missouri, Columbia, MO 65211, USA)

Abstract Since the initial discovery of Homo erectus and associated artifacts at Zhoukoudian, Locality 1, there has been the tantalizing co-occurrence of Homo erectus and evidence of burning at several sites in Africa and Eurasia. Some palaeoanthropologists, particularly in the Western countries, have nonetheless doubted that Homo erectus used fire. In an on-going project, nearly 20 reddish patches in the Okote Tuff at Koobi Fora, Kenya, have been tested by TL, archaeo-magnetism, floral analysis, and actualistic studies to determine if these patches were caused by hominids or other natural agencies. These tests have eliminated most conceivable natural causes and a method has been developed to distinguish ancient fireplaces from even burnt trees. The reddish patches at Koobi Fora, are best explained as the result of fires controlled by an early form of Homo erectus, sometimes called H. erectus, associated with the Karari tool industry, at Koobi Fora upon the tuff dated radiometrically to 1.6 million years ago. Other studies made by us on material from Zhoukoudian demonstrate burning also. Since early Homo erectus in Africa controlled fire, later H. erectus in China seems to have done so as well.

Key words:

Ancient fireplaces; Zhoukoudian; Koobi Fora; Homo erectus; Karari Industry; Lower Palaeolithic

Since the early discoveries, going back seventy years, of Homo erectus and associated artifacts at Locality 1 of Zhoukoudian, there have been the tantalizing co-occurrence of Homo erectus and evidence of fires and at several sites in Eurasia and, above all, in Africa. Some of these sites include the baked burnt clay at Chesowanja and Gadeb in Africa and Isernia [1] in Italy, apparent hearths at Escale Cave and burnt bone at Swartkrans [2]. Although the dates on these sites range from 1.5 milion to as late 500,000+ years ago for uncontestable hearths at Verteszollos, Magarorszak {3, 4], none of these other fires have gone unconstested. Evidence of fire has been reported for Yuanmou, China, but even for Zhoukoudian doubt has been expressed about the fires. [5]. Traces of delimited reddened patches in the 1.6 million year old sediments of the Okote Tuff at the classic fossil human site of Koobi Fora on the east shore of Lake Turkana in Kenya (fig. 1) would present the most suggestive evidnece of fire control if the reddening was actually caused by burning. Koobi Fora is famous for its early human Homo habilis and Olduwan stone tool remains in the KBS volcanic tuff dated about two million years ago, but the stratigraphically superimposed Okote Tuff contains highly significant remains as well. In these Okote Tuffs, potassium argon dated to 1.6 million years ago, have been recovered an early form of Homo erectus, something called Homo ergaster [6]. These human fossil occur alongside a late robust australopithecine, Australopithecus boisei [7]. The stone tools left behind by early Homo erectus/ergaster include distinct forms, such as the evenly denticulated heavy scraper (Fig. 2), so that this tool assemblage earns its own designation as the Karari Industry. Significantly, the Okote Tuff at Koobi Fora contains the association of these hominid paleontological and archaeological materials with reddish spots (Fig. 3) of ca. 50 cm. diameter, potential candidates for being among the oldest known fireplaces in the world. The reddish spots are clearly distinguishable, having a reddish-tan Munsell color of 2.5YR 7/2 contrasting with the pale yellowish brown matrix color Munsell 10YR 6/2. The team of Charles Peters and I [8-9], ultimately joined by Michael Davis and Robert Graber[10], were engaged by the late Glynn Issaac, Richard Leakey, J. W. K. Harris, and Harry Merrick, the discoverers of these reddish patches, to determine just what caused them. Meanwhile, M. Barbertti[11], Randy Bellono [12], and William Kean [13] independently tested with archaeomagnetism the thermal history of these patches.

Foundation item: This research was generously sponsored by the Wenner-Gren Foundation, the Harvard University Koobi Fora Field School, and the TL Laboratory of the University of Missouri-Columbia. Biography: ROWLETT is a professor of Old World Archaeology, Department of Anthropology, University of MissouriColumbia. Since 1964 he has been doing archaeological field work in Europe, China, Jordan and the United States.

ROWLETT: Fire Control by Homo erectus in East Africa and Asia

Figure 1

199

Satellite photograph showing the location of Koobi Fora , which is on the tip of the spit of land projecting westward into the lake from the middle of the eastern shore

Figure 2

Karari denticulated scraper (redrawn after Isaac and Isaac [6]), 1/2 scale

ACTA ANTHROPOLOGICA SINICA

200

Figure 3

Figure 4

Supplement to Vol. 19, 2000

Photo of Koobi Fora basin-shaped reddish spots in FxJj 20 E

Comparative TL glow curve of the burnt sediments in the reddish spots and the unburnt Okote Tuff. Curve A represents the TL glow of the unburnt tuff, while curve C represents reddish patch 1 and curve B represents reddish patch 2. The background glow of the TL apparatus is plotted as a straight line

We tested various possibilities--that the reddish patches were caused byan African fungus, that they were iron deposits, that they were the results of strikes by the lightning so frequnent in Africa, that they were the results of forest and grass fires, or that they were traces of individual burnt trees. The Foobi Fora reddish patches appear as inverted lens-shaped reddish patches in the Okote Tuff. Peters and I used thermoluminescence (TL) to demonstrate that the reddish patches at FxJj 20 East were indeed heated more recently than the surrounding tuffs (Fig. 4) and were not the result of either fungal invasion or precipitation of iron particles. If there had been a general grass or forest fire, the geological TL response of the tuff would have been reduced to the same level as that of the reddish spots [14-15].

ROWLETT: Fire Control by Homo erectus in East Africa and Asia

201

Comparison with lightning strike loci in Africa, Georgia and Kansas City showed that the 4050 cm. "fireplaces" were not due to lightning, which seldom leaves a fulgurite with a diameter exceeding a centimeter. We burnt modern silver maple stumps in Missouri and then excavated the remains to compare the resulting burnt areas with the basin shaped reddish patches. A burnt tree tends to produce a jagged bottom outline, where the tops of some roots begin to burn, unlike the basin shaped burnt areas of Koobi Fora (Fig. 5).

Figure 5

Schematic Section of Koobi Fora Reddish Spot--R. Section of modern burnt maple tree--M

Figure 6

Wood phytoliths. The spikey-looking spherical phytolith is from an African palm tree. Photo by Karol Chandler-Ezell and Deborah Pearsall

It became clear that the reddish spots were due to burning, but there still remained the more difficult problem of distinguish fireplaces from burnt trees. Isaac and Kroll had already established that the site at Koobi Fora had been an open woodland, with the stone tools often left in the shade of

ACTA ANTHROPOLOGICA SINICA

202

Supplement to Vol. 19, 2000

a tree [16]. In a modern savanna-like open woodland at the edge of the prairie in northern Missouri, we induced university students to make various kinds of fireplaces and to burn some trees, without telling them about the hypotheses being tested. The students made fireplaces with grass tinder and some without, some were made by burning several kinds of wood, and some with only one species. The students burned a few trees, which, would course leave behind only one kind of wood. In this same open woodland had already previously been built a simple fireplace to roast wiener sausages, as well some stumps had already been burnt by the landowner, so these pragmatic burnings were also included within our sample. Preliminary outcomes were reported in 1990 [17] and updated later[10], so now I present additional information about the most recent research. In these actualistic studies we were looking for phytoliths, the microscopically snall silican bodies produced in their tissues by many species of plants (Fig. 6). Analysis of 10,000 year old charcoal in Mesolithic Danish fireplaces [18] indicated that usually more than one kind of fuel would be used. Our hypothesis was that the phytolith assemblages from burnt trees should be mush more homogenous than the phytolith assemblages within fireplaces, which have likely involved different kinds of wooden fuel as well as grass and other tinder. The phytoliths found in the Koobi Fora lensatic reddened basins do show this heterogeneity of phytoliths even more than our experimental fireplaces with deliberately mixed fuels. Even the experimental fireplaces with a single kind of wood fuel tend to have more mixed-in phytoliths than the remains of a standing tree or stump burnt in place (Table 1). The pragmatic fireplace particularly resembled the ancient reddened patches in its phytolith heterogeneity. Of the five red patches initially found by Glynn Isaac, Richard Leakey, and J.W.K. Harris at locality FxJj 20 East at Koobi Fora (Fig. 7 ) [6] , four round red patches can be inferred as fireplaces, while an irregular narrow red patch, at the edge of their excavation ( Fig. 7 ), does indeed seem to be a burnt tree, because its phytoliths are mostly of the same kind (Table I). I have excavated equally simple Iron Age domestic hearths in Luxembourg [19] and Mousterian fireplaces in northern Champange [20], where no one doubts the presence of fire-control in these cultures. Table 1

Phytoliths in matrix samples

Pragmatically burnt modern oak Campfire, haphazard fuel Campfire, single genus fuel Ambient Davis Missouri soil Campfire, pragmatic

Arboreal

Palm

Grass

Other

r

46%

-

6%

48%

-0.44

7%

-

39%

53%

0.95

12%

-

50%

39%

0.94

4%

-

47%

48%

1.00

14%

-

34%

53%

0.99

Koobi Fora FXJj 20 E.

Red Patch

F1

20%

19%

26%

35%

0.99

Koobi Fora FXJJ 20 E.

Red Patch

F2

24%

9%

27%

48%

0.99

6%

3%

86%

8%

1.00

66%

1%

3%

31%

-0.46

Koobi Fora FXJj 20 E. Okote Sediments Koobi Fora FXJj 20 E.

Red Patch

3

The correlation coefficient r was calculated for the modern experimental and actualistic fires in relation to the surrounding soil matrix of the ambient “Davis soil” in Missouri. The correlation coefficient r was calculated for the Koobi Fora “Red Patches” in relation to the surrounding Okote Tuff sediments.

We used Differential Thermal Analysis (DTA) to estimate that the fires that caused the reddish patches attained temperatures just under 400°C. Bellomo and Kean's archaeomagnetic analyses [13] confirmed that the fires did not burn over 400°C , a temperature much lower than that of lightning strikes, that can fuse sediments grains. Their analyses using archaeomagnetism, corroborated our results that the reddish spots at FxJj 20 M were caused by burning, and provided the added evidence

203

ROWLETT: Fire Control by Homo erectus in East Africa and Asia

that the fires had burned in more than one instance and had to be re-kindled somehow [12-13]. They investigated one patch in FxJj20E, the same patch as our reddish spot Nr. 5, reporting it as anomalous in its archaeomagnetic responses. Anomalous for us, too, so we suggest that its eccentricity results from its being a burnt tree, with massive amounts of the same arboreal phytoliths.

M

E

Figure 7

Plan of reddish spots at FxJj 20 E and M in relation to creek contemporaneous with the hominid occupation of the site. Black indicates spots studied by us in FxJj 20 E. Arc near F1 represent mandible of robust australopithecine. Redrawn after Isaac [6] and Zefe Kaufulu

Figure 8

Plot of the phytolith category components of the actualistic burnt features, the experimental campfires, and the archaeological features at Koobi Fora FxJj 20East in the Okote Karari sediments. Since the quantities are expressed as percentages , the two dimensional graph incorporates three dimensional data. Note that the two Koobi Fora Red Patches match well the Karari sediments, just as the experimental and actualistic fireplaces group closely with their soil matrices. The experimentally burnt tree (T) and the irregular reddish patch from Koobi Fora (I) both veer toward the edge of the graph. T= tree base, P=pragmatic campfire, S=single wood species fuel campfire, H=haphazard fuel campfire, M=Missouri soil, K=Karari sediments, R1 and R2=Koobi Fora “Red Patches” F1 and F2, and I = Irregular Koobi Fora “Red Patch” 5

The possibility that these fireplaces were built by later hominids that came after the Karari Industry occupation by Homo erectus/ergaster was tested as well. While no fossil bones were found inside the fireplaces, some bones were found adjacent to them as well as away from the fireplaces farther out into the site. The mineralized bones near the fireplaces, if they had been heated long after their initial deposition, would have shown a reduced ESR and TL response compared to the bones away from the reddish patches that we now understand as fireplaces. Bones deposited at the same time would have essentially the same respinse, since there was no accumulation effects to re-set on

ACTA ANTHROPOLOGICA SINICA

204

Supplement to Vol. 19, 2000

those burnt at the time of deposition. In fact, both the bones beside the fireplaces and those off in the distance give the same TL responses (Table 2). Table 2

TL response of Koob Fora bones (n=5 each)

Control samples, away from Red Patches

Samples within Red Patches

X=6.78 5% nC

X=6.85 5% nC

Phytoliths permit the partial identification of the wood fuels used in the ancient fireplaces. Much of this fuel was palm wood, identified by the distinctive spherical phytoliths with numerous spikey projections (Fig. 6). Epie Pius, an anthropologist from the Bukasi people of Cameroon, asserts that palm wood fuel is chosen nowadays where ease of ignition and height of flame is desired. Even when dry palm fuel produces a lot of smoke. Palm wood burns rapidly, meaning that a maintained fire of palm wood requires recurrent tending. An off-setting advantage of burning plam is that its tall flames would help make the fires effective for frightening away carnivores, of which there were plenty in the mid-Pleistocene. The effusive smoking of the palm fuel would also discourage much smaller and insidioius predators, mosquitoes and other insects.

a

b Figure 9

Karari denticulated cutter (a) found in F1 and debitage flake (b) found away from fireplace. 1/1 scale

Chert and basaltic artifacts are also found at the ancient fireplaces. The denticulated cutter shown in Fig. 9a was found in Reddish Spot 1 (=fireplace F1), and was contemporary with it as shown by its TL, reduced from having been heated at the same time as the fireplace, as compared with the small flake in Fig. 9b found some distance from the reddish spots (Fig. 10). Near this same fireplace was the mandible of a robust Australopithecine boisei , KNM-ER 3230 [6]. The stone cutter nay have been used to cut meat from this mandible, a scenario depicted in the painting, Fig. 11. Circumstantial evidence also suggests that Homo erectus was cooking food prior to eating it. As noted by Richard Wrangham and his colleagues at Harvard [21], subsequently H. erectus’s molar size (as deduced from the skeletal torso) is reduced, and women gain considerably in body size. This research team has postulated that most of the cooking was directed toward African tubers. These tubers require more cooking to be chewable and edible than does meat, so the use of fire would have greatly expanded the food availability for these ancient people.

ROWLETT: Fire Control by Homo erectus in East Africa and Asia

Figure 10

Figure 11

205

The reduced TL glow of the stone cutter that had fallen into the burnt area of the hearth. Curve A represents the TL glow of the unburnt flake illustrated in Figure 9b. Curve B represents the TL glow of the serrated cutter illustrated in Figure 9a

Reconstructed scene of Homo erectus/ergaster butchering Australopithecus boisei KNMER 3230. Painting by Megan Tyrell

ACTA ANTHROPOLOGICA SINICA

206

Figure 12

Supplement to Vol. 19, 2000

Burnt, heat-crazed hammerstone from Zhoukoudian, Locality 1, along with two fossil bones

Figure 13

Carbonized hackberry (Celtis barbouri) seeds from Zhoukoudian, Locality 1

Our current research on these ancient fireplaces has been expanded to look for evidence, if any, of tubers and other plant foods in the fireplaces. We currently study additional basin-shaped reddish lenses, subsequently excavated in the Okote Tuff by H. Merrick, to determine which of these

ROWLETT: Fire Control by Homo erectus in East Africa and Asia

207

features nay be fireplaces and which may be other phenomena. Further researches center around ignition experiments to determine how easily, or difficultily, various woods can be set ablaze. We include woods such as those found in the Homo erectus bearing layers of Zhoukoudian I this study. Some burnt materials from Zhoukoudian Locality 1 were initially examined in 1975, when an exhibition of Chinese archaeology was installed I the Nelson-Atkins Museum in Kansas City. These hammerstones (Fig. 12) and burnt hackberry seeds (Celtis barbouri) (Fig. 13) are clearly heat crazed and carbonized respectively, so obviously they have been burnt somewhere at some time. Also some burning had to have taken place or the TL age determination [22] would have been of an order of magnitude indicative of the Eocene, not the mid-Pleistocene. Sediments from some portion of Zhoukoudian Layer 10, with TL dates from 417,000-592,000 years ago, produces a TL glow less than that of Layers 7 and 8, the first of which has never exhibited any traces of fires and which seemingly has a TL response referring to the geological age of the sediments composing the layer. Likewise, our samples from Layer 11 also had a higher, geological TL response. Our studies confirm the presence of fire and burning at Zhoukoudian. The field methods of over two generations ago ambiguate whether these fires at Zhoudkoudian were controlled or not, but the compelling evidence that controlled fire were made on palm wood a million years earlier than at Zhoukoudian implies that it is reasonable to postulate that people in Daku Glacial times at Zhoukoudian did make use of fire. It would be premature, however, to assume that every site left by Homo erectus/ergaster shows evidence of fire control; each one should be studied and tested on a case by case basis. Acknowledgement: I thank my research co-workers Robert Graber, Mickael Davis and Charles Peters. Any errors in this paper are all mine. The samples studied were provided by the by the late Glynn Isaac, J.W.K. Harris, Richard Leakey, and Harry Merrick . E. H. D. Rowlett identified the phytoliths under the supervision of Prof. Deoborah Pearsall, who provided the microphotography. Zhao Jhi-juin furnished the sediment samples from Zhoukoudian. Kwang-chih Chang started me working on these problems. Special acknowledgement goes to the peer reviewers Dr. Anna Roosevelt of the Field Museum, Chicago, and Prof. James F. O ÕConnell of the University of Utah. References: [1] CLARK J, HARRIS J. Fire and its roles in early hominid lifeways [J]. Afr Archaeol Rev, 1983, 3(1):3-27. [2] SILLEN A, BRAIN C. Old Flame [J]. Nat Hist, 1990, 4(4):6-10. [3] VERTES L. The Lower Palaeolithic site of Vertesszollos, Hungary [A]. Recent Archaeological Excavations in Europe. London: Routledge and Kegan Paul, 1975, 287-301. [4] GAMBLE C. The Palaeolithic Societies of Europe [M]. Cambridge: Cambridge University Press, 1999, 106. [5] LOCKE R. A Fiery Debate [J]. Discovering Archaeol, 1999, 1(5):86-87. [6] ISAAC G, ISAAC B. Koobi Fora V: Plio-Pleistocene Archaeology [M]. Oxford: Clarendon Press, 1997. [7] WOOD B ed. Koobi Fora IV: Hominid Cranial Remains [M]. Oxford: Clarendon Press, 1991. [8] ROWLETT R. Ancient Fires at Koobi Fora [A]. The Longest Record: The Human Career in Africa. Berkeley, CA: Department of Anthropology, University of California at Berkeley, 1986, 76. [9] ROWLETT R, PETERS C. Burnt Earth Associated with Hominid Site FxJj 20 East, Koobi Fora [M]. Oxford: Oxford University Press, in press. [10] ROWLETT R, GRABER R, DAVIS M. Friendly Fire [J]. Discovering Archaeol, 1999, 1(5):82-90. [11] BARBETTI M. traces of fire in the archaeological record before one million years ago [J]. J Hum Evol, 1986, 15(4):771-781. [12] BELLOMO R. Methods for Documenting Unequivocal Evidence of Human Controlled Fire at Early Pleistocene Archaeology Sites in East Africa [D]. Milwaukee, WI, USA: University of Wisconsin-Milwaukee, 1990. [13] BELLOMO R, KEAN M. Evidence of hominid-controlled fire at the FXJj 20 Site complex, Karari Escarpment [A]. Koobi Fora V: Plio-Pleistocene Archaeology. Oxford: Clarendon Press, 223-236. [14] ROWLETT R, JOHANNESEN S. Thermoluminescence response interference from the La Mesa fire, Bandelier National Monument [A]. The 1977 La Mesa Fire Study [M]. Santa Fe, NM: Southwest Cultural Resources Center, 1990, 191-201.

208

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

[15] ROWLETT R. Ancient grass fires detected by thermoluminescence [J]. Archaeol Montana, 1993, 3(2):29-32. [16] KROLL H. Lithic and faunal distributions at eight archaeological excavations [A]. Koobi Fora V: Plio-Pleistocene Archaeology. Oxford: Clarendon Press: 1997, 459-538. [17] ROWLETT R. Burning Issues in Fire Taphonomy [A]. Communicaciones de Reunion de Tafonomia y Fosilizacion. Madrid: University Compultense of Madrid, 1990, 327-336. [18] MALMROS C. Charcoal from stone age fireplaces [A]. Danish Storbaelt Since the Ice Age-man, Sea, Forest. Copenhagen: Kalundborg Regional Museum, 1997, 170-174. [19] ROWLETT R. Titelberg [J]. Expedition, 1988, 30(2):31-40. [20] ROWLETT R, SANDER-JORGENSEN E, BOUREAUX M et al. An Aurignacian site in northern France [J]. Curr Archaeol, 1985, 26(5):650-653. [21] WRANGHAM R, JONES J, LADEN G et al. The raw and the stolen: cooking and the ecology of human origin [J]. Curr Archaeol, 1999, 40(5):567-594. [22] WU X, POIRIER F. Human evolution in China [M]. Oxford University Press, 1995, 72-73.

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

209-217

Cave Occupation, Fire-making, Hominid/Carnivore Coevolution, and Middle Pleistocene Emergence of Home-Base Settlement Systems Nicolas ROLLAND (Department of Anthropology, University of Victoria, British Columbia, P.O. Box 3050, Victoria, B.C., V8W 3P5 Canada and 192 Bushby Street, Victoria, B.C., V8S 1B6, Canada)

Abstract Zhoukudian locality 1 was the first site discovery to document early prehistoric evidence for fire-making and regular cave occupation. Similar enclosed and open-air occurrences have accumulated since throughout Eurasia and Africa, indicating a Middle Pleistocene age occurrence, back to 400-350 ky, of home-bases settlements. This time clustering suggests that home-bases emerged at the tempo of a punctuated event which represented the convergence of separate long-term developments involving respectively, an early hominid dietary shift to active animal food procurement, hominid/carnivores interactions and protracted coevolution, a gradual use of caves as multiple activities locations and shelters, the phasing out of a long-lasting "core-area" land use and settlement systems, and the eventual mastery and versatile use of fire and its production as an energy harnessing technology. We trace the developmental trajectories of these distinct factors, as far as the record allows, and describe observation-based models of the properties and processes involved in the transition from "core-area" to "home-bases" settlement organization, as well as some of the subsequent repercussions over time of this major trans-formation of premodern hominid land use strategies and lifeways. Future research designs should consist in identifying precisely how all the factors at work during this formative stage shift articulated together, assessing their respective causal efficacy.

Key words:

Home-base; Fire-production; Carnivore competition; Caves; Coevolution

Whether fire-production took place inside or adjacently to Zhoukoudian locality 1 [1], hominids had mastered fire-production for several purposes by 400 kBP throughout Africa and Eurasia. Frequent associations of fire-making residues associated with domestic activities remains, including animal foods, often indicates the use of sites as home-base residences sensu stricto, implying overnight stays by entire family units. The time-clustering of such occurrences [2-3] suggests a punctuated event by the coalescing of several independent long-term behavioural antecedents, reaching back to earlier hominid formative phases. We identify and trace some of these factors and their incidences over time, completing this survey by comparing characteristic features of ancient hominid land use systems with those associated with home-base settlements. Causal antecedents ( figure 1) for home-base residence and regular fire-production include: (1) a dietary shift by adding animal proteins to a preexisting hominoid omnivorous base, involving active food procurement by predation or scavenging, acquiring thereby behavioural traits superimposed over primate sociality; (2) con-comitant hominid/carnivore interactions and protracted coevolution; (3) an archaic hominid "core-area" settlement system; (4) technicity expressed by lithic toolmaking, and the working of wood and bone; (4) the sporadic use of caves as short-term activity or visiting locations; (5) a possibly early but limited use of fire. All these developments were initiated in Subsaharan Africa, not later than1.4 mKP, perhaps prior to the genus Homo dispersals into Eurasia.

1

The hominid carnivorous diet

The earliest evidence for hominid animal food exploitation is around 2.5 mBP in Rift Valley occurrences of toolmaking Homo sp. or Australopithecines. Since several primate species consume and hunt smaller animals, bipedal ancient humans probably incorporated this dietary component Biography: Nicolas Rolland, Ph.D. Prehistoric Archaeology (University of Cambridge), specialized in comparative study of the Lower and Middle Palaeolithic in Eurasia, modern humans emergence and the Middle to Upper Palaeolithic transition.

ACTA ANTHROPOLOGICA SINICA

210

Supplement to Vol. 19, 2000

much earlier. What distinguished these particular early sites henceforth, was the recurrence of medium and megaherbivores as the main quarry, procured by predation or active scavenging. Animal remains also supplied raw materials such as bone, horn, antler, sinew, hide, fur. This major shift by a "primate by phylogeny, carnivore by vocation" [4] triggered other transformations: modified land use strategies had to reconcile (1) retaining the sociality of ground-living diurnal primates insuring safety by numbers, with (2) expanding home-ranges to insure sustainable predator/prey ratios. This more exploratory "natural historical intelligence" of carnivores fostered long-distance dispersals, leading eventually to the colonization of other continental landmasses. Meat-eating facilitated home-range shifts for mobile, bipedal, toolmaking hominids, by acquiring eurytopic and exogenous ecological habits of carnivores, namely a generalized exploitation of varied animal food resources across a wide range of niches [5-6].

Ma

6.0-5.5

4.0

2.5

1.6

1.5-1.0

0.4

Sporadic cave visits Earliest possible fire-use Active carnivorous diet; toolmaking

Earliest “core-area” system? Onset of hominid/carnivores coevolution

“home-base” system emergence

Anthropogenesis; primate phylogeny and socialty

Figure 1

Development trajectories leading to home-base emergence (not to scale)

ROLLAND: Cave Occupation, Fire-making, Hominid/Carnivore Coevolution, and Middle Pleistocene Emergence of Home-base Settlement Systems

2

211

Hominid/Carnivores coevolution

Primates, as well as carnivores, possess the disadvantage of having vulnerable juveniles, due to delayed maturity, requiring protective methods. African hominids coexisted and interacted with several living and extinct carnivores such as short-nosed hyenas, spotted hyenas, saber- and dirktooth cats, lions, leopards, cheetahs, and wild dogs, since at least 4.0 mBP. Predation by leopards lurking in woodlands, by spotted hyenas in open habitats, and perhaps, hunting dogs, remained perennial threats to humans. When colonizing Eurasia, they encountered additional threats represented by, besides African migrants, carnivores from the Oriental and Palaeo-arctic regions, such as tigers (especially dangerous in swampy forests), giant cheetahs, dholes, bush dogs, wolves, and by omnivorous bear species. Several of these Eurasian representatives such as cave lions, cave hyenas, tigers and giant cheetahs, were even more forbidding than presently, by being larger-sized. Although being diurnal reduced predation risks, it did not eliminate night-time dangers when many dangerous carnivores become more active and aggressive. When hominids acquired carnivorous propensities and occupied home-ranges overlapping with those of carnivores [7], this entailed additional dangers such as confrontational competition over prey carcasses. During early phases, ancient humans apparently developed symbiotic strategies with large predators such as saber-tooth cats and short-nosed hyenas [8], and perhaps, lions [9]. Relationships with spotted hyenas, hunting dogs, wolves and other social carnivores or scavengers, would remain risky and competitive, especially in habitats with lower carrying capacities and scavenging opportunities [10]. On the other hand, highly intelligent social hominids, by finding safety in numbers, could turn this trait to their advantage in daytime confrontational situations [11]. Nevertheless, it remained vital for ancient humans to avoid circumstances where competition or predation risks were high.

3

Early human "Core-area" land use and settlement system

Land use evolved with environmental changes. Plio-Pleistocene occurrences in East Africa (Lake Turkana, Olduvai Gorge, Olorgesailie, Lake Baringo), suggest complex behavioural patterns, with alternative socioecological models, currently discussed [12]. The earliest phase goes back to at least 2.3 mBP, covering small landscape areas in closed woodland habitats until 1.9-1.8 mBP. By 1.6 mBP, sites occur in various settings and ecotone locations combining riparian forests and open grasslands [13]. Many suggest palimpsests of repeated occupations in preferred locations. Some socioecological models stress antipredator defense to avoid interspecific competition, involving carcass transport to refuge areas or central places ( home-bases sensu lato) where all group members gathered [14]. Kill or butchering sites would therefore be brief occupation locations, compared with central places located in closed, shaded woodlands offering shelter, refuge and some food staples. None of the known living surfaces appear to combine clear indications, such as shelters, hearths, and activity areas, for social aggregations [12]. Trees could offer above-ground refuge but for bipedal hominids with only vestigial body hair, this would not resolve easily safety concerns for juveniles too weak to climb or cling to mothers' fur, as with ground-living baboons. Likewise, in situ Lower Palaeolithic sites older than 400 kyBP in Eurasia, such as Xiaochangliang, Bizat Ruhama, Boxgrove, Miesenheim G, Soleilhac, Fontana Ranuccio, Isernia la Pineta or Venosa, do not present spatial features suggesting actual home-bases. Consequently, both forest and open grasslands presented early humans with major safety constraints created by carnivore competition and the need to protect juveniles. Table 1 outlines the hypothetical characteristics of this early Homo core-area system, stressing a day /night time settlement dichotomy, a must for ground-living primates, before the advent of home-bases associated with fire-production.

ACTA ANTHROPOLOGICA SINICA

212

Table 1 1. 2.

3.

4.

5.

Supplement to Vol. 19, 2000

Lower Palaeolithic "Core-area" settlement system

Ancient hominids inherit the ground-living primates' diurnal socio-ecological and omnivorous adaptations, involving a strict segregation between daytime and night-time activities. Incorporating a carnivorous dietary component and developing an active meat procurement strategy entailed an increasing and potentially confrontational interaction with African and Eurasian social carnivores, leading to long-term coevolutionary rela-tionships. Subsistance and domestic activities were carried out during daylight hours in comparatively protected mixed grassland-woodlands, close to water sources, to mini-mize predation or confrontation risks from dangerous carnivores. Darkness hours (or daytime rest periods), when diurnal hominids become more vulnerable, and carnivores more active and aggressive, were devoted exclusively to sleep in safe locations offering natural protection, such as rocky outcrops, boulders concentrations, high cliff ridges, hill tops, accessible tree branches, increasing safety by using simple nests, lianas for climbing, wooden platforms, thorny bush screens, away from kill or meat consumption sites. Displacements between "core-areas" took place with entire local groups moving as a group to optimize safety by numbers. Foraging in open settings involved brief forays by a few group members. Time spent at kill/butchering sites would be minimized, carrying back portable edible carcass components. Bringing back or leaving animal food residues in locations devoted to sleep would be avoided, to avoid attracting other carnivores close to vulnerable juvenile group members. Most of the archaeologically identifiable anthropic locations coincide with daytime activity sites whereas night time sites would leave few recognisable traces. Migratory movements between "core-areas" may leave only low density, off-site lithic scatters.

4

Fire as a tool

Fire taming was a technological revolution without antecedents in the animal world [16], overcoming innate pyrophobia with profound implica-tions. A date as early as 1.6 mBP [17-18] for fire-harnessing would require reevaluating radically early hominid behavioural capabilities. Table 2 outlines the range of fire uses by foragers. Though much of this information refers to ethnographic sources, it seems plausible that different uses developed successively throughout Palaeolithic times. Archaeology and auxiliary methods possess powerful analytical means for discriminating between apparent and actual fire traces, and to a degree, between natural and anthropic agencies [19-20]. Uncertainties persist about identifying or establishing a datum for activities such as bush burning or some food-processing methods. Some fire control and daytime expedient uses may have taken place quite early in Africa's pyrogenic landscapes (bush fires, volcanic ashes, lava flows), to keep carnivores at bay, or for bush burning [18, 21-22]. Table 3 lists possible early occurrences in Africa and Eurasia. Unambiguous evidence associated with domestic fire-making, such as hearths, burnt bones and stones, ash bands, and charcoal, related to food preparation, protection against elements and carnivores, lighting, heating, in residence sites, however, appears much later during final Lower Palaeolithic or "Intermediate" and early Middle Palaeolithic phases [3, 23-24]. Table 4 lists these later sites containing abundant or essential proofs of fire-making. Table 2

Fire making uses during the Palaeolithic (direct evidence indicated in brackets)

RAW MATERIALS PROCESSING: 1. lithic materials quarrying or "fire-setting" for splitting boulders to detach large thermal flake preforms (1); 2. flint-annealing (2); 3. tree-felling (3); 4. charring speartips for whittling or for tips hardening. Burning logs or branches for making throwing sticks (4);

ROLLAND: Cave Occupation, Fire-making, Hominid/Carnivore Coevolution, and Middle Pleistocene Emergence of Home-base Settlement Systems

5.

213

hide-smoking.

FOOD-PROCESSING AND CONSUMPTION: 1. meat cooking by roasting or boiling (5,6); 2. bone marrow extracting (7); 3. cooking plants to make tough fibres and cellulose plants edible, or for removing poisonous contents; 4. for releasing some plant foods nutrients; 5. baking clay to assist in making tubers more digestible (8). TO MODIFY MICROENVIRONMENTS: 1. prolonging daylight hours in residences by hearths or with lamps (9,10); 2. making deep caves accessible for exploring or for domestic activities (11,12); 3. chasing away insects, poisonous snakes, bats, or small mammals; 4. using ashes' insulating properties against cold or dampness (13); 5. keeping at bay dangerous mammals or predators (14); as home-base requirement (15). for heating in open-air or enclosed sites (16,17). TO MODIFY OUTSIDE HABITATS BY BUSH-BURNING (18): 1. improving above-ground visibility; 2. dispersing on-the-ground poisonous snakes or insects; 3. smoke for protection against flies, mosquitos; 4. making walking and movements easier; 5. regenerating plant cover vegetation to improve secondary growth of edible plants for humans or for attracting prey animals (19); 6. for hunting drives and accelerating accidental roasting of game animals trapped by fire (20, 21) FOR COMMUNICATION AND SOCIAL LIFE: 1. use of smoke signals during explora-tion, home-range expansion, or during food-quest or tracing water supplies; 2. com-munal meat or plant cooking and consumption (22); 3. disposal of the dead by crema-tion (23); 4. fire as ritual or symbolic element. PALAEOLITHIC EXAMPLES: (1): Hangklip, South Africa; Les Pendus, Southwest France; (2) Solutrian leafpoints; (3) Kalambo Falls, Tanzania; (4) Kalambo Falls; (5) Vertesszollos, Hungary; (6) Gonnersdorf boiling stones; (7) Dolni Vestonice, Moravia; (8) Kalambo Falls; (9) Mas des Caves, Southern France; (10) La Mouthe, Southwest France; (11) Rigabe, Southern France; (12) Mas des Caves; (13) Grotte du Prince, Riviera; (14) Koobi Fora FxJj20 Main, Kenya ?; Bilzingsleben, Germany; (15) Pech de l'Aze II, Southwest France; (16) Port-Pignot, Northern France; (17) Abri Vaufrey, Southwestern France; (18) Usserleveen, Netherland;

ACTA ANTHROPOLOGICA SINICA

214

Supplement to Vol. 19, 2000

(19) C.O.Sauer speculated that fire was used for vegetative modification and hunting drives in red deer around Zhoukoudian ; (20) Cotte St-Brelade, Jersey; (21) Solutre Rock, Central France; (22) Pincevent camp, northern France; (23) Lake Mungo cremation burial, Australia.

Table 3

Possible or unconfirmed early (> 0.6 my BP) anthropogenic fire occurrences

AFRICA: Koobi Fora FxJj20 Main, Chesomwanja GnJi 1/6E, Gadeb (East Africa); Swartkans Member 3 South Africa. ASIA: Bizat Ruhama (Israel). EUROPE: Isernia la Pineta (Italy); L'Escale? Ferme de Grace? (France).

Table 4

Mid-Pleistocene anthropogenic fire occurrences ( * enclosed sites: rockshelters or caves)

AFRICA: (isotopic stages 8 or 9): Nyabusora, Kalambo Falls, Garba (East Africa); (isotopic stages 6 or 7): *Cave of Hearths, *Montagu Cave (South Africa); ASIA 1. Near East (isotopic stages 9-11): Nadaouiyah Ain 'Askar IV, Gesher B'notYakov?, *Tabun E; (isotopic stages 7 or 6): Nadaouiyah Ain 'Askar IV, *'Umm Qatafa, *Hayonim. 2. Southeast Asia (mid-Pleistocene): *Kao Pah Nam; 3. East Asia (later mid-Pleistocene): *Panxian Dadong, Beijing Shi, Zoukoudian locality 13, *Zhoukoudian locality 1, *Zhoukoudian locality 15. EUROPE (isotopic stage 11): Terra Amata, *L'Aldene, *Menez-Dregan, Cagny La Garenne?, Beeches Pit, Achenheim "sol 81", Teting, Schoeningen, Bilzingsleben, Vertesszollos, *Azykh V; (isotopic stage 9): *Mas des Caves, *Orgnac; (isotopic stage 8): *L'observatoire, *Le Rigabe, *Fontechevade; (isotopic stage 7): *Grotta del Colombo (11), *Le Payre (G), *Abri Vaufrey (VIII), Port Pignot, Roche Geletan, Biache St-Vaast, *Cotte St-Brelade (D,C), Pontnewydd, Maastricht-Belvedere, Ehringsdorf (LT); (isotopic stage 6): *Le Svolte di Popoli (14,15), *San Bernardino Grotta Maggiore, *Riparo Paglicci (2), *Lazaret, *Bau de l'Aubesier, *Pech de l'Aze II (6-9), *Combe-Grenal (5860), *La Chaise (Suard 51), *Cova del Bolomor (XII), Solana del Zamborino, San Quirce de Pisuerga, Torralba/Ambrona, *Hunas, *Kudaro I (IV).

5

Cave occupation

Rockshelters and caves have been used as loci for human activity and residence from prehistoric times to this day, by mobile and sedentary populations. Caves provided microclimatic shelter against temperature extremes (heat, cold, precipatation, wind), protection from predators or

ROLLAND: Cave Occupation, Fire-making, Hominid/Carnivore Coevolution, and Middle Pleistocene Emergence of Home-base Settlement Systems

215

scavengers, natural infrastructures for artificial shelters, or for artistic or ritual expression, and when suitably located, as strategic observation points. These advantages were contingent on regular fire use. Otherwise, caves remained inhospitable for settlement, being cold, damp, and potentially dangerous, especially at night and deep inside, because poor visibility and slippery muddy floors hampered movements and caused risks of serious or fatal accidents by falling into deep crevices, or being trapped by flash floods. Early humans also had to contend with occupants such as bears, lions, leopards, hyenas, wolves, or poisonous snakes. The record suggests that before firemaking, caves could be visited or used sporadically and briefly only in daytime, as temporary shelters, vantage points, or for water. Table 5 exemplifies such episodes. By contrast, later mid-Pleistocene and Upper Pleistocene cave site occupations become commonplace, often with dense concentrations of archaeological remains and anthropic fire remains. Fire may have been used in sites such as Coupe-Gorge, Arago, Baume-Bonne, Sel'ungur, or Guanyindong, but postdepositional disturbances or diagenesis could make recognizable traces identifiable only by micromorphology. Two patterns stand out with respect to hominid cave use: alternating anthropic and carnivore episodes e.g. Mas des Caves, Le Payre, Prolom; intensification over time, becoming widespread during the Upper Pleistocene. Deep caves occupation, already evidenced at Mas des Caves, Le Rigabe, required fire for heat, light and protection, culminating with classic Upper Palaeolithic art caves such as Chauvet, Rouffignac, Lascaux, Altamira, Les Combarelles, Castillo. Table 5

Lower or Early Mid-Pleistocene caves with confirmed or possible brief hominid occupation traces

AFRICA: Swartkrans, Sterkfontein; ASIA: Phnom Loang, Longgupo; EUROPE: Azykh 8-9?, Yarim Burgaz, Sandalja?, Stranska Skala?, Valchetta Cartoni, L'Escale?, Pierrefeu?, Vallonet, Camp de Peyre, La Romieu?, Vergranne, Belle-Roche, Kent's Cavern, Cau d'en Barrau, Atapuerca Gran Dolina, Cueva Victoria?.

6

The intermediate and middle Palaeolithic home based system

Table 6 summarizes its characteristics, from final Lower Palaeolithic by 400 kyBP, through the mid-Pleistocene Middle Palaeolithic. Spatial analysis of lithic and faunal remains suggests more concentrated patterns [25-26]. How this shift happened needs research. It could involve several intensifying factors in feedback loops. Fire was a necessary but not sufficient condition. Long-term repercussions of home-base systems on lifeways were as basic as the Upper Palaeolithic transformations in many Old World regions. Those deserving more study are vertical seasonal transhumance during the Middle Palaeolithic in the Pyrenees, Alps, Zagros, Caucasus, Central Asia, and Altai, colonizing boreal latitudes during interglacials e.g. Finland (Wolf Cave), northern Urals, and Yakutia (Diring Yuriakh). Entire local groups could survive year round, day and night, in open landscapes, fending off carnivore threats. This made the progressive occupation of Eurasia's continental Mammoth-Steppe Biome possible, during interstadials and stadials, with the specialized exploitation of gregarious ungulates, such as bison, horses, reindeers, mammoths.

ACTA ANTHROPOLOGICA SINICA

216

Table 6 1.

2.

3.

4.

5.

Supplement to Vol. 19, 2000

"Intermediate" and Middle Palaeolithic home bases

A major hominid socioecological organizational shift into an emerging residence and land use system more akin to simple recent foraging societies, involved overlap-ping of daytime and nighttime activities at residence or home-base sites. Regular, multipurpose fire production became a necessary though not sufficient condition for this organizational mutation. Increased independance from the former daylight/night-time dichotomy constaints took place by amalgamating both into a system revolving around home-bases. The latter were sites where reliance on fire for food preparation, heating, protection against scavengers or predators, increased tendencies to carry out both domestic activities and time devoted to sleep in the same locations or simultanously, regardless of daylight hours. Sleeping or rest became less contingent on specific night-time locations or segregated from domestic activities. The system allowed foraging or other procurement activities by smaller social units, radiating in safety, daily or over short periods, as well as for longer trans-humance journeys, away from residential bases. Movements between home-bases or to satellite sites could involve flux or more flexible scheduling segmentation, as well as aggregating or dispersing, besides use of locations for entire local groups. Home-bases were located according to an increasing range of habitats being exploited, as well as more extensive home-ranges exploration, with more specialized procurements of materials or foods. This fostered an increasing expansion into boreal latitudes, and the ability to survive under stadial bioclimatic conditions, besides seasonal exploitation of high altitudes. Home-bases become more visible archaeologically, by more patterned material residues contents (hearths, ashbands, pits, stone structures, postholes, screens made of antlers or mammoth tusks), and increasing use of enclosed sites, especially caves.

Acknowledgement: We thank Professor Derek Roe, Baden-Powell Quaternary Research Centre, Oxford University, England, and Professor Gary Tunnell, Anthropology Department, Malaspina College, Nanaimo, B.C., Canada, for their helpful peer reviews of the present paper. References: [1] WEINER S, XU Q, GOLDBERG P et al. Evidence for the use of fire at Zhoukoudian, China [J]. Science, 1998, 281: 251-253. [2] JAMES S R. Hominid use of fire in the Lower and Middle Pleistocene: A review of the evidence [J]. Curr Anthropol, 1989, 30(1): 1-26. [3] PERLES C. La naissance du feu [J]. L'Histoire, 1987, 105: 28-33. [4] SCHALLER GB. Golden Shadows, Flying Hooves [M]. New York: Knopf, 1973. [5] FOLEY R. Another Unique Species [M]. London: Harlow, 1987. [6] SHIPMAN P, WALKER A. The cost of becoming a predator [J]. J Hum Evol, 1989, 18:373-392. [7] BRANTINGHAM PJ. Hominid-carnivore coevolution and invasion of the predatory guild [J]. J Anthropol Archaeol, 1998, 17:327-353. [8] ARRIBAS A, PALMQUIST P. On the ecological connection between saber-tooths and hominids: faunal dispersal events in the Lower Pleistocene and a review of the evidence for the first human arrival in Europe [J]. J Archaeol Sci, 1999, 26:571-585. [9] TUNNELL GG. The origin of genus Homo: hominid-predator co-evolution [A]. In: FREEMAN L ed. Is Our Future Limited by Our Past? The University of Western Australia: Centre for Human Biology, 1989, 123-128. [10] TURNER A. Relative scavenging opportunities for East and South African plio-pleistocene hominids [J]. J Archaeol Sci, 1989, 15: 231-237. [11] EATON RL. Interference competition among carnivores: a model for the evolution of social behaviour [J]. Carnivore, 1994, 2: 9-16. [12] POTTS R. Variables versus models of early Pleistocene hominid land use [J]. J Hum Evol, 1994, 27: 7-24. [13] ROGERS MJ, HARRIS JWK, FEIBEL CS. Changing patterns of land use by Plio-Pleistocene hominids in the Lake Turkana Basin [J]. J Hum Evol, 1994, 27: 139-158. [14] BUNN HT. Early Pleistocene hominid foraging strategies along the ancestral Omo River at Koobi Fora, Kenya [J]. J Hum Evol, 1994, 27:247-266.

ROLLAND: Cave Occupation, Fire-making, Hominid/Carnivore Coevolution, and Middle Pleistocene Emergence of Home-base Settlement Systems

217

[15] OLIVER JS. Estimates of hominid and carnivore involvement in the FLK Zinjanthropus fossil assemblage: some socioecological implications [J]. J Hum Evol, 1994, 27: 267-294. [16] RONEN A. Domestic fire as evidence for language [A]. In: AKAZAWA T, AOKI K, BAR-YOSEF eds. Neandertals and Modern Humans in Western Asia. New York: Plenum. 1998, 439-447. [17] SCHULE W. Landscape and climate in prehistory: interactions of wildlife, man, and fire [A]. In: GOLDHAMMER JG ed. Fire in the Tropical Biota. Berlin: Springer-Verlag, 1990, 273-318. [18] CLARK JD, HARRIS JWK. Fire and its role in early hominid lifeways [J]. Afr Archaeol Rev, 1985, 3: 3-27. [19] BARBETTI M. Traces of fire in the archaeological record before one million years ago [J]. J Hum Evol, 1986, 15:771781. [20] PERLES C. La prehistoire du feu [M]. Paris: Masson, 1977. [21] BELLOMO RV. Methods of determining early hominid behavioral activities associated with the controlled use of fire at FxJj 20 Main, Koobi Fora, Kenya [J]. J Hum Evol, 1994, 27: 173-195. [22] PYNE S J. How the first Australians put a continent to the torch [J]. The Sciences, 1991, March/April: 39-45. [23] ROLLAND N. Later Pleistocene complexity: the Middle Palaeolithic antecedents [A]. In: MEYER D A, DAWSON P C, HANNA D T eds. Debating Complexity. Calgary: Chacmool, 1996, 193-201. [24] ROLLAND N. The Middle Palaeolithic as development stage: evidence from technology, subsistance, settlement systems, and hominid socio-ecology [A]. In: ULLRICH H ed. Hominid Evolution: Lifestyles and Survival Strategies. Schwelm: Archaea, 1975, 315-334. [25] KIND CJ. Die Verteilung von Steinartefakten in Grabungsflachen. Ein Modell zur Organisation Alt- und Mittelsteinzeitlichen Siedlungsplatze [D]. Institut fur Urgeschichte der Universitat Tubingen: Verlag Archaeologia Venatoria, 1985. [26] VILLA P. Sols et niveaux d'habitat du Paleolithique inferieur en Europe et au Proche-Orient [J]. Quaternaria, 1988, 19:107-134.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

218-223

Evidence for the Use of Fire at Zhoukoudian Steve WEINER1, Ofer BAR-YOSEF2, Paul GOLDBERG3, XU Qin-qi4, LIU Jin-yi4 (1. Department of Structural Biology, Weizmann Institute of Science, Rehovot, Israel 76100; 2. Department of Anthropology, Harvard University, Cambridge, MA 02138, U.S.A.; 3. Department of Archaeology, Boston University, 675 Commonwealth Ave., Boston, MA 02215, U.S.A.; 4. Institute of Vertebrate Paleontology and Paleoanthropology, Academica Sinica, Beijing 100044, P. R. China)

Abstract Evidence for fire at Zhoukoudian, Locality 1 was re-examined from both theoretical and evidential aspects. After presenting some general aspects of the recognition of in situ burning and purposefully built fires and fireplaces, the putative fireplaces and ashes from Layer 10 and Layer 4 were inspected from field evidence, and micromorphological and FTIR analyses. We conclude that the evidence does not support the claim for in situ burning from these Layers, although some remains of ash do appear to be present in the upper part of Layer 4.

Key words:

Zhoukoudian; Fire; Micromorphology; FTIR; Hearths

Layer 10 in Locality 1 at Zhoukoudian is often cited as one of the oldest evidence for the controlled use of fire by humans. This Layer, dated to between 400-600 ka, was recognized as such over 70 years ago when the first human remains began to appear at the site of Zhoukoudian Dragon Bone Hill [1-3]. The evidence cited for the use of fire included the thick deposits of Layer 4 and in particular Layer 10, the lowermost archaeological horizon, where certain phenomena were observed during the initial excavations in the 1930s. In Layer 10 these included: • • •

The presence of burned bones often mixed with unburned ones in association with flaked artefacts of quartz; Charcoal and organic-rich layer at the base of the Layer; Yellow and red-colored clays within the same zone as the organic-rich beds, thought to represent hearths, in situ burning, and the controlled use of fire.

In Layer 4, which is significantly younger than Layer 10 (ca. 250-300 ka), evidence for fire is somewhat different, including associations of artefacts: • • •

Four to six meters (depending on reference cited) of tan, powdery accumulations of silt, reputed to be ashes derived from fires; Bright red coloration of the deposits, particularly in the lower part of the layer; The presence of three horizons with quartzite artefacts in the relatively thin Layer 5 just at the base of Layer 4.

In evaluating the evidence for the use of fire at Zhoukoudian or at any site the question really boils down to how do we objectively evaluate the evidence of in situ burning, such as found in hearths or burned layers? In other words, what criteria can we use both in the field and in the laboratory that will let us determine whether in situ burning took place as enregistered in the deposits. This question contrasts with the notion of simply identifying manifestations of burning, heating or fires, that might be uninentional (e.g., lightening strikes, self-combustion as in manure piles) or even purposefully set by humans. Evidence for the past occurrence of fire might include the following individual types of items:

Foundaton item: Research was funded through the generous contribution of grants provided by IVPP; the American School of Prehistoric Research; the L.S.B. Leakey Foundation; the National Science Foundation; and through a personal grant to S. Weiner by Mr. George Schwartzmann.

WEINER et al. Evidence for use of fire at Zhoukoudian

• • • • • •

219

fire-cracked rocks and burned, lithic artifacts (particularly cherts); charred wood, leaves and other vegetal matter, or charred bones; ashes; burned sediment and mineral transformations due to heating (slaking of limestone [4]); changes in color, porosity of the substrate [5]; residues of combustion [6].

Figure 1 In situ hearth structure from the Epipalaeolithic site of Mushabi XIX in northern Sinai, dating to about 14,000 years ago [7]. Visible is rubefication of the sandy substrate by fire, which in turn is overlain by charcoal-rich ash that has been extensively burrowed by insects. Scale length is 10 cm

Figure 2 Series of superposed burned layers in the Middle Palaeolithic deposits of Kebara Cave, Israel. These layers, roughly 60,000 years old, show structures similar to those illustrated in the simple hearth in Figure 1: basal charcoalrich unit overlain by ashes. Because of extensive diagenesis (also responsible for the phosphatic yellow dots scattered in the center of the photograph) basal reddening is not visible at this scale. Scale bar is 20 cm long

220

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

Figure 3 Macrophotograph of scanned thin section from burned layers similar to those shown in Figure 2. Shown clearly, even at this scale (length of photo is 75 mm) is at least two in situ burned zones. The upper one is labeled, indicating basal reddening (r), overlain by charcoal-rich zone (cc), finally covered with ash (a). Basal reddening for the lower charcoal-rich zone is not present, likely because it appears that this fire was built upon pre-existing ashes

In addition, we might expect that remains of objects burned in place, and fireplaces that have not been disturbed, to exhibit some external articulation with the associated substrate, as for example, a slight depression in which the fire was made. Moreover, in situ burning features in the field might also display some degree of structural integrity, including mineralogical or color changes [8]. For example in many cases, we can observe rubefication of the substrate upon which the fire was made or color changes from the heated surface down into the unmodified substrate: reddish brown → brown → yellow brown [9] (Figs. 1-3). Similarly, in instances of undisturbed results of fires such as those in Figs. 1-3, resting on the rubefied base is typically a charcoal-rich layer that grades upward into ashes (normally calcitic, but these are commonly altered to phosphate minerals or are dissolved completely [10-11]. Needless to say, variations of this structuring can exist depending on the intensity of the fire (function of air supply, and combustible used), the moisture content of the substrate, and how much of the combustion has taken place. In the case of the latter, complete combustion results in no charcoal and only ash. Finally, the contextual associations of artifacts, ecofacts and features with burning activities, provides additional criteria for increasing or decreasing the probability that burning is associated with human presence and not a result of natural causes’ (Table 1).

WEINER et al. Evidence for use of fire at Zhoukoudian

Table 1

221

Criteria and degrees of confidence for evaluating in situ burning

Objects and Associations

Degree of Confidence

Constructed fire-places and hearths (e.g., depression, stone lined) preferably in association with burned bones, lithics, sediments, etc. Unabmbiguous associations for example, in situ presence of wood ash in a cave where trees are not normally found (i.e., interior portions) Ambiguous assocations for example, burned bones associated with lithics in a stratigraphic unit or layer Presence of burned materials dispersed in a depositional context without direct association with anthropogenic products

Clear-cut evidence for intentional fire use by humans Evidence for fire use by humans

Suggestive evidence for fire use by humans Evidence for fire at site, but no proof of direct or purposeful human use

Having established some reasonable constraints for recognizing purposeful or in situ burning, how can we apply these to an examination of some of the putative hearths” or ashes” exposed in Zhoukoudian, Locality 1. Layer 10 is a lithologically complex unit, and at present is only partially preserved in the western section. It contains numerous lithological subdivisions, but overall consists of yellow, reddish and brownish-red clays that are commonly laminated (see Appendix). In the northern part of the current section its yellow and red clays are somewhat wedge shaped, suggestive of an excavated hearth, along with the colors. However, when samples of undisturbed sediments are impregnated with polyester resin and made into thin sections [12], it becomes evident that much of the sediment of Layer 10 is finely laminated, with laminae consisting of silt and clay size mineral matter (mostly clay and alumino-silicate clays) that alternate with thin bands rich in organic matter that appears both charred and likely humified, the latter shown by its reddish brown color in oblique incident light [12-13]. Thus it is clear that even if some of the material has been burned, it is not in its original burned context, having been transported by and deposited in water[14]. Such finely laminated sediments are unlike those from in situ burned contexts (e.g., Figs. 1- 3); even though for example the Kebara hearths appear stratified in the field, on fine examination, they still maintain their structured integrity as discussed above and illustrated in Figure 3. Layer 4 is considerably thicker than Layer 10 and exhibits a great deal of lateral and vertical lithological variability. Overall, it is composed of pale brown, dark brown-yellow, pale black, brownish-red silts with sand, specks of reddish clay, all commonly laminated. The pale-colored silts, streaks of darker material, the presence of brighter red specks of clay, burned bone and burned stone, were all taken to indicate the presence of ashes and the extensive use of fire. Again, micromorphological examination of the Layer 4 deposits [14] shows them to have a complex depositional and post-depositional history, with the preponderance of the silts being washed into the cave from the slopes upslope and behind Locality 1 to the West. Illustrated in Figure 4, for example, the overall laminated nature of the sediments is evident, along with overprinting of secondarily precipitated hematite, which is superimposed on both the calcareous (lower) and non-calcareous, silty clay (upper) sediments. Furthermore, in many of these brighter reddish, supposedly fire-reddened layers from Layer 4, it is possible to observe fresh pieces of micritic, microsparitic and spartitic limestone that show no signs of having been heated; heating would result in either micritization of the limestone or complete removal. Limitations of space prevent a more thorough documentation of the lithological details of Layer 4 [14], but suffice it to say here that almost none of the sediments examined from Layer 4 at Locality meet the criteria for any degree of confidence of in situ fires, let alone purposeful burning. The presence of burned bone and burned quartz artifacts fall into the level of confidence of no proof of direct or purposeful human use of fire. This brief exposition attempted to establish some ground rules for the recognition of in situ burning and to apply them to two frequently cited examples that reputedly are among the first

ACTA ANTHROPOLOGICA SINICA

222

Supplement to Vol. 19, 2000

human uses of fire in the archaeological record. By setting up independent criteria, gathering specific pertinent evidence related to these criteria, it is possible to be more rigorous in the way we are able to assess topics as significant as these in the development of the human species.

Figure 4 Photomicrograph of reddish sediment. Noteworthy here is the presence of primary and secondary calcite in the lower part of the photograph, overlain by non-calcareous, reddish silts and clays in the upper part. In the transitional horizon in the center of the photograph, the reddish overprinting of secondary hematite is visible. XPL; width of photograph is ca. 3.2 mm

Appendix: Description of Layer 10 and Layer 4, Locality 1 [15] (as translated by LIU Jin-yi): Layer 10.

Layer 10-1. Layer 10-2. Layer 10-3. Layer 10-4. Layer 10-5. Layer 10-6.

Layer 10-7. Layer 10-8.

Ash layer. This layer contains brown-red, yellow, dark brown and brown ashes. It also contains fragments of extensively weathered limestone, phyllite, burned bone, and burned stone artefacts. Rounded stones are present. In the dark ash layer there are many fragments of charcoal. The ash layer dips to the north, at an angle of 35° (< 10-25°). A more detailed description of the sub-layers follows. The thickness is 0.56 - 0.65 m. Brown-red calcrete with small limestone boulders. Thickness is 0.07 m. Red clay with calcareous chips and charcoal chips. Thickness is 0.06 m. Yellow-red silt with white calcareous laminae and black ash. Thickness is 0.06 to 0.1 m. Brown-red silty clay and thin calcareous layer with sandy calcareous cement. The layer contains fragments of phyllite and black ash. Thickness varies from 0.06 to 0.2 m. Red and pale yellow clay 0.03 to 0.12 m thick. Ash layer. Finely laminated dark brown ash with a thin layer of brown-red ash. It contains calcareous fragments, burned bone and charcoal chips. The layer is 0.07 to 0.15 m thick. Weathered limestone breccia that wedges out to the northwest 0.18 m thick. Brown-red and pale yellow brecciated clay with charcoal chips and burned bone.

The eastern part of the ash layer is slightly thicker and includes red silty clay. The thickest part is about 2-3 m. The ash layer is clearly laminated. Layer 4.

Ash layer. This layer is divided into 4 sub-layers; the middle layer curves down-ward. The ash along the south fissure includes several layers of calcrete. The thickness is 6.92 m.

WEINER et al. Evidence for use of fire at Zhoukoudian

223

Layer 4-1. Pale brown ash layer with breccia. There are 4 cm thick pale ash laminae, and 10 cm thick brown ash laminae. The limestone breccia is slightly weathered. The diameter of the blocks is 10-15 cm. The thickness is 1.2 m. Layer 4-2. Multicolored ash layer. Some thin dark brown-yellow and pale black ash layers of are present within the pale white ash layer. These thin ash layers are horizontal. Their structure is very loose, with fine carbon fragments. Huge limestone boulders fallen from the ceiling are present at the bottom of the layer. The block is 0.9 m thick and 4.9 m long. The ash is 1.4 m thick. At its thinnest part it is 0.3 m. Layer 4-3. Brown-red ash and fine sand with clay layer, with small rock fragments, purple-red burned clay, burned bone, burned stone. Limestone rock is also found in this layer. The boulders are about 20 x 40 cm and lens shaped. They are distributed in the layer. The ash is divided into 4 layers of brown-red ash, 4 layers of pale white ash, and one layer of brown ash. A lens of brown-yellow fine sand with clay is present at the boundary of the layer. The lens includes brown-red specks burned clay. The thickness of the lens is 40 cm. The thickness of the layer is 4.3 m. Layer 4-4. Brown silty clay with small boulders. It is clearly stratified. The thickness is 0.27m.

Acknowledgments: We are grateful to the IVPP for their cooperation throughout this research. Financial support was provided by the American School of Prehistoric Research, Harvard University, the L.S.B. Leakey Foundation, and the IVPP. S.W. acknowledges generous financial help from Mr. George Schwartzmann, Florida. References: [1] BLACK D, CHARDIN TD, YOUNG CC et al. Fossil Man in China [M]. Geol Surv China A, 1933, 1-166. [2] BREUIL H. Le feu et l'industrie lithique et osseuse a Choukoutien [J]. Bull Geol Soc China, 1931, 11:17-154. [3] TEILHARD DCP, YOUNG CC. Preliminary report on the Choukoutien fossiliferous deposit [J]. Bull Geol Soc China, 1929, 8:173-202. [4] BAZILE F, GUILLERAULT P, MONNET C et al. Nouvelles approches des foyers paleolithiques: l'exemple de Fontgrasse (Vers-Pont-du-Gard-Gard) [A]. In: Nature et Fonction des Foyers Prehistoriques, Nemours, Musee de Prehistoire d'Ile de France, 1987, 2:11-17. [5] ORLIAC C, WATTEZ J. Un four polynesian et son interpretation archeologique [A]. In: Nature et Fonction des Foyers Prehistoriques, Nemours, Musee de Prehistoire d'Ile de France, 1987, 2:69-75. [6] CLIQUET D, DUMONT JL, DUPONT JP et al. Approche d'une etude comparative des matires organique de foyers prehistoriques e de foyers experimentaux. L'exemple du gisement mousterian de Saint-Germain-des-Vaux (Manche) [A]. In: Nature et Fonction des Foyers Prehistoriques, Nemours, Musee de Prehistoire d'Ile de France, 1987, 2: 29-45. [7] BAR-YOSEF O, PHILIPS J L eds. Prehistoric Investigations in Gebel Maghara, Northern Sinai [C]. Jerusalem: Qedem, Institute of Archaeology, Hebrew University, 1976. [8] MEIGNEN L, BAR-YOSEF O, GOLDBERG P et al. Le feu au Paleolithique: recherches sur les structures de combusion et let statut des foyers [J]. Paleorient, in press. [9] ORLIAC C, WATTEZ J. Un four polynesian et son interpretation archeologique [A]. In: Nature et Fonction des Foyers Prehistoriques, Nemours, Musee de Prehistoire d'Ile de France, 1987, 2: 69-75. [10] SCHIEGL S, GOLDBERG P, BAR-YOSEF O et al. Ash deposits in Hayonim and Kebara Caves, Israel: Macroscopic, microscopic and mineralogical observations, and their archaeological implications [J]. J Archaeol Sci, 1996, 23:763-781. [11] WEINER S, SCHIEGL S., GOLDBERG P et al. Mineral assemblages in Kebara and Hayonim Caves, Israel: Excavation strategies, bone preservation, and wood ash remnants [J]. Israel J Chem, 1995, 35:143-154. [12] COURTY M-A, GOLDBERG P, MACPHAIL RI. Soils and Micromorphology in Archaeology [M]. Cambridge: Cambridge University Press, 1989. [13] WEINER S. Mineral assemblages in Kebara and Hayonim Caves, Israel: Excavation strategies, bone preservation, and wood ash remnants [J]. Israel J Chem, 1995, 35: 143-154. [14] GOLDBERG P, WEINER S, BAR-YOSEF O. Site formation processes at Zhoukoudian [J]. Paleorient, In preparation. [15] YANG ZG, MOU YZ, QIAN F et al. Study of the late Cenozoic strata at Zhoukoudian. In: WU R, REN M, ZHU X et al. eds. Multidisciplinary Study of the Peking Man Site at Zhoukoudian. Beijing: Science Press, 1985, 1-86.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

224-234

Large Mammalian Carnivores as a Taphonomic Factor in the Bone Accumulation at Zhoukoudian Noel T BOAZ1, Russell L CIOCHON2, XU Qinqi3, LIU Jinyi3 (1. International Institute for Human Evolutionary Research, and Department of Anthropology, Washington State University, Pullman, WA 99164, USA; 2. Departments of Anthropology and Pediatric Dentistry, The University of Iowa, Iowa City, IA 52242, USA; 3. Institute of Vertebrate Paleontology and Paleoanthropology, Chinese Academy of Sciences, Beijing, 100044, China)

Abstract The entire fossil assemblage of Homo erectus excavated from Zhoukoudian Locality 1 has been studied from casts and available originals to assess taphonomic damage and determine the agent(s) of damage. Body part representation, the micromorphology of breakage, and the close similarity of Zhoukoudian Homo erectus damage to that documented in modern African hyaenid-modified bone assemblages lead us to conclude that the Pleistocene hyaenid, Pachycrocuta brevirostris, was responsible for most of the taphonomic bone modification. We reconstruct a pattern of hyaenid bone gnawing that accounts for the observed pattern of damage to the Homo erectus crania, including the lack of faces and enlarged foramina magna, previously postulated as evidence of cannibalism. Homo erectus postcrania reveal extensive evidence of puncture bite marks and fracturing in a pattern characteristic of modern hyaenid damage, and one specimen (Femur V) shows clear signs of stomach acid etching and regurgitation by hyaenids. Our findings suggest that Homo erectus remains were transported into the cave by hyaenids, and that Zhoukoudian was primarily a bone assemblage accumulated by hyaenid activity.

Key words:

Zhoukoudian; Homo erectus; Hyaenidae; Taphonomy; Cannibalism; Pachycrocuta brevirostris

Since the mid-19th century, discovery of the physical remains and archaeological artifacts of early hominids (or hominins) has been of paramount interest to paleoanthropologists. But as paleoanthropology develops greater sophistication, it is increasingly clear that attention must be paid to the interpretative context of the fossil and archaeological documents of our evolutionary past. Without question, the cave site of Zhoukoudian is one of the most important anthropological sites for understanding the context of human evolution. It is widely accepted as evidence of the earliest controlled use of fire by humans, and with somewhat less support, has long been touted as proof of early human interpersonal violence and cannibalism. The cave’s faunal and floral remains constitute some of anthropology’s most significant data on Homo erectus diet. Moreover, due to extensive earth science investigations of the cave sediments, Zhoukoudian is one of the best dated and most well known paleoenvironmental contexts of Homo erectus. Based on this evidence, along with the documented presence there of over forty individuals— s till the largest single near contemporaneous early hominid population in the fossil record —many scholars have argued for a Homo erectus “cave home.” Our research informs many of these contextual aspects of Homo erectus at Zhoukoudian. Despite the tragic loss of the original fossils during World War II, casts were made that are of significant scientific value. Yet, a prevailing sense of loss over the originals seems to have led paleoanthropologists to ignore important new discoveries of Zhoukoudian Homo erectus by Chinese excavators. This is especially true with respect to Skull V (PA 109), which is now housed in the Institute of Vertebrate Paleontology and Paleoanthropology in Beijing. Our methodology involved a thorough re-assessment of the Zhoukoudian Homo erectus fossil remains and their taphonomic damage through both gross and microscopic examinations of the casts and remaining original fossils. We then compared our results with well-documented cases of human and non-human bone Foundation item: This research is supported by the Human Evolution Research Fund of the University of Iowa Foundation. Travel funds for R.L.C. to attend the Symposium on Paleoanthropology in Beijing came from the International Travel Support Program of the Office of the Vice President for Research and from the Dean of the College of Liberal Arts, University of Iowa

BOAZ et al.: Large Mammalian Carnivores as a Taphonomic Factor in the Bone Accumulation at Zhoukoudian

225

modification, as well as damage caused by geological processes, in order to determine the primary causal factors in the Zhoukoudian hominid fossil assemblage.

1

Taphonomic History of the Homo erectus Fossil Remains

Table 1 and Figure 1 summarize body part representation of the Homo erectus assemblage from Locality 1 of Zhoukoudian [1-3]. The Homo erectus bone assemblage shows a preponderance of isolated teeth, skull parts, and mandibles, a low incidence of proximal limb elements, and a virtual absence of distal limb elements, hands or feet. This is the taphonomic signature of large carnivoremodified bone assemblages, insofar as it bears a close resemblance to Brain’s [4] experimental results with leopard feedings of baboon carcasses, observations from modern African hyena dens[5-6], and analyses of fossil assemblages accumulated by hyaenids [7]. The large size of the skeletal elements and the nature of the damage necessarily precludes avian predator accumulation [8]. Furthermore, we did not observe unambiguous rodent gnaw marks on any of the hominid remains. The sediments in which the remains were found were not water-lain, and thus, the pattern of postcrania damage is inconsistent with sediment abrasion caused by stream or river transport. Table 1

Zhoukoudian Locality 1 Homo erectus Skeletal Elements

Body Parts Calvaria & Cranial Fragments

13

Mandibles and Fragments

15

Teeth (Isolated and in bone)

157

Vertebral Column (Atlas)

1

Shoulder Girdle (Clavicle)

1

Humerus

3

Radius

0

Ulna

0

Carpus (Lunate)

1

Pelvic Girdle

21

Femora and Femoral Fragments

7

Tibia (Fragment)

1

Fibula

0

Tarsus

0

TOTAL 1

Number of Elements

201

Although Weidenreich and later Chinese workers have not included in tabulations of hominids from Zhoukoudian these two unassociated iliac fragments, we believe that these iliac epiphyseal specimens were indeed hominid and include them here.

In comparison with modern African hyena-den mammalian faunal assemblages, the Zhoukoudian hominid assemblage shows a lower proportion of distal limb elements. This is to be expected given that the relatively smaller hominid body size in comparison with modern African herbivore prey species would result in relatively greater destruction of more heavily muscled primate forearm, leg and cheiridia. The body part representation of Zhoukoudian Homo erectus is in accordance with frequencies expected in a skeletal assemblage of primates accumulated by large carnivores.

ACTA ANTHROPOLOGICA SINICA

226

Supplement to Vol. 19, 2000

Upon examination of the extant curated fossil and cast inventories in China at Zhoukoudian and at the IVPP and at the American Museum of Natural History, we concluded that this pattern of body part representation is real; that is, it represents what was preserved in the cave sediments, rather than an artifact of collection or excavation bias. This conclusion is predicated on our analysis of published and unpublished records which reveal that all bone was excavated, along with individual teeth and unidentifiable bone fragments, down to 1 cm in length [1-2, 10]. Pei [10-11] was the first to suggest that Zhoukoudian may have been a hyena den rather than a human dwelling site. Zapfe [12] then followed suit, undertaking feeding experiments to support his contention that the Pleistocene cave hyena played a major role in bone modification and accumulation. Zapfe’s arguments were later applied to the Zhoukoudian Homo erectus remains by Weidenreich [1-2] who, in turn, reevaluated his own position with respect to the presence of carnivore damage on at least some of the remains.

13

14 12

9

10 8 7

8 6

4.5

4

4

2.5

2 2 1

2 0

0

1

1 1

Lower Hind

Feet

0

0 Head

Neck

Axial

Upper Front

Amboseli Figure 1

Lower Front

Upper Hind

ZDN

Comparison of ungulate body part percentages from a modern African spotted hyena den in Amboseli National Park, Kenya [9] with body part representation of Zhoukoudian Homo erectus Locality 1 assemblage. Mandibles and isolated teeth from Zhoukoudian are not associated with crania; they have not been corrected for minimum numbers of individuals, and thus are not included in “Head” category

2

Postcrania

The bones most obviously modified by hyaenid activity are the Homo erectus postcranial remains. Figure 2 shows Femurs III, VI and VII [2] with breakage characteristic of hyaenid bone fracturing. While Femur V, shown in Figure 3, displays similar breakage, it also reveals puncture bite marks and acid-etching, which indicates ingestion and regurgitation by a hyaenid. This femoral fragment therefore provides direct evidence of hyaenid consumption, and presumably predation or scavenging of Homo erectus by hyaenids at Zhoukoudian.

BOAZ et al.: Large Mammalian Carnivores as a Taphonomic Factor in the Bone Accumulation at Zhoukoudian

Figure 2

Views of Zhoukoudian H. erectus Femurs III, VI and Femur VII (A-C), compared to the pattern of breakage seen in Bos long bones (D-F) chewed by hyenas in Zapfe’s feeding experiments [12] and figured by Weidenreich (p. 150, Plate XXXIV)[2]

227

228

Figure 3

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

Zhoukoudian H. erectus Femur V, a specimen which shows the breakage pattern characteristic of hyenas and also evincing the rounded edges and pitting associated with ingestion, partial digestion, and regurgitation by a hyena. A, photograph of cast, anterior aspect; B, drawing, anterior aspect; C, drawing, posterior aspect. B and C from Weidenreich (p. 96, Plate VII) [2]

Weidenreich [2] considered the absence of the acromial end of the clavicle, and an associated indentation thought to be a bite mark, as evidence of large carnivore modification. We concur with Weidenreich, while also noting that the missing portion of the clavicle is that which attaches to the deltoid muscle, and is consistent with hyaenid predation. At the same time, Weidenreich [1-2] argued that the large, longitudinally fractured bones at Zhoukoudian were the result of hominid tool modification, since in his view, animals were not capable of splitting such robust bones. Yet, Pachycrocuta brevirostris, the largest hyaenid to have lived in the cave, was far greater in size and strength than either Homo erectus or modern African hyaenids. The ability of this very large Pleistocene carnivore to process human bone should not be underestimated, and we believe that fragmentary Homo erectus postcrania are consistent with hyaenid, rather than hominid, bone modification [13].

3

Crania

Paleoanthropologists have routinely dismissed Weidenreich’s [1] statements that most of the skulls show evidence of peri-mortem damage, which he posited may have been caused by rock falls, pressure by enclosing cave sediments (e.g., Skulls X, XI, XII), intentional cutting and blunt-force trauma inflicted by other hominids, and/or gnawing by large carnivores. Indeed, Weidenreich [1] concluded that carnivore bites best explained the damage to several crania, including Skulls IV, V and VI. Nevertheless, in his now infamous words, Weidenreich [1] stated: “My verdict is that the destruction of the base and the blows on the top of the skull are the incidental work of man.” Based

BOAZ et al.: Large Mammalian Carnivores as a Taphonomic Factor in the Bone Accumulation at Zhoukoudian

229

on comparative data and a detailed reexamination of the evidence, we assert that this position is no longer tenable.

A

B Figure 4

A, Oblique frontal view of Homo erectus frontoparietal (Skull V or PA 109) excavated at Zhoukoudian in 1966. Circle on left superior orbital rim indicates probable hyena bite mark. B, SEM photograph of area in circle shows magnified view (17X) of probable hyena bite mark on the original bone surface of Skull V

230

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

It is important to note, as did Weidenreich [1], that all Homo erectus crania found at Zhoukoudian are, to varying degrees, fragmentary. Of the more complete remains, Skulls IV and V were reconstructed from fragments found widely separated at the site. This disarticulation occurred prior to cave sediment burial and is accompanied by bite marks and breakage patterns characteristic of large carnivores [1]. There is also evidence that compression by cave sediments damaged some crania. The parietal of Skull XII was broken into more than fifty fragments, all of which Weidenreich found to be closely related. In our view, geological damage to the crania is not a major source of taphonomic bias that would account for the differential loss of cranial parts, since bones smashed in situ by enclosing breccia were all found in close association and reconstructed by Weidenreich. Given that isolated nasal bones of less than 1 cm in diameter were found some distance from the remainder of Skull XI, we believe that most or all of the cranial fragments were, in fact, collected and subsequently reconstructed [1]. However, the missing cranial base bones were never recovered. An anterior view of Skull II shows a wide, U-shaped groove running across the left superior orbital rim, which Weidenreich (his Fig. 13) [1] figured, but did not label or discuss. Viewed in cross-section, this groove is identical to large carnivore bite marks we observed previously and have therefore identified as such on this specimen. A superior view of Skull II shows a long “artificial sulcus” which Weidenreich (his Fig. 15) [1] labeled as ‘sa.’ The groove is consistent with canine scoring on the surface of the parietal by a large carnivore, probably hyaenid, as it attempted to gain purchase on the skull with its teeth. The taphonomic damage to Skull II is comparable to that identified on bones recovered from modern African hyena bone assemblages [5-7], and from feeding experiments with large carnivores [4]. We therefore contend that damage to this skull is consistent with the feeding strategy of a large hyaenid at Zhoukoudian Locality 1. Damage on Skull III, originally described by Black (his Plates XI-XVI) [14] shows long “striations” which he considered, along with Weidenreich (p.188) [1], to be carnivore bite marks. With reference to Skull V, Weidenreich (p. 189) [1] suggested that an “artificial cut” (‘a’) on the superior vault was most likely caused by a carnivore bite. This specimen was lost in 1941. The actual fossil bone surface of an adjoining frontoparietal fragment of Skull V, discovered in 1966 and labeled as PA 109, reveals a clear longitudinal bite mark on the right parietal, located 2 cm anterior to the broken margin of the bone and 9 cm posterior to the supraorbital torus. A second bite mark is seen on the left supraorbital torus of Skull V, depicted by an SEM photograph of a peel taken from the original specimen (Figure 4). Not only is the cross-section of this damage U-shaped, unlike a cut-mark made by a stone tool, but the lack of chipping or flaking at the edge of the groove indicates that the bone was fresh when the damage occurred. Furthermore, the absence of surrounding damage, regularity of the groove, and lack of plastic bone deformation are not consistent with damage by enclosing sediments or geological pressure. According to Weidenreich (p. 189) [1], the damage on Skull VI provides definitive evidence of carnivore gnawing. The skull, fragmented prior to burial into several pieces, shows what both Weidenreich (his Figs. 32 and 35, labeled ‘sa’ and ‘rc’) [1] and we consider carnivore bite marks on the margin of fragment II (a left parietal bone) and at the intersection of fragments II and III. In addition, damage to the inferoposterior margin of the frontal bone of this skull (fragment I) also shows a wide-grooved longitudinal depression figured by Weidenreich (his Fig. 34, labeled as ‘da’)[1] that we consider a likely carnivore bite mark. In our view, the U-shaped parasagittal groove on Skull X is consistent with the raking anterior tooth mark of a large carnivore, probably a hyaenid. Weidenreich (p. 186) [1] asserted that basicranial damage to Zhoukoudian Homo erectus, seen on Skulls II, II, V, X, XI and XII, is comparable to that identified on Neandertal crania and attributed to human agency. Although Breuil [15] had earlier posited the preponderance of skull parts at Zhoukoudian to be evidence of intentional internment of decapitated heads, this supposition was refuted by data from subsequent excavations [1].

BOAZ et al.: Large Mammalian Carnivores as a Taphonomic Factor in the Bone Accumulation at Zhoukoudian

4

231

Model of Hyaenid Damage of Homo erectus Crania

Based on the observable damage to Homo erectus crania from Zhoukoudian we propose a generalized sequence of hyaenid biting, chewing and skeletal manipulation. As illustrated in Figure5, the sequence involves the hyaenid’s efforts to: (1) strip off the edible temporalis and masseter muscles from the head, damaging the zygomatic arches and mandibular rami in the process; (2) crack the mandible near the symphysis (the “wish-bone effect”) in order to reach the tongue; (3) crush the mandibular corpus and the facial skeleton overlying the maxillary sinus to obtain marrow, soft tissue and/or edible spongy bone; and (4) break open the skull vault, thereby exposing the brain —a lipid-rich organ highly prized by modern African hyenas [16].

Figure 5

Generalized sequence of hyaenid biting, chewing, and manipulation of Homo erectus crania, postulated on the basis of the pattern of hyaenid modification observed. This model shows two steps or bites. Step 1 in the postulated sequence begins with the use of the jaws to grasp the head and crush the face. In order to gain access to the skull base, the supraorbital tori is used as a fulcrum for the upper anterior dentition. Step 2, as presented in shadow, involves using the now damaged basicranium as a fulcrum for lower anterior dentition in order to advance the upper dentition toward the front and sides of the cranial vault. At the conclusion of Step 2, the cranium is cracked open yielding the lipid-rich brain

Step 1 involves the use of the jaws to grasp the head and crush the splanchnocranium. Specifically, the skull base is accessed using the supraorbital tori as a fulcrum for upper anterior dentition. This is documented by the following: (1) observed bite marks on the supraorbitals of Skulls II and V; (2) the absence of facial bones, except fragments of attached nasals, in the Zhoukoudian crania sample; (3) destruction of all basicranium; and (4) comparative behavioral observations indicating that modern hyaenids have a predilection for first biting the face when scavenging the head. In Step 2, the now damaged basicranium is employed as a fulcrum for the lower anterior dentition to advance the upper dentition toward the front and side of the cranial vault. This is

232

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

documented by: (1) longitudinal bite marks located parasagittally on the frontal and parietal bones of several skulls; (2) bite marks on the temporal bones of Skull II; and (3) cracked and concave skull vault bones with puncture marks, observed most clearly on the in situ cast of Skull III made by Black in 1930. This model of carnivorous Homo erectus skull scavenging is consistent with observations made of hyaenid gnawing sequences involving the skulls of non-human species [5-6, 13].

5

Summary and Conclusion

In a widely overlooked passage, Weidenreich (p. 184) [1] posed the following two questions: “(1) Why, so far, have only broken crania or fragments of the bones (of Homo erectus) come to light in the Choukoutien deposit?” and “(2) Why has the material found been restricted mainly to cranial bones?” Although he noted that “crushing” might account for the damage on some crania, he also writes that: “Surprising, and calling for special explanation, is the incontestable fact that the Sinanthropus skulls were already defective and the isolated bones partly broken into small pieces before the earth came in and covered them” [1]. Our findings lead to a single answer: large carnivores, most likely the cave hyena Pachycrocuta brevirostris, was responsible for this type of Zhoukoudian hominid skeletal deformation (Figure 6). The dearth of articulated or semi-articulated skeletal remains of any mammalian fossils except Pachycrocuta brevirostris, suggests Zhoukoudian could not have been a natural trap for animals living at or near the cave (ie. autochthonous species). Although there is sedimentological evidence of flowing water —that is, sand and gravel in portions of the Zhoukoudian sequence —there is no taphonomic evidence for water transport and/or fossil sorting. Our findings are consistent with observations made by Pei [10-11], Lin [17], Binford and Ho [18], Binford and Stone [19], and Dong [20], of fossil bone fragmentation and taphonomic damage by carnivores at Zhoukoudian. We therefore conclude that the Homo erectus remains probably represent the food refuse of large mammalian carnivores, especially Pachycrocura brevirostris. With respect to Weidenreich’s [1-2] scholarship, our main point of contention concerns the breakage of Homo erectus cranial bases. Whereas he considered this damage and the absence of bone fragments to be the result of cannibalistic activity, we find no evidence to support this contention. Rather, the skull damage is strikingly consistent with that of other mammalian fossils subjected to modification by hyaenids and other large carnivores. The facial skeleton and nasals are missing on most skulls, while the foramen magnum was enlarged in order for the predator to access the lipid-rich brain. Indeed, breakage patterns on the skull base match puncture, bite and gnaw marks on the more superior parts of the neurocranium which we believe were made as large carnivores endeavored to pry open the skull vault. In our view, the lack of basioccipital and basisphenoid fragments in the bone assemblage are most likely due to ingestion by hyaenids. However, we should point out that we observed some rare bone damage in this collection that cannot be explained in terms of large carnivore modification. These specimens are still under investigation. In sum, we examined all hominid fossil bones, either casts or originals, collected from Zhoukoudian, in order to identify and determine the cause of peri-mortem and pre-fossilization damage. Of the 49 non-dental hominid skeletal elements in this collection, virtually all show direct or indirect evidence of bite marks, gnawing, chewing, punctures and/or fragmentation by large carnivores. Our findings contrast rather sharply with those of Weidenreich (p. 453) [21], who wrote that, “transportation …by beasts of prey is impossible. In the latter case traces of biting and gnawing ought to have been visible on the human bones, which is not the case.” He subsequently adopted a more empirical and less rigid position [1-2]. Together with his observations and casts, and our analyses, we conclude that hyaenid bone modification is the most plausible explanation for taphonomic damage to the hominid skeletal assemblage at Zhoukoudian.

BOAZ et al.: Large Mammalian Carnivores as a Taphonomic Factor in the Bone Accumulation at Zhoukoudian

233

Figure 6 The lion-sized Pachycrocuta brevirostris, the largest hyaenid that ever lived, was a formidable predator. This final illustration objectifies this by comparing, at same scale, the prey species Homo erectus (left image) with the predator Pachycrocuta (right image – actual fossil skull superimposed over life-like reconstruction that is adapted from [23]). Direct fossil evidence, such as skeletons of complete individuals and thousands of isolated elements, and related fossil evidence, including numerous bite, crush, and puncture marks, as well as an abundance of coprolites, make it clear that Pachycrocuta brevirostris was an autochthonous member of the Zhoukoudian fossil assemblage. This hyaenid was very likely responsible for the accumulation of the Homo erectus fossils at Zhoukoudian

Given that the autochthonous member of the Zhoukoudian fauna was Pachycrocuta brevirostris, and direct evidence of hyaenid bone modification indicating that this species, rather than Homo erectus, accumulated the bulk of recovered faunal remains, our conclusions ultimately call into question the Zhoukoudian Homo erectus “cave home scenario.” Extensive taphonomic analyses of the remaining, non-hominid Zhoukoudian faunal sample are still needed to verify this hypothesis. However, the cave home scenario has been challenged by Weiner, et al. [22], whose findings suggest that ash levels at Zhoukoudian are not indicative of human-made hearth remains. Although evidence of stone tools, cutmarks on bone and fire, even if ephemeral, all point toward the presence of Homo erectus in the cave, further research is needed to determine the nature and scope of that presence. Acknowledgements: We thank the staff of the Zhoukoudian International Research Center for making our stays at the site so memorable. We also acknowledge the Director of the IVPP for supporting our research at the IVPP. Matt Grussing, Anthropology Department, University of Iowa (UI) helped with the layout of Figures 1-4. Chris Davitt of the Washington State University Scanning Electron Microscope Laboratory is thanked for her assistance in the preparation of Figure4. Bruce Scherting, University of Iowa Museum of Natural History, composed the color graphics in Figures 5 and 6. Kate Dernbach (Anthropology, UI) edited the manuscript. Finally, we thank the Physical Anthropology program at the American Museum of Natural History, New York for access to their superb collection of Zhoukoudian hominid casts.

234

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

References: [1] WEIDENREICH F. The Skull of Sinanthropus pekinensis: A Comparative Study on a Primitive Hominid Skull [M]. Palaeontol Sin, N Ser D 10, 1943. [2] WEIDENREICH F. The Extremity Bones of Sinanthropus pekinensis [M]. Palaeontol Sin, N Ser D 5, 1941. [3] WU X, POIRIER FE. Human Evolution in China: A Metric Description of the Fossils and a Review of the Sites [M]. Oxford: Oxford University Press, 1995. [4] BRAIN CK. The Hunters or the Hunted [M]. Chicago: University of Chicago Press, 1981. [5] SUTCLIFF AJ. Spotted hyaena: Crusher, gnawer, digester, and collector of bones [J]. Nature, 1970, 227: 1110-1113. [6] HILL A. Bone modification by modern spotted hyenas [A]. In: BONNICHSEN R, SORG M, ORONO MA eds. Bone Modification. Center for the Study of Early Man, 1989, 169-178. [7] KLEIN RG, CRUZ-URIBE K, HALKETT D et al. Paleoenvironmental and human behavioral implications of the Boegoeberg 1 late Pleistocene hyena den, Northern Cape Province, South Africa [J]. Quat Res, 1999, 52(3): 393-403. [8] ANDREWS P. Owls, Caves, and Fossils: Predation, Preservation, and Accumulation of Small Mammal Bones in Caves, with An Analysis of the Pleistocene Cave Faunas from Westbury-sub-Mendip, Somerset, UK [M]. Chicago: University of Chicago Press, 1990. [9] POTTS RB. Lower Pleistocene Site Formation and Hominid Activities at Olduvai Gorge, Tanzania [D]. PhD Dissertation, Harvard University, 1982. [10] PEI WC. Choukoutien Excavations [M]. Geol Mem, Ser B 7, 1934. [11] PEI WC. Le Role des Animaux et des Causes Naturelles dans le Cassure des Os [M]. Paleontol Sin, N Ser D 7, 1938. [12] ZAPFE H. Lebenspuren der eiszeitlichen Hohlenhyane. Die urgeschichtliche Bedeutung der Lebenspuren knochenfressender Raubtiere [J]. Palaeobiol, 1939, 7: 111-146. [13] CRUZ-URIBE K. Distinguishing hyena from hominid bone accumulations [J]. J Field Archaeol, 1991, 18(4):467. [14] BLACK D. On an Adolescent Skull of Sinanthropus pekinensis in Comparison with an Adult Skull of the Same Species and with Other Hominid Skulls, Recent and Fossil [M]. Paleontol Sin, Ser D, 7 (fascicle ii), 1930. [15 ] BREUIL H. Bone and Antler Industry of the Choukoutien Sinanthropus site [M]. Paleontol Sin, N Ser D 6, 1939. [16] KRUUK H. The Spotted Hyena: A Study of Predation and Social Behavior [M]. Chicago: University of Chicago Press, 1975. [17] LIN S. Large fossil mammals of Locality 1 of Zhoukoudian and the hunting behavior of Peking Man [A]. In: WU R ed. Multidisciplinary Study of the Peking Man Site at Zhoukoudian. Beijing: Science Press, 1985, 95-101. [18] BINFORD LR, HO CK. Taphonomy at a distance: Zhoukoudian, “the Cave Home of Beijing Man?” [J]. Curr Anthropol, 1985, 26: 413-442. [19] BINFORD LR, STONE NM. Zhoukoudian: A closer look [J]. Curr Anthropol, 1986, 27: 453-475. [20] DONG Z. Looking into Peking Man’s Subsistence. A Taphonomic Analysis of the Middle Pleistocene Homo erectus Site in China [D]. PhD Dissertation, Indiana University, 1996. [21] WEIDENREICH F. The Sinanthropus population of Choukoutien (Locality 1) with a preliminary report on new discoveries [J]. Bull Geol Soc China, 1934, 14(4): 427-461. [22] WEINER S, XU Q, GOLDBERG P et al. Evidence for the use of fire at Zhoukoudian, China [J]. Science, 1998, 281: 251-253. [23] SAVAGE RJG, LONG MR. Mammalian Evolution: An Illustrated Guide [M]. New York: Facts on File, 1986.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

235-245

A Preliminary Study on the Early Pleistocene Deposits and the Mammalian Fauna from the Renzi Cave, Fanchang, Anhui, China JIN Chang-zhu1, DONG Wei1, LIU Jin-yi1, WEI Guan-biao1, XU Qin-qi1, ZHENG Jia-jian1, ZHENG Long-ting2, HAN Li-gang3, WANG Fa-zhi4 (1. Institute of Vertebrate Paleontology and Paleoanthropology, Chinese Academy of Science, Beijing, 100044; 2. Anhui Museum, Hefei, 230061; 3. Anhui Archaeology Institute, Hefei, 230061; 4. Fangchang Museum, Fanchang, 241200)

Abstract The fauna from the Renzi Cave, Fanchang, Anhui Province, China was discovered in 1998 during a field investigation. After two years' excavation, a large number of vertebrate fossils and tens of artifact-like objects were unearthed from the cave-fissure deposits in the Renzi Cave. The deposits in the cave measure more than 40 meters and can be divided in to two parts and 8 layers. Layers 1 - 7, which form the upper part, are mostly collapsed sediments from the walls and roof of the cave. The fossils were all found in these layers. Layer 8, or lower part, was formed slowly under stable underground hydraulic environment and bears no fossil. Based on a preliminary study, the vertebrate fossils from the Renzi Cave include turtles, birds and 67 mammal species that are similar to those of the Early Pleistocene faunas from other parts of China. The mammal assemblage shows some primitive characters. It is composed mainly of extinct forms. The Tertiary relic forms are also numerous such as Homotherium, Sinomastodon, Nestoritherium etc. Micro mammals include Beremendia, Hypolagus, Mimomys, Kowaskia, Brachyrhizomys shansius. The large mammals include Pachycrocuta licenti, Equus sanmenensis, Muntiacus nanus, Metacervulus capreolinus, Cervavitus ultimus, Cervus cf. philisi etc. They are common members of the Late Tertiary and Early Quaternary mammal faunas in northern China. Some mammals such as Cervus cf. Philisi is comparable with those of European Villafranchian faunas. The fauna from the Renzi Cave also shares about 15 species with those of Wushan fauna. Compared with those of the Early Pleistocene from northern and southern China, its percentages of extinct genera and species are relatively high, and it appears more primitive. On the other hand, the appearance of Equus in the fauna shows that the fauna should be later than 2.6 Ma. Taken as a whole, the geological age of the Renzi Cave fauna is very likely the early stage of the Early Pleistocene if 2.6 Ma is considered as the lower boundary of the Pleistocene as most of the Chinese stratigraphers recommended. The Renzi Cave fauna is more affiliated to those of northern China. It implies that there should be a cold period in China in the early stage of Early Pleistocene that pushed the northern faunas to migrate southward and made the areas south of Yangtze a transitional zone between the Palaearctic and Oriental Regions. The discovery of the Renzi Cave fauna is of great help for the study of the Quaternary environmental background to the hominid evolution, and the evolution of zoogeography and paleoclimate of China.

Key words:

Renzi Cave; Fanchang; Early Pleistocene; Cave-fissure filling deposits; Mammalian fauna

1

Introduction

In the 1980's, cement factories were built around the limestone area in southern Anhui where some factory workers discovered some fissures and caves in quarrying. In July 1984, Mr Cheng Hongjiang found some mammal fossils, so-called dragon bones, and submitted them to Anhui Museum and the Institute of Vertebrate Paleontology and Paleoanthropology (IVPP). Some of the fossils were identified as Middle Miocene Platybelodon sp., Kubanochoerus sp. etc.[1]. During the field investigation of the State Key Scientific Research Project "Research of the Early Hominid Ancestors of 2-4 Ma in China and Their Environmental Background", Dr. Jin Changzhu led his team investigated the limestone quarries at Fangchang County and found two localities with Pleistocene cave-fissure deposits. Jin unearthed an upper jaw of a large primate Procynocephalus sp. and some mammalian fossils such as Homotherium sp., Brachyrhizomys sp. etc. A test excavation was carried out right away and an upper jaw with three molars, a nearly complete lower jaw and a juvenile lower jaw of Procynocephalus sp. were unearthed from the third and fourth layers of the cave. After 25 days of test excavation, the team unearthed 4 upper jaws, 5 lower jaws and 45 isolated teeth of Procynocephalus sp. and about 20 species of mammals, as well as some stone artifacts with evident hominid agency. Biography: JIN Chang-zhu got his PhD Degree in Japan and is specialised in Quaternary research. He is leading the research team on Renzi Cave and Huainan fauna.

236

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

Within the framework of the key project, an official excavation team was formed by the researchers from the Institute of Vertebrate Paleontology and Paleoanthropology, Chinese Academy of Sciences, Anhui Museum, Anhui Archaeology Institute, Fanchang Museum, and led by Dr Jin Changzhu. The team launched systematic excavation at the Renzi Cave since September 1998. Based on the directions of the deposits and taphonomic aspects of mammal fossils, the excavation started from the top deposit of western Renzi Cave with the maximum excavating surface of more than 40 square meters and used strictly the archaeological methods. The big squares lined eastwestwards with the sides of 2 meters were labeled A, B, C, D and so on, and north-southwards labeled 1, 2, 3, 4, and so on. The depth of each 50 cm is taken as a horizontal excavation layer and which is sub-divided into 5 sub-layers with 10 cm each. 9 horizontal layers were excavated which are equivalent to geological layer 1-4 in 1998. More than 60 pieces of possible stone artifacts, bone artifacts and bones with hominid agency were unearthed, and more than 1500 pieces of vertebrate fossils were collected. About 50 species of vertebrates were identified including well preserved skeleton of Ursus microdontus and a complete skull of Homotherium sp. The excavation continued in the spring and autumn of 1999. The excavation extended from the Renzi Cave to the fissures of Eastern sides of the cave. Some supplementary geological investigations were also carried out to understand better the environmental background of the prehistory. Beside Dr Jin Changzhu, the leader of the team, Zhang Senshui, Xu Qinqi, Liu Jinyi, Wei Guanbiao, Zheng Longting, Han Ligang, Wang Fazhi etc. also participated the excavation. The excavation surface of the site totals 50 square meters. From the 9th horizontal layer, the square was narrowed down from 2 X 2 square meters to 1 X 1 square meter. From 9th to 13th horizontal layers, or geological layer 5 - 6, the most important possible hominid vestige and rich fossils were found. Another 60 pieces of stone artifacts, bone artifacts and bones with hominid agency were unearthed, and more than 3000 pieces of vertebrate fossils were collected. About 75 species of vertebrates were identified. Based on two years' systematic excavation, the deposits at the Renzi Cave suggest that the lower valleys of Yangtze very likely bear the Early Pleistocene hominid vestige which may supply very important information to the research of early hominid evolution.

Figure 1

Geographic location of the fossil site

JIN et al.: A Preliminary Study on the Early Pleistocene Deposits and the Mammalian Fauna from the Renzi Cave, Fanchang, Anhui, China

2

237

Geological and geographical background of the Renzi Cave

The Renzi Cave is located at 118°5'46"E and 31°5'23"N, on the southeast slope of Laili Hill, 2 km northwest of Suncun Village and about 10 Km southwest of Fanchang City (figure 1). It is owned by Suncun Cement Factory of Fanchang County. Fanchang County, with total area of 1264 square kilometers, is south to Yangtze River, southwest to Wuhu Lake and hilly land of Nanling, and southeast to Chaohu Lake. Its southwest areas are hilly. The highest hill, Zhaishan, is 470 meters above sea level. Its northeast areas are low and wet lands. The general topography of the county is high on the southwest and low on the northeast.

Figure 2

Geological section of the Renzidong

238

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

Tectonically, Fanchang is located in the middle extension of north Jiuhua mountain among the Paleozoic belt of folded strata of Lower Yangtze. The area was an uplifting land in the Middle Triassic pushed by Indo-China Movement. Lacustrious deposits were formed in some block basins from the Cretaceous to the Palaeogene. Influenced by magma movement during the Mesozoic Yenshan Movement and the following weathering and erosion, the southwestern limestone area at Fanchang evolved gradually into down hilly land in the Plain of Middle and Lower Yangtze Valleys. Limestone hills are rounded with gentle slopes. There are also karst hills. The top of the hills are usually 100 - 230 meters above sea level. The highest Zhaishan Hills of the area consist of the anticlinal axis. The axis is composed of Permian and Triassic limestone. A series of tectonic fractures were formed on both limbs of the anticline by Himalayan Movement in the Cenozoic. Laili Hill at Suncun Village, Fanchang County, is 142 meters above sea level and on the southern anticlinal limb of Zhaishan. It is consists of the Late Permian Tailong Formation of bioclastic limestone and the Early Triassic Longshan Formation of pelitic and dolomitic limestone with well developed vertical joints. More than ten large and vertical faults and fractures were developed within only one square kilometer, and small secondary faults were developed everywhere associated with the major ones. The karst development of the area is controlled by the tectonic structure, and its strikes is mostly northeast 40° - 45°. The karst patterns are mostly karstic cave and fissure and their geological age is from the Middle Miocene to the Late Pleistocene. The distribution of karstic caves and fissures is quite regular. The top altitude of the fissure bearing the Middle Miocene ape fossil is about 140 meters, and that of the Early Pleistocene at the Renzi Cave is about 120 meters. The Renzi Cave was formed in a large karstic fissure. When this area was firstly explored for making cement in the 1970's, a cave was found on the southeast of the slope and it was called Huaguoshandong (cave with plenty of flowers and fruits). When our team investigated the area in 1998, the original appearance of the cave already changed to a wide upside open fissure, the roof of the cave was quarried. On the quarrying section, the cave looks like a wide fissure and the deposits inside the cave look like an upside down "Y" which in Chinese is like the character "man" (Renzi in Chinese pronunciation) and the cave is called Renzi Cave. The outcrop of the deposits in Renzi Cave is about 30 meters thick and 8 - 12 meters wide. The deposits can be classified into 9 layers from the top to bottom (figure 2). 1. 2.

3.

4.

5.

6.

7.

Loosely cemented grayish black, dark brown mild clay, with small amount of small brecciated limestone. No fossil is found in this layer. Thickness of the layer is 0.7 meter. Loosely cemented dark brown mild clay with ferromanganes and calcite nodules, some brecciated limestone gravel, some slightly rounded light yellow shale. The diameter of the gravel is about 10 - 30 cm. A few fragments of limb bone fossils were found. The thickness of this layer is 1.8 meters. Tightly cemented reddish brown silt clay with many different-sized pieces of brecciated limestone. The gravel diameter varies from 10 to 30 cm, with a maximum of 55 cm. There are also big calcite crystals, fragments of stalactite and stalagmite, mudstone gravel and iron ore. The layer bears some stone artifacts and mammal fossils such as Procynocephalus, Mimomys cf. pei, Sinomastodon and some cervids. The thickness of the layer is 2.7 meters. Reddish brown mild clay with small gravel and a little brecciated limestone of certain sorting rate. The diameter of the gravel is about 2 - 10 cm. Some calcite plates can be seen in the layer. The layer bears many fossils such as Brachyrhizomys, Allocricetus, Cromeromys, Homotherium, Tapirus etc. and some stone artifacts. The thickness of the layer is 1.1 meters. Tightly cemented brown mild clay with a large amount of huge brecciated limestone gravel. The diameter of the gravel varies from 10 to 20 cm with a maximum of 60 cm. Some dark, grayish green lenticle of clay and irregular calcite plates can be seen in the layer. The amount of stone and bone artifacts, fossils such as Procynocephalus, Equus sanmenensis, etc. is considerable. The layer thickness is 2.4 meters. Brownish maroon sandy clay with small amount of brecciated limestone and small gravel of 5 - 10 cm in diameter. The layer bears many well preserved mammal skeletons such as Homotherium, Mastodon, Tapirus, etc. The layer thickness is 4.1 meters. Brownish maroon sandy clay with huge brecciated limestone. The size of the stones varies considerably from minimum of 5 cm to maximum of 70 cm. The layer bears larger crystalised calcite plates, fragments of stalactite and stalagmite, as well as rich mammal fossils. The layer thickness is 4.1 meters

JIN et al.: A Preliminary Study on the Early Pleistocene Deposits and the Mammalian Fauna from the Renzi Cave, Fanchang, Anhui, China

8.

239

Loosely cemented gray sand soil, sand and sandy gravel layer. Fine sand and sandy gravel supersede with each other. The fine sand sheet changes horizontally and sometimes evolves into discontinoued sandy gravel strips. The roundness of gravel is good. The diameter of the gravel varies from 0.3 to 2 cm. The layer bears occasional lenticle of brownish red clay and few fossils. The bottom of the layer is not yet seen. The observable thickness of the layer is 15.1 meters. (this layer may be further divided with the progress of the excavation)

The deposits from the Rezi Cave can generally be divided into two parts of sedimentation: the upper one, from the 1st to 7th layers, is mainly collapsed breccia, and the lower one, the 8th and lower layers, is mainly the alternative sediments of clay, sandy mud and sandy gravel by stable hydraulic transportation. The deposits of the upper part are poorly sorted, the composition of the sediments is the same as the country rocks. The fossils in the deposits are local. The cave fillings are from adjacent areas with short distance of transportation. The deposit speed is rapid. The large breccia were evidently formed periodically. There were collapses of the roof and walls of the cave (happened at least three times), there were also occasional, seasonal abrupt floods. They made the vertical formation of the deposits varies remarkably, and the blocs of breccia decrease southeastwards and evolve finally into clay. The second or lower part is composed of clay, fine sand, and small gravel, the size of the components are small, the roundness is good, the thickness of the deposits is large, and the sedimentary sequence shows some horizontal facial variation. It implies that during this depositing period the roof of the cave was well preserved and it was mainly of stable underground hydraulic sedimentary environment. Although there is no roof left at the cave, it is evidently a large vertical karstic cave judged by the fragments of stalactite and stalagmite as well as the calcite crystals found in the deposits. Based on the distribution of the caves and fissures around the Laili Hill and their developmental features, as well as the analyses of the section, the development of the Renzi Cave can be outlined as follow: the cave was developed from the structural fissures during the Late Tertiary and enlarged by dissolving agency on the limestone, and later on successively deposited more than 40 meters of sediments which completely filled the cave.

Insectivora Chiroptera Rodentia Canivora Primates Lagomophora Proboscidia Perissodactyla Artiodactyla

Figure 3

Composition of the fauna from Renzi Cave

ACTA ANTHROPOLOGICA SINICA

240

3

Supplement to Vol. 19, 2000

The mammalian fauna from the Renzi Cave

After two year's investigation and three times of systematic excavations at the Renzi Cave, the vertebrate fossils were mainly collected from layers 3 - 6, or upper section and totaled more than 5000 specimens. They are well preserved and taxonomically varied. After the preliminary study, the vertebrate fossils include turtles, snakes, birds, and mostly mammals, altogether about 10 orders, 33 families, 70 genera and 74 species. The reptile totals 4 species and bird 3 species. The mammals identified are listed in table 1. Among 63 genera and 67 species of mammals, rodents take a large proportion, at least 24 species and distributed in all layers, carnivores (some of them with complete skeleton) take the second large proportion, and distributed mainly in layers 5 and 6, followed by insectivores with 9 species, artiodactyles 8 species, perissodactyles 5 species, chiropterans 4 species, primate 1 species, proboscidean 1 species and lagomorph 1 species (figure 3). The composition of the mammalian fauna from the Renzi Cave is quite unique: it is composed of 24 typical species of Palaearctic Region, 23 typical species of Oriental Region and 20 widely distributed species. It therefore represents a transitional zone between the faunas of north and south China. The fauna is characterized by many hold-over species from the Neogene, such as Kowalskia, Mimomys, Brachyrhizomys, Martes, Homotherium, Paramachairodus, Magamtereon, Sinomastodon, Nestoritherium, Tapirus, Muntiacus, Metacervulus, Cervavitus etc., and many extinct genera (21, or 35% of total) and species (51, or 76.1% of total), whereas extant species numbered only 7, or 10.4% of total, unidentified species 17, or 25.3 % of total. It shows that the fauna is quite archaic. But the forms as Cricetulus, Leopoldamys, Rattus, Ailuropoda, Equus sanmenensis, Cervus unicolor etc. are typical Quaternary forms and it indicates that the fauna is not of the Pliocene but of the Early Pleistocene. The fauna from Renzi Cave is of transitional fauna between the north and the south. It is comparable with those from the classic Early Pleistocene localities of northern and southern China, such as those from Liucheng, Yuanmou, Wushan, Nihewan and Loc. 18 of Zhoukoudian (table 1).

Wide pattern 29%

Southern pattern 34%

Northern pattern 37%

Figure 4

Eco patterns of the fauna from Renzi Cave

JIN et al.: A Preliminary Study on the Early Pleistocene Deposits and the Mammalian Fauna from the Renzi Cave, Fanchang, Anhui, China

4

241

Discussion

The comparison of faunal composition between Renzi Cave fauna and that from Longgupo of Wushan, Giant Ape (Gigantopithecus) Cave of Liucheng, Yuanmou, Loc. 18 of Zhoukoudian and Nihewan (s. s.) is shown in table 1. Table 1

Comparison between the fauna from Renzi Cave and those of Early Pleistocene from the North and South of China

Mammals from Renzi Cave

Number of individuals*

Wushan

Anourosorex quadratidens Blarinella cf. quadraticauda Beremandia fissidens Sorex spp. Soriculus cf. parva Soriculus spp. Chimarrogale cf.himalayica Scaptochirus cf. primitivus Talpa sp.

+++ ++++ ++++ + ++ ++ +++ ++ ++

# * # *

Myotis sp. Murina cf. aurata Rhinolophus cf.ferrumequinum Hipposideros sp.

+++ +++ ++++ +

# * # #

Procynocephalus sp.

++

#

Hypolagus brachypus

+

Sciurotamias cf. praecox Trogopterus sp. Petaurista cf. brachyodous Allocricetus ehiki Cricetulus sp. Kowalskia sp. Mimomys cf. peii Cromeromys cf. gansunicus Borsodia sp. Typhlomys cf. intermedius Brachyrhizomys cf.shansius Hystrix magna Apodemus cf sylvaticus Apodemus dominans Micromys cf.minutis Chiropodomys sp. Hapalomys sp. Vernaya sp. Leopoldamys edwardsioides Wushanomys cf. hypsodontus Niviventer preconfuciannus ?Niviventer fulvescens Rattus cf. bowersi Rattus sp. Nyctereutes cf. sinensis Nyctereutes sp. Martes pachygnatha Martes anderssoni Mustela cf. altaica Meles chiai Ursus cf. microdontus Ailuropoda microta

+ + + +++ +++ + ++ ++++ ++++ + +++++ + +++ + ++ + + + ++++ + ++++ + ++++ ++ + + + + + + + +

Liucheng

Yuanmou

ZKD Loc.18

Nihewan

# # * # # * #

#* # #

# *

#

# *

# *

# # *

# # * # # *

# *

#

# # *

# # # # # * # * # # # # *

# * # # *

# *

# # * # *

#

# # # * # * #

# * # # * #

242

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

?Pachycrocuta licenti Paramachairodus sp. Homotherium crenatidens Megantereon sp. Felis cf. microtis Lynx sp.

+ + + + ++ +

# *

Sinomastodon intermedius

+

#

# *

Equus sanmeniensis Nestoritherium sp. Tapirus sanyuanensis Rhinoceros sinensis Dicerorhinus sp.

+ + + + +

# # # * # * #

# # #

+ + + + + ++ + +

# * # # # * # * # # #

# * # #

# # # *

# *

# *

#

# #

Sus peii Moschus sp. Muntiacus nanus Metacervulus capreolinus Cervavitus utimus Cervus cf. philisi Cervus (Rusa) unicolor Bibos sp.

#

# *

# # *

# #

#

# # # # *

# #

#

# *

# *

# * #

# #

#

# # # # * # * #

* Number of individuals: + less than 10; ++ from 10 to 29; +++ more than 30; ++++ more than 50. # identical at generic level; * identical at specific level.

The fauna from the Renzi Cave and that from the Giant Ape Cave of Liucheng are both found south of Yangtze, but their compositions are remarkably different. The latter is composed mainly of typical southern forms and of Oriental Region. It represents the early forms of typical Ailuropoda Stegodon fauna [2], and its geological age is at the early stage of the Early Pleistocene. The fauna from the Renzi Cave is composed of a large number of northern forms and lack typical southern forms such as Gigantopithecus, Stegodon, Viverra, etc. These two faunas share 17 genera, but only 4 species (Hystrix magna, Ailuropoda microta, Pachycrocuta licenti, Sus peii). The percentages of the extinct forms in the fauna from the Renzi Cave (50% genera and 66.7% species) are higher than those of Liucheng (34.2% genera and 55.3% species). In addition, the Ursus cf. microdontus from the Renzi Cave is very similar to the Ursus microdontus from the Pliocene Mazegou Formation of Yushe and more primitive than U. cf. thibetanus from Liucheng. It can be seen that the geological age of the Renzi Cave fauna is older than that of Liucheng. Yuanmou fauna is a very important Early Pleistocene fauna in southern China. Yuanmou Formation is 700 meters thick and is divided into 4 beds. With the progress of biostratigraphic and magneto-stratigraphic study on Yuanmou Basin, many researchers agree that the fossils found from Yuanmou can be further divided into two faunas, i.e. the Shagou fauna from beds 1 - 2 and the Yuanmou Man fauna from beds 3 - 4 [2-3]. Shagou fauna is composed mainly of Stegodon and Neogene forms, and without Equus, and is therefore more primitive. Yuanmou Man fauna and that from the Renzi Cave have 13 genera in common and 3 same species i.e. Rhinoceros sinensis, Muntiacus nanus, Cervavitus ultimus. In addition, Yuanmou Man fauna lacks Ailuropoda, Tapirus which are found in the Renzi Cave. The rodents from the Renzi Cave are also more primitive than that from Yuanmou Man fauna. It can be concluded that the fauna from the Renzi Cave is earlier than that of Yuanmou Man fauna. The latter was dated about 1.5 to 2 Ma by paleomagnetic study[2-3]. Longgupo fauna from Wushan is a very important Early Pleistocene fauna. It is composed of 29 families, 74 genera and 116 species. It can be further divided into three mammal assemblages: 1) upper fauna of the first deposit unit [4]. Its paleomagnetic age is dated about 1.87-1.67 Ma. It is totally composed of small mammals, including 31 genera and 47 species. All genera are extant but 31.9% of species are extinct. The fauna is evidently later than the Renzi Cave fauna. 2) Middle fauna (2.01-2.04Ma), it includes Gigantopithecus and "Wushan Man" totaling 68 genera and 92 species of mammals. It is quite similar to the Renzi Cave fauna with 48 genera in common. The same or similar species are Anourosorex quadratidens, Blarinella cf. quadraticauda, Soriculus cf.

JIN et al.: A Preliminary Study on the Early Pleistocene Deposits and the Mammalian Fauna from the Renzi Cave, Fanchang, Anhui, China

243

parva, Chimarrogale cf. himalayica, Murina cf. aurata, Mimomys cf. peii, Hystrix magna, Apodemus dominans, Leopoldamys edwardsioides, Wushanomys cf. hypsodontus, Niviventer preconfuciannus, Nyctereutes cf. sinensis, Meles cf. chiai, Ailuropoda microta, ?Pachycrocuta licenti, Tapirus sanyuanensis, Rhinoceros cf. sinensis, Sus peii, Metacervulus capreolinus, Cervavitus utimus etc. at least 20. The extinct genera in the fauna are 24% of total (compared with 34% in the Renzi Cave fauna), and extinct species total 58, or 63% of total (76% in the Renzi Cave fauna). It can be concluded that the fauna from Renzi Cave is evidently earlier than the Middle fauna from Wushan. 3) The lower fauna from Longgupo of Wushan is composed of only 15 genera and 16 species. Its absolute age was deduced by Huang Wanpo and Zheng Shaohua [4] as earlier than 2.48 Ma. Its extinct genera take about 31.3% of total and extinct species 68.8%. It shares with the Renzi Cave fauna Chimarrogale cf. himalayica, Apodemus dominans, Tapirus sanyuanensis and Cervavitus ultimus. Thus, the fauna from the Renzi Cave is of the same age as that of lower fauna of Longgupo, or even earlier. Loc. 18 at Zhoudkoudian is a representative of Early Pleistocene fissure deposits of northern China. 25 genera and 28 species of mammals were found and called Huiyu fauna [5]. It is composed mainly of typical Palaearctic genera and species among which small mammals take almost half of the total. The archaic forms disappeared from the fauna, while Equus sanmeniensis and Allophaiomys terr-rubrae appeared. The Renzi Cave fauna is very similar to that of Huiyu at specific evolutionary level. Firstly, they have 8 species in common: Hypolagus brachypus, Sciurotamias cf. praecox, Petaurista cf. brachyodous, Allocricetus ehiki, Apodemus cf sylvaticus, Mustela cf. altaica, Meles chiai, Equus sanmeniensis. Secondly, Huiyu fauna has many Pliocene forms as Hypolagus, Alilepus, Ochotonoides, Chardinomys, Prosiphneus, and some Pleistocene advanced forms such as Allophaiomys terr-rubrae. In addition, the extinct genera in Huiyu fauna total 8, or 32% of total, extinct species total 20, or 71.4% of total. These percentages are lower than those of the Renzi Cave fauna, extinct genera 35% and extinct species 76%. It demonstrates that the fauna from the Renzi Cave is of the same age as Huiyu fauna or even a little bit earlier than the latter. Nihewan Basin is an important classic Quaternary site of northern China. It bears rich mammal fossils and Paleolithic artifacts in its Late Cenozoic lacustrious deposits. Recent biostratigraphic and magnetic stratigraphic research shows that the former Nihewan Formation includes the strata bearing the Late Pliocene Daodi-Donghaozitou fauna [6-7]. The Nihewan fauna mentioned here is in strict sense and only limited to that from the Early Pleistocene strata. Its absolute age is about 1.871.20 Ma [8]. The fauna is characterized by the disappearance of Prosiphneus and the appearance of Myospalax tingi with rootless teeth, as well as the co-existence of Mimomys orientalis, Borsodia chinensis and Allophaiomys cf. pliocaenicus. It is completely different from the fauna from the Renzi Cave. Nihewan fauna is composed of 46 genera and 53 species [8-10]. The extinct genera total 13, or 28.3% of total, and the extinct species total 35, or 66% of total. The percentages of the extinct genera and species are evidently lower than those of the Renzi Cave fauna. It implies that the fauna from Renzi Cave might be earlier than Nihewan fauna (s. s.). In addition, an important component of the fauna from the Renzi Cave is the presence of true horse. The fossil records show that Equus crossed Bering land bridge from North America to Eurasia at about Middle Villafranchian (2.5 Ma) [11]. It was called Equus Event. The Microtine with rootless teeth in North America and Europe such as Lasiopodomys, Allophaiomys, Pitymys etc. appeared at the same time and it is also called Microtine Dispersal Event [12]. The continental Microtine dispersal event happened at about 1.85-1.90Ma (equivalent to the Olduvian). Many students think the Microtine with rootless teeth radiated from Asia [13-16] , its appearance in Asia is therefore earlier than Olduvian [12]. Judged by the Microtine (Mimomys, Cromeromys, Borsodi etc.) from the Renzi Cave, their absolute age is doubtless earlier than 1.90 Ma. In short, the Renzi Cave fauna is composed of the similar quantity of Oriental and Palaearctic forms, and it is a mixed fauna. Compared with those of the Early Pleistocene from northern and southern China[17-18], there are some similarities and also differences. It shows more primitive characters. Therefore, its age should be earlier than the others, i.e. the early stage of Early

244

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

Pleistocene, or 2 -2.4Ma. The fauna from the Renzi Cave is in the transitional zone between the Palaearctic and Oriental Regions but with evident northern China sub-region characteristics. Its components such as Beremandia fissidens, Scaptochirus cf. primitivu, Hypolagus brachypus, Sciurotamias cf. praecox, Allocricetus ehiki, Cricetulus sp.,, Kowalskia sp., Mimomys cf. pei, Cromeromys cf. gansunicus, Borsodia sp., Apodemus cf. sylvaticus, Apodemus dominans, Lynx sp., Martes pachygnatha, Martes anderssoni, Mustela cf. altaica, Pachycrocuta licenti, Paramachairodus sp., Homotherium crenatidens, Megantereon sp., Sinomastodon intermedius, Equus sanmeniensis, Cervavitus utimus, Metacervulus capreolinus, etc. are typical Palaearcitc forms [19-20] and take 35.8% of the fauna. Their ecological patterns are simple, mostly of grassland, some are of bush-land or small forest. The Beremandia is a common form of the cold fauna in Europe from the Late Pliocene to Early Pleistocene. It was found only in Daodi Formation at Nihewan and Haimao fauna of Early Pleistocene. The large scaled invasion of northern form to the south implies the arrival of cold climate that made the boundary between the northern and southern faunas shift southwards.

5

Conclusion

1. After some systematic excavations, tens of possible stone and bone artifacts were unearthed from the Renzi Cave. The artifacts show evident retouches and the raw material is varied. The locality supplies therefore new and important information for the research of early hominid origin and evolution in Asia and stimulating the research. 2. Besides the possible hominid vestiges, it is remarkable that a large quantity of Procynocephalus was found from the cave-fissure deposits. It includes more than 30 mandibles and more than a hundred teeth. Procynocephalus was firstly discovered at Xinan, Henan Province, and then at Yushe, Shanxi Province, Wushan, Sichuan Province. It is a Plio-Pleistocene primate. The Procynocephalus from the Renzi Cave is a big and primitive one. It differs from the Procynocephalus. cf. wimani of Longgupo, Wushan and Procynocephalus wimani of Xinan, and very likely a new species of Procynocephalus. It is the first discovery of this genus in the lower valleys of Yangtze and is very important for the study of its evolution and geographic distribution. 3. The fauna from the Renzi Cave is composed of 75 species of vertebrates. It is primitive as a whole. It includes many Neogene hold-overs, about 26%; the proportion of extinct form is higher than that of classic Pleistocene faunas of China. Judged by the composition of the fauna and the geo-historical distribution of its components, its geologicall age might be the Early Pleistocene, and equivalent to the Middle Villafranchian of Europe, or can be correlated to that of Dacaian. 4. Based on the analyses of the fauna components, the fauna from the Renzi Cave is that of transitional zone between the Palaearctic and Oriental Regions. It can also be concluded that there was an evident cooling period in the lower valleys of Yangtze during the beginning of the Pleistocene that the northern fauna migrated southwards and changed the geographical distribution of the faunas. 5. The appearance of large number of northern grassland small mammals in the fauna from the Renzi Cave implies that the formation of Yangtze in the area might be later than the Early Pleistocene since these animals could not penetrate into the south through such vast barrier as Yangtze. Acknowledgement: the authors thank Anhui Provincial Bureau for Cultural Heritage, Anhui Museum, Anhui Archaeological Institute, local governments of Fanchang County and Suncun Village for their hospitality. They would also like to acknowledge Professors Qiu Zhanxiang, Huang Weiwen, Zheng Shao Hua, Wu Wenyu and Dr. Wang Xiaoming for the comments on the study. This work was supported by the Ministry of Sciences and Technology of China for the State Key Projects.

JIN et al.: A Preliminary Study on the Early Pleistocene Deposits and the Mammalian Fauna from the Renzi Cave, Fanchang, Anhui, China

245

References: [1] ZHEN LT. The Miocene Mammal Fossils from Fanchang, Anhui (in Chinese)[J]. Vertebr PalAsiatica,1993, 31(2):148. [2] JI HX. Geographical Distribution and Classification of the Quaternary Mammalian Faunas of China [J]. J Stratigr, 1987, 11(2):91-102. [3] LI YX. On the Subdivisions and Evolution of the Quaternary Mammalian Faunas of South China [J]. Vertebr PalAsiatica, 1981, 19(1):67-76. [4] HUANG WP, ZHENG SH. Vertebrate Fossil Assemblages [A]. Wushan Hominid Site. Beijing: Oceanography Press, 1991, 135-149. [5] TEILHARD de CHARDIN P. The fossils from Locality 18 near Peking [M]. Pal Sin, 1940, N Ser C 9:1-94. [6] TANG YJ. The early Pleistocene mammalian faunas of China [A]. Contributions to the XIII INQUA. Beijing: Beijing Scientific and Technological Publishing House, 1991, 32-37. [7] CAI BQ. A preliminary report on the Late Pliocene micromammalian fauna from Yangyuan and Yuxian, Hebei [J]. Vertebr PalAsiatica, 1987, 25(2):124-136. [8] TEILHARD de CHARDIN P, PIVETEAU J. Les mammiferes fossiles de Nihowan (Chine)[J]. Ann Pal, 1930, 19(1-4):1134. [9] LI Y. The early mammalian fossils of Danangou, Yuxian, Hebei [A]. Vertebr PalAsiatica, 1984, 22(1):60-68. [10] ZHENG SH, CAI BQ. Micromammalian fossils from Danangou of Yuxian, Hebei [A]. Contributions to the XIII INQUA. Beijing: Beijing Scientific and Technological Publishing House, 1991, 100-131. [11] BONIFAY MF. Relations entre les donnees isotopiques et l'histoire des grandes mammiferes europeennes pliopleistocenes[J]. Quat Res, 1980, 14(2):251-263. [12] REPENNING CA. Quaternary rodent biochronology and its correlation with climatic and magnetic stratigraphies [A]. “Correlation of Quaternary Chronologies”. England: Geo Books, 1984. 105-118. [13] FLYNN LJ. Systematic revision of Siwalik Rhizomidae (Rodentia) [J]. Geobios, 1982, 15(3):328-379. [14] JACOBS LL. Fossil rodents (Rhizomyidae and Muridae) from Neogene Siwalik deposits, Pakistan [J]. Mus North Arizona Bull, 1978, 52:1-103. [15] KAWAMURA Y. Quaternary Rodent Faunas in the Japanese Islands. Pert 1 [M]. Mem Fac Sci, Kyoto University, Ser Geol Mineral, 1988, 4(1-2):31-348. [16] SULIMSKI A. Pliocene Lagomorpha and Rodentia from Weze-1 (Poland) [J]. Acta Palaeotol Pol, 1964, 9(2):149-24. [17] QIU ZX, QIU ZD. Chronological sequence and subdivision of Chinese Neogene mammalian faunas [J]. –Palaeogeogr Plaeoclimatol Palaeoecol, 1995, 116:41-70. [18] TEDFORD RH. Neogene mammalian biostratigraphy in China: past, present, and future [J]. Vertebr PalAsiatica, 1995, 33(4): 272-289. [19] DONG W. The fossil records of deer in China [A]. In: OHTAISHI N, SHENG H eds. Deer of China. Amsterdam: Elsevier Science Publishers B. V., 1993, 95-102 [20] TEILHARD de CHARDIN P. New Rodents of the Pliocene and Lower Pleistocene of North China [M]. Peking: GeoBiol, 1942, 9:1-98.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

246-256

A Comparative Analysis on the Mammalian Faunas Associated with Homo erectus in China DONG Wei1, JIN Chang-zhu1, XU Qin-qi1, LIU Jin-yi1, TONG Hao-wen1, ZHENG Long-ting2 (1. Institute of Vertebrate Paleontology and Paleoanthropology, Chinese Academy of Sciences, Beijing, 100044, China; 2. Anhui Museum, Hefei, 230061, China)

Abstract Seven representative mammal faunas associated with Homo erectus from all 14 discovered in China during last 70 years are listed and compared. Based on the faunal analyses and absolute ages dated, the present study concludes that the Homo erectus from Shangnabang at Yuanmou is the oldest, that from Gongwangling the second oldest, and those from Longtandong of Hexian and Huludong of Tangshan the youngest. While those from Locality 1 of Zhoukoudian, Tuetangliangzi of Yunxian and Chenjiawo are in between and of similar ages. The absolute ages of Homo erectus at Locality 1 of Zhoukoudian and Longtandong of Hexian are questionable and need re-dating. All faunas studied are of forest-grassland surroundings and located in the eastern monsoon region of China. It reconfirms that such environment is the most suitable for hominid inhabitation and development. It also suggests that the fluvial, lacustrine, cave and fissure deposits with mammal fossils in this region are promising locations for the further research of the Pleistocene hominid fossils.

Key words:

Homo erectus; Mammalian faunas; Pleistocene; China

1

Introduction

Thanks to the discovery of many mammal fossils and two human-like teeth by Anderson and Zdansky at Locality 1 of Zhoukoudian in the early 1920's, the systematic excavations were launched at the locality since 1927 and the Cenozoic Research Laboratory was established in 1929. The systematic excavations resulted in the discovery of the first two skull-caps of the Peking Man (Homo erectus) in the same year by Pei and three others in the later years by Jia. A great number of fossils and artifacts were also unearthed during the excavations. The laboratory became an independent institution for the research on vertebrate paleontology and paleoanthropology in 1953 and named Vertebrate Paleontology Research Laboratory of Chinese Academy of Sciences. It expanded into an institute, the Institute of Vertebrate Paleontology of Chinese Academy of Sciences in 1957, and renamed to the Institute of Vertebrate Paleontology and Paleoanthropology (IVPP) of Chinese Academy of Sciences in 1959. The establishment of the institute promoted greatly the research on vertebrate paleontology and paleoanthropology in China. Hominid fossils have been discovered from time to time since then. The localities discovered which yielded Homo erectus are about 14 [1]. The discoveries of the hominid fossils nearly all resulted from the research of the Pleistocene mammalian faunas. The study of the mammalian fauna associated with hominid fossil helps to determine the age of the hominid fossil and interpret its environment, and also gives clue for the further research of hominid fossils. The present paper gives a comparative analysis on the mammalian faunas associated with Homo erectus from 7 representative localities (Fig. 1) discovered during last 70 years in China. They were introduced by the year of discovery.

2

Mammalian faunas associated with Homo erectus

2.1

Locality 1 (Peking Man Cave) of Zhoukoudian Site, Beijing The first prehistory investigation around Zhoukoudian was carried out by Anderson in 1918. He found some bird and rodent fossils at the Chicken-bone Hill which was named later Locality 6 of the Zhoukoudian Site. He reinvestigated the hill with Zdansky in 1921, and local habitants told them there were much more fossils at the Dragon-bone Hill. Indeed, they found many mammal fossils at the east slope of the hill which was later called Locality 1 of Zhoukoudian Site. Zdansky returned to the locality for test excavation in 1923 and besides a lot of mammal fossils, two human-like teeth Biography: Dr. DONG Wei, Secretary Executive of the Organizing Committee of ’99 Beijing International Symposium on Paleoanthropology and responsible for the UNESCO-CAS Peking Man Project.

DONG et al.: A Comparative Analysis on the Mammalian Faunas Associated with Homo erectus in China

247

were found. The study of the mammalian fauna from Locality 1 of Zhoukoudian Peking Man Site was completed in 1928 [2] and 35 species were identified and described. The deposits at Locality 1 were also studied and divided into 10 layers by Teilhard de Chardin and Young in 1929 [3]. Systematic studies on mammal fossils were carried out in the 1930's with the progress of systematic excavations [4- 6]. Some further excavations were carried out in 1960's and a multi-discipline study of the site was implemented from 1977 to 1981. A conclusive study of the fauna was published in 1985 [7]. The deposits at Locality 1 were divided into 17 layers and the mammalian fauna from layers 1-11 of the locality total 96 species. The fauna from Locality 1 can be further divided into two: the fossils from the lower part of the deposits (Layers 5-11) were grouped into Lower Fauna (Fauna A) and those from the upper part (Layers 1-4) Upper Fauna (Fauna B). Some archaic forms such as Megantereon inexpectatus, Felis teilhardi, Ursus cf. spelaeus etc. are absent from the upper fauna. Both faunas are of the middle stage of the Middle Pleistocene[7]. The absolute age of Layer 10 is about 500 Ka, and that of Layers 1-3 is about 230 Ka[7].

Figure 1

2.2

Geographic location of the important sites associated with Homo erectus in China

Chenjiawo, Lantian, Shaanxi The fauna, together with a complete mandible of a Homo erectus, from Chenjiawo was discovered in 1963 by a field team from IVPP for the Cenozoic Stratigraphic Investigation. The locality was excavated again in 1964 and more fossils were found. The fauna is composed of 14 species [8-9]. It shares 8 species with that from Gongwangling, including Myospalax tingi, Ochotonoides complicidens, the common members of Plio-Pleistocene fauna in Nihewan. The rest 6 species are common members of the Middle and Late Pleistocene faunas. It also lacks the southern

248

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

forms as the fauna from Gongwangling. The fauna is of Palearctic Realm. The palaeomagnetostratigraphic dating of the fauna is 0.65 Ma [10]. 2.3

Gongwangling, Lantian, Shaanxi Following the discovery of a mandible of a Homo erectus at Chenjiawo, the field work extended to Gongwangling in 1964 and a large number of mammal fossils were unearthed. A skull cap of a Homo erectus was discovered from the excavated material during the fossil preparation at IVPP. Mammalian fauna from Gongwangling was preliminarily studied in 1965 and 25 species were identified [11-12]. A follow up excavation yielded 13 other species [13]. 2 more species were collected during later excavations and prospects and a systematic study of the fauna was carried out by Hu and Qi in 1978 [9]. The fauna contains altogether 41 species and many of them were forest dwellers. It is characterized by the presence of some southern genera such as Ailuropoda, Stegodon, Megatapirus, Tapirus Nestoritherium, Elaphodus and Capricornis which were rarely discovered north of Qinling. The fauna contains also some typical Early Pleistocene forms as Cynailulus, Leptobos brevicornis, Myospalax tingi, Ochotonoides complicidens which are absent from that at Locality 1 of the Peking Man Site. It also contains a few Tertiary relic forms such as Megantereon and Nestoritherium. Its age was therefore tentatively dated as the early stage of the Middle Pleistocene and was correlated to the Cromerian or Gunz Mindel Interglacial Stage of the Alpine Terminology [9]. The absolute age of the fauna dated by paleomagnetism is about 1.10 - 1.15 Ma [10]. 2.4

Shangnabang, Yuanmou, Yunnan The fauna from Yuanmou Formation was previously studied by Pei in 1961 [14]. With the discovery of two upper incisors of a Homo erectus from the brownish clay of Yuanmou Formation at Shangnabang, Yuanmou Basin during a geological investigation in 1965, further excavations were carried out in the basin in 1967, 1972 and 1973 and many fossils were collected. Yuanmou Formation is about 700 meters thick and is divided into 4 beds and 28 layers. Layers 24-28 are grouped into Bed 4 of the Formation. The hominid teeth were found in Layer 25 of Bed 4. The mammalian fossils found from Bed 4 of the Formation were identified into 29 species [15]. The fauna was also characterized by the presence of some Tertiary relic forms such as Megantereon cf. nihowanensis, Nestorithrium sp., Metacervulus capreolinus, Paracervulus attenuatus, Procapreolus stenos etc. But the Early Pleistocene forms such as Ochotonoides complicidens, Stegodon elephanoides, Equus yunnanensis, Cervus (Rusa) yunnanensis, Bos, etc. are more numerous. The specimens of Equus yunnanensis are very numerous and distributed widely in this Bed of the Basin. The absolute age of the fauna is of three different dating results: 0.5-0.6 Ma [16], 0.9 Ma [17] and 1.7 Ma [18]. 2.5

Longtandong (Longtan Cave), Hexian, Anhui The cave was investigated in 1974, and further excavated in the following years with the discovery of some mammal fossils. A skull-cap, a fragment of mandible and 5 isolated teeth of Homo erectus (Hexian Man) were discovered in the excavations carried out in July, October and November of 1980. 40 species of mammals from the cave were identified [19]. The fauna is characterized by the presence of many northern forms such as Trogontherium cuvieri, Megantereon, Megaloceros pachyosterus, Hyaena sinensis, Ursus arctos, Dicerorhinus, etc., the presence of many southern forms such as Ailuropoda, Stegodon orientalis, Sus xiaozhu, etc. and the presence of some eastern forms such as Elaphurus davidianus, Hydropotes inermis. It is therefore a fauna in a transitional zone between the northern and southern regions. The most of the fauna members were forest and woodland dwellers, and some of them were grassland dwellers. It can be inferred that the Hexian Man lived in a relatively cool climate and in an environment with large forest and woodland, some small grassland and wet land. The age of the fauna was correlated to the upper fauna of Locality 1 at Zhoukoudian, i.e. the late stage of the Middle Pleistocene[19]. Its absolute age is from 150-190 Ka[20].

249

DONG et al.: A Comparative Analysis on the Mammalian Faunas Associated with Homo erectus in China

Table 1

the mammal fossils associated with Homo erectus from different localities in China ZKD 1

Primates Macaca robustus Rhinopithecus lantianensis Insectivora Scaptochirus primitivus Scaptochirus moschatus ? Scaptochirus sp. Neomys bohlini Neomys sinensis Crocidura sp. Erinaceus olgai Sorex sp. Blarinella quadraticauda Chodsigoa youngi Anourosorex squamipes Chiroptera Rhinolophus pleistocanicus Rhinolophus cf. pleistocanicus Miniopteris schrebersi Miniopteris cf. schrebersi La io ? Pipistrelus sp. Hipposideros sp. ? Myotis sp. Rodentia Citellus cf. mongolicus Tamias wimani Petaurista brachyodous Petaurista sp. Marmota bobak Marmota complicidens Marmota sp. ? Castor sp. Trogontherium cuvieri Cricetinus varians Cricetinus cf. griseus Cricetinus cf. obscurus Mus sylvaticus Mus musculus Micromys cf. mimutus Rattus rattus Rattus norvegicus Rattus edwardsi Gerbillus roborowskii Clethrionomys rofucanus ? Eothenomys sp. Alticola sp. Pitymys simplicidens Rhizomys sp. Arvicola terrae-rubrae

C LT

G LT

YM

+

HX

YX

TS

+ +

+

+ + + + + + + + + + +

+ + + + + + + +

+ + + + + + + + + + + + + + + +

+ + + + + + +

+

+

+ + +

+

ACTA ANTHROPOLOGICA SINICA

250

Continued from the previous page

Arvicola sp. Microtus brandtioides Microtus epiratticeps Microtus sp. ? Phaiomys sp. Myospalax wongi Myospalax sp. Myospalax tingi Myospalax epitingi Myospalax fontanieri Bahomys hyposodonta Cricetulus varians Cricetulus cf. griseus Cricetulus sp. Gerbillus sp. Apodemus agrarius Apodemus cf. sylvaticus Apodemus sp. Histrix subcristata Histrix cf. subcristata Histrix sp. Lagomorpha Ochotona koslowi Ochotona cf. thibetana Ochotona sp. A Ochotona sp. B Ochotonoides complicidens Lepus wongi Lepus cf. wongi Lepus sp. A Lepus sp. B Carnivora Vivrricula malaccensis fossilis Canis lupus Canis lupus variabilis Canis cyonoides Canis sp. Nyctereutes sinensis Cuon antiquus Cuon javanicus Cuon alpinus Arctonyx collaris Vulpes cf. vulpes Vulpes cf. corsac Vulpes sp. Canidae gen. et sp. indet. Ursus thibetanus Ursus arctos Ursus cf. spelaeus Ursus cf. etruscus Ailuropoda melanoleuca Ailuropoda sp. Meles cf. leucurus Lutra melina

ZKD 1

C LT

+ +

G LT

Supplement to Vol. 19, 2000

YM +

HX

YX

TS

+ +

+ +

+ + + +

+ +

+ + +

+ + + + + +

+

+ +

+ + +

+

+

+ +

+ + + + + +

+

+

+ + +

+ + + +

+ +

+ +

+ + +

+ +

+ +

+ +

+ + + +

+ + + +

? + +

+ +

+ +

+ +

+

+

+

+ +

251

DONG et al.: A Comparative Analysis on the Mammalian Faunas Associated with Homo erectus in China

Continued from the previous page

Lutra sp. Gulo sp. Mustela cf. sibirica Mustela sp. Pachycrocuta brevirostris Pachycrocuta licenti Crocuta crocuta ultima Megantereon inexpectatus Megantereon lantianensis Megantereon cf. nihowanensis Megantereon sp. Homotherium ultimus Homotherium sp. Panthera youngi Panthera pardus Panthera cf. pardus Panthera tigris Panthera cf. tigris Felis teilhardi Felis peii Felis chinensis Felis sp. A Felis sp. B Felis cf. microtis Cynailulus pleistocaenicus Cynailulus sp. Proboscidea Palaeoloxodon cf. namadicus Stegodon orientalis Stegodon elephantoides Stegodon sp. Elephas sp. Perissodactyla Dicerorhinus choukoutiensis Dicerorhinus lantianensis Dicerorhinus kirchbergensis Dicerorhinus sp. Coelodonta antiquitatis Rhinoceros sinensis Tapirus sinensis Megatapirus augustus Megatapirus sp. Equus sanmeniensis Equus yunnanensis Equus sp. Nestoritherium sinense Nestoritherium sp. Artiodactyla Sus lydekkeri Sus scrofa Sus xiaozhu Sus cf. xiaozhu Sus sp.

ZKD 1

C LT

+ + + +

G LT

YM

+

HX +

YX

+ +

TS

+ +

+ + + + + + + + + + + +

+

+

+

+

+ +

+ + + +

+ + + + +

+ +

+

+

+ +

+

+

+ + +

+ +

+ + + +

+

+ +

+ +

+

+ ?

+ +

+

+ +

+

+

+

+

+ +

+ + +

+

252

ACTA ANTHROPOLOGICA SINICA

Continued from the previous page

Paracamelus gigas Camelidae gen. et sp. indet. Moschus moschiferus Eostyloceros longchunanensis Muntiacus lacustris Muntiacus sp. Metacervulus capreolinus Paracervulus attenuatus Cervavitus ultimus Hydropotes inermis ? Hydropotes sp. Elaphodus cephalophus Axis shansius Axis cf. rugosus Cervus (Sika) grayi Cervus (Rusa) elegans Cervus (Rusa) yunnanesis Cervus (Rusa) stehlini Cervus (Rusa) sp. Megaloceros pachyosteus Megaloceros konwanlinensis Megaloceros sp. Elaphurus davidianus Cervus sp. Procapreolus stenos Capreolus sp. Capricornis sumatraensis Gazella sp. Spirocerus peii Spirocerus cf. wongi Ovis cf. ammon Ovis sp. Ovibovinae gen. et sp. indet. Leptobos brevicornis Leptobos sp. Bubalus teilhardi Bubalus sp. Bison sp. ? Naemorhedus sp. Bos (Bibos) sp. Bos sp. Bovinae gen. et sp. indet. Total number of species Unique species number

ZKD 1 + + +

C LT

G LT

Supplement to Vol. 19, 2000

YM

HX

YX

TS

+ + + +

+ + + + +

+ +

+ + + +

+

+

+ + + +

+

+ + +

+

+

+ +

+ +

+

+ +

+

+ +

+ + + + + +

+

+ +

+

+

+ +

+ +

+ + +

+ 96

14

41

29

40

27

23

68

3

17

19

19

8

0

Percentage of unique species

70.8

21.4

41.5

65.5

47.5

29.6

0

Percentage of extant species

42.71

42.86

31.71

27.59

65.00

40.74

65.2

Absolute age (Ma) dated

0.50

0.65

1.10

1.70

0.19

0.80

0.35

Abbreviation of localities: ZKD 1 = Locality 1 at Zhouloudian Site; C LT = Chenjiawo at Lantian; G LT = Gongwangling at Lantian; YM = Shangnabang at Yuanmou; HX = Longtandong at Hexian; YX = Xuetangliangzi at Yuanxian; TS = Huludong at Tangshan.

DONG et al.: A Comparative Analysis on the Mammalian Faunas Associated with Homo erectus in China

253

2.6

Xuetangliangzi (School Ridge), Yunxian, Hubei During the investigation for cultural relics by Yunxian Museum in 1989, a deformed skull of a Homo erectus was unearthed at Xuetangliangzi where some "Dragon bones" were found before. A systematic excavation was carried out in 1990 and another skull of a Homo erectus was unearthed. A series of excavations were carried out in the following years and some artifacts, a large number of fossils were collected. Thousands specimens of mammals were prepared and identified. They were classified into 6 orders, 13 families 20 genera and 26 species [21]. Most specimens are well preserved. Complete and nearly complete skulls, mandibles, antlers and horns are numerous. The matrix around some fossils is hard that there are still many specimens under tough preparation [22]. The mammalian fauna is characterized by the presence of many typical northern forms such as Felis peii, Eqqus sanmeniensis, Sus lydedekeri, Megaloceros, Leptobos brovicornis etc. and some typical southern forms such as Ailuropoda, Stegodon orientalis, Rhinoceros sinensis, Tapirus sinensis, Sus xiaozhu, Bubalus, etc. It is also of the transitional zone between the northern and southern regions. Its geological age is considered about the late stage of the Early Pleistocene, or about 0.9 -1.0 Ma [21]. The absolute age of the fauna dated by ESR is 581±93Ka[23]. 2.7

Huludong (Hulu Cave), Tangshan, Jiangsu Hulu Cave is located at Tangshan County, Nanjing Municipality, Jiangsu Province. It is composed of a main cave and an inner cave. Some mammal fossils were found by local cement factory workers in 1990 and 1992 in the main cave, and they were identified up to 15 species [24]. The fauna is very close to that of Locality 1 of Zhoukoudian Peking Man Site and that of Hexian Man Site, and it implied the possibility of the presence of hominid fossil. An important discovery was made on 13 March of 1993, a skull of a Homo erectus was unearthed in the inner cave. Another skull-cap of Homo erectus was found in the following month from the mammal fossils collected from the inner cave. An archaeological excavation was carried out from December 1993 to January 1994 in the inner cave, and about two thousands specimens of fossils were unearthed. Prior to this excavation, about two thousands specimens of fossils were unearthed from the main cave by local people and collected by Nanjing Museum and the Nanjing Institute of Paleontology and Geology of Chinese Academy of Sciences. The fossils from the main cave and the inner cave represent the same fauna [25]. The fauna is composed of 23 species and includes many northern forms such as Ursus arctos, Dicerorhinus kirchbergensis, Sus lydedekeri, Megaloceros pachyosteus, Cervus (Sika) grayi, etc. It is mainly of Palaearctic Realm. The age of the fauna is of the middle stage of the Middle Pleistocene [26]. The absolute age is about 0.35 Ma [27].

3

Discussion

The mammal fossils associated with Homo erectus found from above mentioned 7 localities are listed in Table 1. All mammals total 199 species. The most common species is Sus lydekkeri which appears at 6 localities over 7 studied. The second most common species is Cervus (Sika) grayi which appears at 5 localities. The species appeared at 4 localities are Ursus thibetanus, Meles cf. leucurus and Pachycrocuta brevirostris sinensis. Those appeared at 3 localities are Cricetinus varians, Microtus epiratticeps, Ochotonoides complicidens, Cuon alpinus, Ursus arctos, Panthera pardus, Panthera cf. tigris, Stegodon orientalis, Tapirus sinensis, Equus sanmeniensis, Megaloceros pachyosteus. Those appeared at two localities total 40. The rest 143 species appeared only at one locality. The species appeared only at one locality among all studied, or unique species of the study, total 68 at Locality 1 of Zhoukoudian, or 70.8% of the fauna; 3 at Chenjiawo, or 21.4% of the fauna; 17 at Gongwangling, or 41.5% of the fauna; 19 at Yuanmou, or 65.5% of the fauna; 19 at Hexian, or 47.5% of the fauna; 8 at Yunxian, or 29.6 % of the fauna and none at Tangshan. Based on this statistics, the most unique fauna is that from Zhoukoudian, followed by that from Yuanmou, and then those from Hexian, Gongwangling, Yunxian and Chenjiawo. The fauna from Tangshan is not unique. The richest fauna is that from Locality 1 at Zhoukoudian which has 96 species, over twice more than the second richest faunas from Gongwangling and Longtandong which have about

ACTA ANTHROPOLOGICA SINICA

254

Supplement to Vol. 19, 2000

40 species. It is because the time span of the deposits from Locality 1 covers about 250 Ka on one hand, and the deposits at Locality 1 of Zhoukoudian were very rich on the other. Based on the antiquity of faunal composition, the oldest fauna from the localities studied is that from Shangnabang at Yuanmou. It has many Tertiary relic forms and Early Pleistocene forms as mentioned above, and the majority of the fauna are extinct species. The second oldest fauna is that from Gongwangling. It has some Tertiary relic forms such as Megantereon, Nestoritherium and many typical Early Pleistocene forms such as Cynailulus pleistocaenicus, Equus sanmeniensis, Leptobos, etc. Those from Longtandong at Hexian and Huludong at Tangshan appear the youngest. These two faunas are quite similar to each other in composition, especially at generic level. But the latter seems younger. Because its majority are typical Pleistocene forms and without Tertiary relic forms, while that from Hexian has such relic form as Megantereon. The faunas from Locality 1 of Zhoukoudian, Chenjiawo of Lantian and Xuetangliangzi of Yunxian are in between. The fauna from Locality 1 has several typical Plio-Pleistocene forms such as Trogontherium cuvieri, Megantereon, Homotherium, Paracamelus, that from Xuetangliangzi has three typical Plio-Pleistocene forms, and that from Chenjiawo has two typical Plio-Pleistocene forms. It seems that the fauna from Locality 1 of Zhoukoudian is older than the other two, and that from Chenjiawo younger than that from Xuetangliangzi. But judged by the percentage of the extant species of the fauna, the sequence of the faunas studied from the oldest to the youngest should be from: Shangnabang at Yuanmou, Gongwangling at Lantian, Tuetangliangzi at Yunxian, Locality 1 at Zhoukoudian, Chenjiawo at Lantian, Longtandong at Hexian and Huludong at Tangshan. The absolute ages of the faunas studied are also varied. As mentioned above, the layer yielded Yuanmou Man has three different ages dated by different researchers: 0.5-0.6 Ma [16], 0.9 Ma [17] and 1.7 Ma [18]. The difference between the two extremes is greater than 1.1 Ma. Because of the antiquity of the fauna associated with Yuanmou Man, 1.7 Ma is generally considered as its acceptable absolute age by most scientists of the field. The dating of the fauna from Gongwangling is much less controversial. It was dated as 1.0 Ma in 1976 [9] and 1.10-1.15 Ma in 1990 [10]. The difference is acceptable. The difference between two absolute ages of the fauna from Xuetangliangzi, 0.9 - 1.0 Ma [21] and 0.581±0.093 Ma[23], is large. A compromised age for this fauna seems to be 0.7 Ma. The absolute age dating has not yet been controversial for the other faunas. Therefore, the oldest fauna from the localities studied is that from Shangnabang, Yuanmou (1.7 Ma), and the youngest is that from Longtandong, Hexian (0.19 Ma). The time span between the oldest and the youngest is about 1.51 Ma. The length of this span is somehow questionable for such evolving species as Homo erectus. The chronological sequences of the faunas based on different analyses vary from each other (Table 2). The positions of the faunas from Shangnabang and Gongwangling are the same in three different sequences and seem the most acceptable. The fauna from Locality 1 of Zhoukoudian has three different positions in three different sequences and its dating seems the most questionable. The other four faunas all have two different positions in the three different sequences. Table 2 Chronological sequence of the faunas judged by different analyses Sequenced by

Faunal sequence from the oldest to the youngest

Absolute age mostly accepted

YM

G LT

YX

C LT

ZKD 1

TS

HX

Antiquity of faunal composition

YM

G LT

ZKD 1

YX

C LT

HX

TS

Percentage of extant forms in the fauna

YM

G LT

YX

ZKD1

C LT

HX

TS

Abbreviation of localities: ZKD 1 = Locality 1 at Zhouloudian Site; C LT = Chenjiawo at Lantian; G LT = Gongwangling at Lantian; YM = Shangnabang at Yuanmou; HX = Longtandong at Hexian; YX = Xuetangliangzi at Yuanxian; TS = Huludong at Tangshan.

The uplift of Himalayas, Qinling and Qinghai-Tibetan Plateau accelerated since early Cenozoic. This uplift formed gradually the geological framework of modern topography of China

DONG et al.: A Comparative Analysis on the Mammalian Faunas Associated with Homo erectus in China

255

that divided the whole country into three physico-geographical regions under different climatic and other environmental conditions. The alpine Qinghai-Tibetan Plateau region is very cold, the northwest China an arid region while the eastern part of China a monsoon region very suitable for hominid inhabitation and evolution. It is therefore not surprising that all faunas associated with Homo erectus are all found in the eastern monsoon region of China. The geographical barriers between this region and other parts of the world partially isolated the early human in this region and made them to evolve in a unique way both physically and in culture. The faunas studied are also all of forest-grassland surroundings although the proportions of forest and grassland vary with different faunas and in different periods. Within the eastern monsoon region, the uplift of Yanshan and Qinling resulted in the rapid changes of temperature gradient over climatic boundaries in the region. It caused the differentiation of mammalian faunas in the region more and more evident since the very beginning of the Pleistocene. The faunas of the region fall into two biogeographic realms, namely the Palearctic Realm in the north and Oriental Realm in the south [28]. Base on the faunal composition analysis, the fauna from Shangnabang at Yuanmou is of the Oriental Realm, those from Chenjiawo at Lantian and Huludong at Tangshan the Palearctic Realm, and the rest are of the transitional zone between the Palearctic and Oriental Realms. It reveals the climatic changes during the Early and Middle Pleistocene that drifted the boundary of the Realms northward during warm periods and southward during cold periods. The deposits yielded the studied faunas are of two kinds. Those at Shangnabang are fluviallacustrine. So are those at Gongwangling, Chenjiawo and Tuetangliangzi, while those at Locality 1 at Zhoukoudian, Longtangdong and Huludong were formed in cave. The fossils from cave deposits were subjected relatively less transportation than those from fluvial ones and are better preserved than the latter. The fluvial, lacustrine, cave and fissure deposits in the eastern monsoon region of China remain as promising locations for the research of the Pleistocene hominid fossils.

4

Conclusion

Based on the faunal analyses and absolute ages dated, the Homo erectus from Shangnabang at Yuanmou is the oldest, that from Gongwangling the second oldest, and those from Longtandong of Hexian and Huludong of Tangshan the youngest. While those from Locality 1 of Zhoukoudian, Tuetangliangzi of Yunxian and Chenjiawo are in between and of similar ages. The absolute ages of Homo erectus at Locality 1 of Zhoukoudian are very questionable and need to be re-dated carefully with different methods and carefully collected samples. That of Longtandong of Hexian is also questionable. All faunas studied are of forest-grassland surroundings and located in the eastern monsoon region of China. It reconfirms that such environment is the most suitable for hominid inhabitation and development. And the fluvial, lacustrine, cave and fissure deposits with mammal fossils in this region are promising locations for the research of the Pleistocene hominid fossils. References: [1] WU XZ, HUANG WW, QI GQ. Paleolithic Sites in China [M]. Shanghai: Shanghai Scientific and Technological Education Publishing House, 1999 (in Chinese with English summary). [2] ZDANSKY O. Die Saugetiere der Quartarfauna von Choukoutien [M]. Palaeontol Sin S C 5 Fasc 4, 1928. [3] TEILHARD DE CHARDIN P, YOUNG CC. Preliminary report on the Choukoutien fossiliferous deposits [J]. Bull Geol Soc China, 1929, 8:173-202. [4] YOUNG CC. On the Artiodactyla from Locality 1 of Choukoutien [M]. Paleontol Sin, 1932, S C 8(2):1-100. [5] YOUNG CC. On the Insectivora, Chiroptera, Rodentia and Primates other than Sinathropus from Locality 1 at Choukoutien [M]. Paleontol Sin, 1934, S C 8(3):1-139. [6] PEI WC. On the Carnivora from Locality 1 of Choukoutien [M]. Paleontol Sin, 1934, S C 8(1):1-166. [7] HU CK. The history of Mammalian Fauna of Locality 1 of Zhoukoudian and its new advances [A]. In: WU R et al. eds. Multi-Disciplinary Study of the Peking Man Site at Zhoukoudian. Beijing: Science Press, 1985, 107-113 (in Chinese).

256

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

[8] CHOW MC, LI CK. Mammalian fossil in Association with the Mandible of Lantian Man at Chen-chia-ou, in Lantian, Shensi [J]. Vertebr Pal.Asiatica, 1965, 9(4):377-393. [9] HU CK, QI T. Gongwangling Pleistocene Mammalian Fauna of Lantian, Shaanxi [M]. Palaontol Sin, 1978, N Ser C (21): 1-64. [10] AN ZS, GAO WY, ZHU YZ et al. Magnetostratigraphic dates of Lantian Homo erectus [J]. Acta Anthropol Sin, 1990, 9(1):1-7. [11] CHOW MM, HU CK, LEE YC. Mammalian fossils associated with the hominid skull cap of Lantian, Shensi [J]. Sci Sin, 1965, XIV, 7. [12] CHOW MC. Mammals of "Lantian Man" Locality at Lantian, Shensi [J]. Vertebr PalAsiatica, 1965, 8(3):301-307. [13] WOO JK. The Hominid Skull of Lantian, Shensi [J]. Vertebr PalAsiatica, 1966, 10(1):1-16. [14] PEI WZ. Fossil mammals of Early Pleistocene age from Yuanmo (Ma-kai) of Yunnan [J]. Vertebr PalAsiatica, 1961, (1):16-30 (in Chinese with English summary). [15] LIN YP, PAN RR, LU QW. The Early Pleistocene mammalian fauna from Yuanmou, Yunnan [A]. Collective Work of Paleoanthropology. Beijing: Science Press, 1978, 101-125 (in Chinese). [16] LIU TS, DING ML. Discussion on the age of "Yuanmou Man" [J]. Acta Anthropol Sin, 1983, 2(1):40-48. [17] POPE GG. Evidence on the age of the Asian Hominidae [J]. Proc. Acad. Sci. USA, 1983, 80:4988-4992. [18] QIAN F. On the age of "Yuanmou Man" -- A discussion with Liu Tungsheng et al. [J]. Acta Anthropol Sin, 1985, 4(4): 324-332. [19] HUANG WP, Fang DS, Ye YX. Preliminary study on the fossil hominid skull and fauna of Hexian, Anhui [J]. Vertebr PalAsiatica, 1982, 20(3):248-256. [20] CHEN TM, YUAN SX, GAO SJ et al. Uranium series dating of fossil bones from Hexian and Chaoxian fossil human sites [J]. Acta Anthropol Sin,, 1987, 6(3):249-254. [21] LI TY, LI WS, FENG XH et al. Discovery and study of Yunxian Hominid Site [J]. Longgupo Prehistoric Culture, 1999, 1:81-103 (in Chinese with English abstract). [22] JI HX. The mammalian fauna from Yunxian Man Site [A]. International Symposium for the Celebration of Chinese academician Jia Lanpo's 90th Birthday: New Advance of Archaeology. Beijing: Science Press, 1999, 258-264 (in Chinese). [23] CHEN TM, YANG Q, HU YQ et al. ESR dating on the stratigraphy of Yunxian Homo erectus, Hubei, China [J]. Acta Anthropol Sin, 1996, 15(2):114-118. [24] MU XN, XU HK, MU DC et al. Discovery of Homo erectus remains from Tangshan, Nanjing and its significance [J]. Acta Palaeotol Sin, 1993, 32(4):393-399 (in Chinese with English summary). [25] HUANG YP. Animal fossils [A]. In: Locality of Nanjing Man Fossils. Beijing: Cultural Relics Publishing House, 1996, 83-247 (in Chinese with English abstract). [26] DONG W. The Artiodactyla from Nanjing Man Site at Tangshan, Nanjing and his Environment [J]. Acta Anthropol Sin, 1999, 18(4): 270-281 (in Chinese with English abstract). [27] CHEN TM, YANG Q, HU YQ. Report on the dating of the Locality of Nanjing Man (in Chinese) [A]. In: Locality of Nanjing Man Fossils. Beijing: Cultural Relics Publishing House, 1996, 254-258 (in Chinese with English abstract). [28] ZHOU MZ, WANG YQ. Pleistocene environmental changes, mammalian faunas and fossil man of China [A]. In: Contributions to the XIII INQUA. Beijing: Beijing Scientific and Technological Publishing House, 1991, 1-14.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

257-263

Quaternary Rhinoceros of China TONG Haowen1, Anne-Marie MOIGNE2 (1. Institute of Vertebrate Paleontology and Paleoanthropology, Chinese Academy of Sciences, P.O.Box 643, Beijing 100044, China; 2. Institut de Paléontologie Humaine, 1, Rue René Panhard-75013 Paris, France)

Abstract Quaternary is one of the most productive periods for rhino fossils in China. Rhinoceros sinensis, Coelodonta antiquitatis and Dicerorhinus mercki are the most frequently appearing species during this period. In taxonomy, too many names (Totally more than 17 currently used) at the specific and subspecific level were given to the Quaternary rhinos; furthermore, the distinctions between the two very important species, Rhinoceros sinensis and Dicerorhinus mercki, are still open to question. Geologically, all the three genera mentioned have representitives throughout Pleistocene, however Dicerorhinus concentrated in middle Pleistocene, Coelodonta and Rhinoceros were encountered mainly in late Pleistocene. Another least known genus, Elasmotherium, has been found only in Early Pleistocene. Geographically, Elasmotherium, Coelodonta and most of Dicerorhinus occurred in north China, Rhinoceros mainly in south China. The compositions of the rhino fauna in France can be correlated with those in north China.

Key words:

Rhinocerotids; Quaternary; China

1

Taxonomy of Quaternary rhinocerotids in China

1.1

Overview on the taxonomic work Totally, four generic and seventeen specific names (including four subspecific names) were currently used for the Quaternary rhinos. At the level of genus, there exists no argument, only sometimes, the distinctions between Dicerorhinus and Rhinoceros is not so easy for isolated materials; some authors determined the materials mainly according to where the material comes from, the materials from north China ususally were determined as Dicerorhinus, the materials from south China were identified as Rhinoceros, it seems a little inappropriate. As to the genera Coelodonta and Elasmotherium, they are very easy to recognize by tooth. At the rank of species, some disputes still exist inside Dicerorhinus. Normally speaking, Dicerorhinus from north China is big-sized , double-horned, with semi-hypsodont cheek teeth, but lacks incisors (At least at adult stage). Rhinoceros from south China is relatively smaller, single-horned, with brachyodont cheek teeth and developed incisors, the upper cheek teeth are simply built (crochet and crista not developed), conspicuous ribs on the ectoloph of upper cheek teeth. In Quaternary, even for all the geologic epoch, Rhinoceros sinensis, Coelodonta antiquitatis and Dicerorhinus mercki are among the most frequently appearing species, but it doesn’t mean that they are the best known species, easpecially for Rhinoceros sinensis, which has the highest frequency of occurrence, but whose skull is still not well known up to now (Maybe the recent discovery in Hubei Province will throw some new light on it); on the other hand, to a great extent, its high frequency of appearance can be attributed to the inappropriate taxonomic work, this species has almost become a ‘‘wastebasket’’, all of the Quaternary rhino fossils from south China were put into it. As about the classification and origin of Coelodonta, there exist a huge controversy, up to now, 2 species and 3 subspecies names have been created. Actually Coelodonta reached it’s golden time in Late Pleistocene, so the present authors propose that the Early and Middle Pleistocene elements can be treated independently of the typical ones of Late Pleistocene, and give a subspecific name for the early Coelodonta is enough, because of the poor materials; and the specific name C. antiquitatis is only valid for the typical woolly rhinos of Late Pleistocene.

Biography : TONG Haowen is Associate Professor of Paleontology. His special research interests are in Quaternary large mammals, focussing on perissodactyls, and Zhoukoudian Site Research, as well as Archaeozoology

ACTA ANTHROPOLOGICA SINICA

258

1.2

Supplement to Vol. 19, 2000

Taxonomy at subfamilial and generic level Subfamily Rhinocerotinae Dollo, 1885 Rhinoceros Linnaeus, 1758 Subfamily Dicerorhininae Ringström, 1924 Coelodonta Bronn, 1831 Dicerorhinus Gloger, 1841 Subfamily Elasmotheriinae Gill, 1872 Elasmotherium Fischer, 1808

1.3

Taxonomy at specific and subspecific level Rhinoceros chaii Li, 1979 (E Ple.) (unpublished) (invalid name) Rhinoceros oweni Ringström, 1927 (Senior synonym of Dicerorhinus mercki by Teilhard, 1942) [1] (nomen nudum) • Rhinoceros plicidens Koken, 1885 [2] (Synonym of Rhinoceros sinensis by Teilhard et al, 1942, Colbert et al. 1953) (nomen nudum) • Rhinoceros simplicidens Koken,1885 [2] (Synonym of Rhinoceros sinensis by Teilhard et al, 1942, Colbert et al. 1953) (nomen nudum) • Rhinoceros sinensis Owen, 1870 [3] (E-L Ple.) • Rhinoceros sivalensis Falconer & Cautley, 1868 [4] (M Ple.) • Rhinoceros sondaicus Desmarest, 1822 [5] (Hol.) • Rhinoceros unicornis Linnaeus, 1758 [6] (L Ple.) • Coelodonta antiquitatis (Blumenbach, 1799,1807) [7] (E-L Ple.) =Rhinoceros tichorhinus Cuvier, 1812 =Rhinoceros manchuricus Ishijima, 1939, Teilhard et al., 1942 [8] • Coelodonta antiquitatis chilinensis Jiang, 1977 [9] (L Ple.) • Coelodonta antiquitatis shansius Chia & Wang, 1978 [10] (E Ple.) • Coelodonta antiquitatis yenshanensis Chow, 1979 [7] (M Ple.) • Coelodonta nihowanensis Chow, 1978 [7] (E Ple.) • Dicerorhinus choukoutienensis (Wang, 1931) Teilhard et al., 1942, Chow, 1963, 1979[11-12] (No conspicuous differences from Dicerorhinus mercki by Xu, 1986) =Rhinoceros choukoutienensis Wang, 1931 [13] =Dicerorhinus mercki (Jäger, 1839) • Dicerorhinus choukoutienensis eurymylus Liu et al., 1982 [14] (M Ple.) • Dicerorhinus kirchbergensis (Jäger, 1839) [15] (nomen oblitum) =Dicerorhinus mercki (Jäger, 1839) • Dicerorhinus lantianensis Hu & Qi, 1978 [16] (E Ple.) • Dicerorhinus mercki (Jäger, 1839) (E-L Ple.) • Dicerorhinus sumatrensis (Fischer,1814) [5] (Hol.) =Didermocerus sumatrensis Fischer,1814 • Dicerorhinus yunchuchenensis Chow, 1963 [17] (E Ple.) • Elasmotherium inexpectatum Chow, 1958 [18] (E Ple.) • Elasmotherium peii Chow, 1958 [18] (E Ple.) • •

2

Geochronologic distributions of Quaternary rhinoceros

As many other groups, the Pliocene rhino genera didn’t survive into Quaternary, all the Quaternary genera, except Dicerorhinus, appeared in China at the beginning of Quaternary period; as to the relationships between Miocene and Quaternary Dicerorhinus is still not clear, there is a break of fossil record of this genus during Pliocene; on the contrary, in Europe, this genus kept on developing during this time span, whether the Chinese Quaternary Dicerorhinus is a relict of the

259

TONG et al.: Quaternary Rhinoceros of China

local Miocene Dicerorhinus or a newcomer from Europe is still open to question. Moreover, the phylogeny of the Quaternary rhinos is far from clear. Table 1

Geologic distributions of rhino species during Quaternary in China Quaternary Species

Rhinoceros sinensis

Early Pleistocene

Middle Pleistocene

Late Pleistocene

*

*

*

Rhinoceros sivalensis

Holocene

*

Rhinoceros sondaicus

*

Rhinoceros unicornis

*

Coelodonta antiquitatis

*

Coelodonta antiquitatis chilinensis Coelodonta antiquitatis shansius

* *

Coelodonta antiquitatis yenshanensis Coelodonta nihowanensis

*

* *

Dicerorhinus choukoutienensis

*

Dicerorhinus choukoutienensis eurymylus

*

Dicerorhinus lantianensis

*

Dicerorhinus mercki

*

*

*

Dicerorhinus sumatrensis

*

Dicerorhinus yunchuchunensis

*

Elasmotherium inexpectatum

*

Elasmotherium peii

*

Regarding to the origin of Coelodonta, we have enough fossil evidence to show that the earliest Coelodonta record in China is not only limited to the type locality in Nihowan, but also from four localities in Shanxi Province and one locality in Qinghai Province. As to the question if rhinos survive into Holocene, now the answer is definite, because some very good materials were found in the deposits of 7000 yr. B.P. in the Provinces of Zhejiang [5]and Henan [19]. About the report of the discovery of Holocene Coelodonta [20] is to be verified. Table 2

Generic and specific numbers through Quaternary in China

Geologic time

Number of genus

Number of species

Holocene

2

2

Late Pleistocene

3

4

Middle Pleistocene

3

7

Early Pleistocene

4

9

ACTA ANTHROPOLOGICA SINICA

260

Absolute age in million years (Ma)

Geological epoch (column not in scale)

Numbers of species

0.01

Holocene

2

0.12

Late Pleistocene

4

0.70

Middle Pleistocene

7

2.0

Early Pleistocene

9

Figure 1

3

Rhinoceros

Supplement to Vol. 19, 2000

Dicerorhinus Coelodonta Elasmotherium

Temporal ranges of Quaternary rhinocerotid genera in China

Geographic distribution of Quaternary rhinoceros

About the geographic distributions of Quaternary rhinos in China, the patterns are clear for Coelodonta and Elasmotherium, they are mainly limited in north China, but for Rhinoceros and Dicerohinus, the geographic pattern is a little artificial as mentioned above, the distinguishing of these two genera are mainly according to locality, but not exactly based on anatomical characters, the Quaternary rhino materials from south China were usually assigned to Rhinoceros, the materials from north China were referred to Dicerorhinus. The distributional areas of Dicerorhinus and Coelodonta are overlapped (see figure 3), these are some examples showing that Dicerorhinus and Coelodonta coexist even in the same locality as well as the same horizon, e.g. locality 1 and locality13 in Zhoukoudian, Locality Dingcun in Shanxi Province, Locality Xiaogushan in Liaoning Province etc. Table 3

Numbers of locality published for each rhino genus in Quaternary Numbers of locality for each rhino genus in Quaternary E. Pleistocene

M. Pleistocene

L. Pleistocene

Holocene

13

11

48

1( ?)

Dicerorhinus

8

19

9

3

Elasmotherium

6

0

0

0

15

19

38

3

Genera Coelodonta

Rhinoceros

It worth mentioning that rhino fossils are usually associated with human fossils in China, rhino fossils were encountered at most of the human sites (80%) (Tong , in press) [21]. In south China, Rhinoceros existed throughout the whole Pleistocene, but in the north, the fauna of rhinos had an overturn from Middle to Late Pleistocene; In Early and Middle Pleistocene , the north was dominated by Dicerorhinus mercki, in Late Pleistocene it’s Coelodonta which occupied the whole area (see table 3 and figure 2 ).

261

TONG et al.: Quaternary Rhinoceros of China

60

Number of locality

50 40

Coelodonta Dicerorhinus Elasmotherium Rhinoceros

30 20 10 0 E.Pleist.

M.Pleist.

L.Pleist.

Holocene

Geologic time

Figure 2

Figure 3

Locality numbers for each rhino genus through Quaternary in China

Sketch map showing geologic distributions of Quaternary rhinos in China

ACTA ANTHROPOLOGICA SINICA

262

4

Supplement to Vol. 19, 2000

Correlations of rhino faunas between China and France

China and France share most of the genera and some species of rhinos during Quaternary, such as Dicerorhinus mercki, Coelodonta antiquitatis. But the difference is also very prominent, which can be seen in the following aspects: Firstly, the Rhinoceros is only limited to Aisa. Secondly, during the Early Quaternary there is no such a counterpart rhino fauna in China as in France, neither in taxonomy nor in quantity. In France, the early Quaternary rhino fauna is very unique, almost completely composed of D. etruscus, this is a relatively smaller and brachydonty rhino, but in China there was no report on this species; on the other hand, the Early Pleistocene rhino fauna in China is not so rich as in France. Thirdly, strictly speaking, the Quaternary French rhino faunas can be correlated only with those in north China at the generic level, but not south China. In south China, only Rhinoceros has been found, but in the north the rhino fauna is composed of Dicerorhinus, Coelodonta and Elasmotherium, which is almost the same as that of in France at generic level. Fourthly, the French Quaternary rhino localities far outnumbered that of in China, in China the proximal number of officially published rhino localities is 193, but in France it’s 290 [22].

5

Conclusion

1.

Taxonomically, 4 genera of rhinos have been found in the Quaternary deposits in China, they are Rhinoceros, Dicerorhinus, Coelodonta and Elasmotherium; at the level of genus, the identification of isolated materials for Rhinoceros and Dicerorhinus is not satisified; at specific rank, many identification works should be reconsidered. 2. In material, Coelodonta was the best represented, quite a lot of complete skeletons have been found ; Dicerorhinus also was represented by many materials, but without complete skeleton ; the material of Rhinoceros is rich, but mainly teeth, the skull is rare ; Elasmotherium was known only by teeth, but very typical and easily recgonized. 3. Totally, more than 190 Quaternary localities have been found bearing rhino fossils in China, which cover almost all the period of Pleistocene. 4. Phylogenetically, all the Quaternary rhino groups are open to questions, the relationship with the local Tertiary rhinos and the relationship with other Quaternary rhino groups outside China are really not quite clear. Anyway, one thing is definite, that’s the earliest Coelodonta is from China, more attention should be paid to this genus. 5. The compositions of the rhino fauna in France can be correlated with those in north China. China and France share the most important common rhino genera of Quaternary. Acknowledgements: Part of this work was done by the primary author during the visit to Université Lyon I, France, the authors wish to express the best thanks to Dr. Cl. Guérin for his kind help. The authors also want to appreciate Prof. Wu Wenyu for her attentive review of the manuscript. This project was sponsored by the special funds for Paleontology and Paleoanthropology from the Chinese Academy of Sciences. References: [1] TEILHARD CP, LEROY P. Chinese fossil mammals. A complete bibliography, analysed, tabulated, annotated and indexed [M]. Inst Geo-Biol, 1942, (8):1-142 [2] KOKEN E. Uber fossile Säugethiere aus China [J]. Pal Abh, 1885, 3(2):31-114 [3] OWEN R. On fossil remains of mammals found in China [J]. Quart Jour Geol Soc London, 1870, 26:417-434 [4] FALCONER H. On the fossil rhinoceros of central Tibet and it’s relation to the recent upheaval of the Himalayahs [A]. In: MURCHISON C ed. Palaeontological Memoirs and Notes of the Late Hugh Falconer. Vol. 1. London: Robert Hardwicke, 1868, 173-185.

TONG et al.: Quaternary Rhinoceros of China

263

[5] WU WT. On the two rhinoceros subfossils from Hemudu Neolithic Site [J]. Vertebr PalAsiatica, 1983, 21(2):160-165 (in Chinese with English summary). [6] LI YH. A Pleistocene mammalian locality in the Likiang Basin, Yunnan [J]. Vertebr PalAsiatica, 1961, 5(2):143-149 (in Chinese with English summary). [7] CHOW BS. The distribution of the woolly rhinoceros and woolly mammoth [J]. Vertebr PalAsiatica, 1978, 16(1):47-59 (in Chinese with English abstract). [8] ISHIJIMA W. On fossil Rhinoceros from Ku-Hsiang-Tung, near Harbin [A]. Jub Public prof. H Yabe’s, 1939, 321-331 [9] JIANG P. A new subspecies of Coelodonta antiquitatis [J]. Vertebr PalAsiatica, 1977, 15(3):207-210 (in Chinese). [10] CHIA LP, WANG C. Hsihoutu - A Culture Site of Early Pleistocene in Shansi Province [M]. Beijing: Cultural Relics Publishing House, 1978, 28-35 (in Chinese with English summary). [11] CHOW BS. On the skull of Dicerorhinus choukoutienensis Wang from Choukoutien Locality 20 [J]. Vertebr PalAsiatica, 1963, 7(1):62-70 (in Chinese with English summary). [12] CHOW BS. The fossil rhinocerotides of locality 1, Choukoutien [J]. Vertebr PalAsiatica, 1979, 17(3):236-258 (in Chinese with English summary). [13] WANG KM. Die Fossilen Rhinocerotiden von Choukoutien [J]. Contri Nation Research Inst Geol (Nanking), 1931, 1(3):69-84. [14] LIU JL et al. New species of Middle Pleistocene mammals from Chaoxian, Anhui [J]. Mem Beijing Nat Hist Mus, 1982, 19:8-13 (in Chinese with English summary). [15] XU XF. Dicerorhinus kirchbergensis (Jäger, 1839) from the late Middle Pleistocene mammalian fauna of Anping, Liaoning [J]. Vertebrata PalAsiatica, 1986, 24(3):229-241 (in Chinese with English summary). [16] HU CK, QI T. Gongwangling Pleistocene Mammalian Fauna of Lantian, Shaanxi [M]. Palaeont Sin, N S C, 1978, (21): 36-39 (in Chinese with English summary). [17] CHOW BS. A new species of Dicerorhinus from Yushe, Shansi, China [J]. Vertebr PalAsiatica, 1963, 7(4):325-329 (in Chinese with English summary) [18] CHOW MC. New elasmotherine rhinoceroses from Shansi [J]. Vertebr PalAsiatica, 1958, 2(2-3):131-142 (in Chinese with English summary). [19] CHIA LP, CHANG C. The remains of animals found on the site of Hsia-wang-kang at Hsich’uan County, Honan Province [J]. Cultural Relics, 1977, (6):41-49 (in Chinese ). [20] CHIA LP, WEI Q. Some animal fossils from the Holocene in N. China [J]. Vertebr PalAsiatica, 1980, 18(4):327-333 (in Chinese with English summary). [21] TONG HW. Les faunes à Rhinocéros de sites humains de Chine [A]. 2000 (in press). [22] GUÉRIN C. Les Périssodactyles: Rhinocérotidés [A]. In: DE LUMLEY H ed. La préhistoire Française. Édition du Centre National de la Recherche Scientifique, Tome I, 1976, 405-408.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

264-269

Immigration of Mammals into Japan during the Quaternary, with Comments on Land or Ice Bridge Formation Enabled Human Immigration Yoshinari KAWAMURA1, Hiroyuki TARUNO2 (1. Department of Earth Sciences, Aichi University of Education, Kariya, Aichi Pref. 448-8542, Japan; 2. Osaka Museum of Natural History, Osaka 546-0034, Japan)

Abstract Stratigraphic ranges of several proboscidean forms are precisely determined in the Quaternary of the Honshu-Shikoku-Kyushu complex, the main part of Japan. On the basis of the first appearance of each proboscidean form, we infer that land bridges were formed three times between the complex and adjacent continent during the Pleistocene. The stages of the land bridges are assigned to around 1.2, 0.65 and 0.4 Ma. Additionally, the appearance of limited artiodactyls of the mammoth fauna in the complex is considered to be indicative of ice bridge formation around 0.03 – 0.02 Ma between the complex and Hokkaido which was connected to the continent at that time. Among the land and ice bridge stages, it is likely that humans immigrated into the complex around 0.65, 0.4 and 0.03 – 0.02 Ma.

Key words:

Quaternary; Honshu-Shikoku-Kyushu; Proboscideans; Humans; Immigration; Land bridge

1

Introduction

The Japanese Islands are divided into such three zoogeographic regions as Hokkaido, the Honshu-Shikoku-Kyushu complex and the Ryukyu Islands at the present day (Fig. 1). Furthermore, the faunal differences among these regions are probably present at least in the later part of the Quaternary. Among the regions, Hokkaido and the Ryukyu Islands yield mammalian fossils extremely limited in chronological distribution and/or in specific diversity, and thus our knowledge on mammalian faunal succession during the Quaternary is quite fragmented there. On the other hand, the Honshu-Shikoku-Kyushu complex, the main part of Japan, yields more abundant and diversified mammals of the middle Middle Pleistocene to Holocene ages. Of the mammals, proboscideans and deer are traceable to earlier periods of the Quaternary, although the others are almost absent in the fossil records of the periods. In this paper, we consider the mammalian immigration into the complex during the Quaternary on the basis of the first appearance of some proboscideans in the Pleistocene sediments there. Moreover we infer that the immigration was enabled by land or ice bridge formation between the complex and adjacent continent, and humans possibly immigrated into the complex at the land and/or ice bridge stages during the Middle and Late Pleistocene.

2

Chronostratigraphic Distribution of Proboscideans

In the Honshu-Shikoku-Kyushu complex, fluvio-lacustrine and marine sequences covering all the periods of the Quaternary are accurately correlated with each other and well dated by tephrostratigraphic and magnetostratigraphic methods as well as other chronological methods. Stratigraphic ranges of several proboscideans are precisely determined in the sequences, and their lifetimes in the region are also known, because their fossils are successively obtained from the sequences [1-3]. Foundation item: This study is partly supported by Grants-in-Aid for scientific research from the Ministry of Education, Sports and Culture, Japan (project numbers: 09208101 and 10440253). Biography: Dr. Y. Kawamura, Professor of paleontology and stratigraphy, Aichi University of Education. Born in November, 1952.

KAWAMURA et al.: Immigration of Mammals into Japan during the Quaternary, with Comments on Land or Ice Bridge Formation Enabled Human Immigration

Figure 1

265

Zoogeographic regions in the Japanese Islands, and representative areas yielding Quaternary proboscidean fossils in central Honshu

In the Niigata area (Fig. 1), Stegodon aurorae, a small specialized endemic stegodontid species occurs from the lowest part of the Uonuma Group (horizon of 2.0 Ma), while an archaic mammoth (nominally “M. shigensis”, “M. protomammonteus” and so on) occurs from its upper part (horizon between 1.2 and 0.9 Ma). Naumann’s elephant, Palaeoloxodon naumanni is obtained from the early Late Pleistocene terrace deposits (ca. 0.1 Ma). In the Nagano area, P. naumanni occurs from the horizons ranging from 0.05-0.02 Ma of the Nojiri-ko Formation and terrace deposits. In the Kanto area, S. aurorae and the archaic mammoth are found in the middle and upper parts of the Kazusa Group respectively (with the absolute age of 1.6 – 1.4 and 0.9 – 0.65 Ma respectively). S. orientalis is obtained from its uppermost part (horizon of 0.6 Ma), while P. naumanni occurs from the overlying Shimosa Group (horizon between 0.35 and 0.1 Ma).

Proboscidean ranges in the Quaternary sequences of the Honshu-Shikoku-Kyushu, and inferred land or ice bridges enabled the immigration of the proboscideans and other mammals. The oxygen isotope curve is cited from Shakleton (1995). As regards the correlation with the curve, we follow Konishi and Yoshikawa (1999)

ACTA ANTHROPOLOGICA SINICA

Figure 2

266 Supplement to Vol. 19, 2000

KAWAMURA et al.: Immigration of Mammals into Japan during the Quaternary, with Comments on Land or Ice Bridge Formation Enabled Human Immigration

267

In the area around Ise Bay, S. aurorae is exclusively obtained from the upper part of the Tokai Group (horizons of 1.9 – 1.4 Ma). This species is also obtained from the middle and upper parts of the Kobiwako Group (horizons of 1.9 and 0.7 Ma respectively) distributed in the area around Lake Biwa (Fig. 1). The archaic mammoth and S. orientalis occur from the upper part of the same group (horizons of 0.65 and 0.6 Ma respectively). In the Osaka area, these proboscidean forms successively occur from the Osaka Group and the overlying terrace deposits; S. aurorae from the horizons between 1.9 and 1.2 Ma, the archaic mammoth from those between 1.2 and 0.7 Ma, S. orientalis from those between 0.65 and 0.6 Ma, and P. naumanni from those between 0.35 and 0.1 Ma. Thus these proboscidean forms have the following chronostratigraphic ranges in the Honshu-Shikoku-Kyushu complex: 2.0 to 0.7 Ma of S. aurorae, 1.2 to 0.65 Ma of the archaic mammoth, 0.65 to 0.6 Ma of S. orientalis, and 0.35 to 0.02Ma of P. naumanni (Fig. 2).

3

Affinity of the Proboscideans

Systematic studies of the four proboscidean forms have revealed whether each of them immigrated from the adjacent continent or arose in the Honshu-Shikoku-Kyushu complex. Among the forms, S. aurorae probably arose in the complex from S. shinshuensis, an early Pliocene large stegodontid closely related to the Chinese species, S. zdanskyi [4]. This species is, therefore, considered to be indigenous. The archaic mammoth can be allocated to the advanced type of Mammuthus meridionalis, in case we follow Lister [5] who considered its chronological range as ca. 1.2-0.6 Ma. M. meridionalis first appeared in Europe during the middle Pliocene, and then spread eastward to Siberia, North China, and even to North America, during the late Pliocene and Early Pleistocene [6-7]. Thus the archaic mammoth of Japan possibly immigrated from the northern part of the continent. S. orientalis is a dominant element in the Middle and Late Pleistocene mammalian faunas of South China, and thus is an immigrant from South China. P. naumanni is conspecific or closely related to the forms of Palaeoloxodon recorded from the Middle and Late Pleistocene of North China, and no ancestral forms are known from the earlier periods in the Honshu-Shikoku-Kyushu complex, although the Japanese P. naumanni is decidedly smaller than the allied forms of North China. Thus P. naumanni probably immigrated from North China.

4

Timing and Route of Mammalian Immigration

The first appearances of the proboscidean forms conspecific or closely related to the continental species in the stratigraphic sequences are considered to be indicative of their immigration from the continent through land bridges [8-9]. And the first appearance of the archaic mammoth, S. orientalis and P. naumanni are assigned to 1.2, 0.65 and 0.4 Ma respectively. The mammoth possibly migrated from eastern Siberia into the Honshu-Shikoku-Kyushu complex via Sakhalin and Hokkaido (northern route) or from North China into the complex (northwestern route) around 1.2 Ma. Subsequently, S. orientalis probably immigrated from South China around 0.65 Ma (southwestern route), and then P. naumanni probably invaded from North China around 0.4 Ma (northwestern route).

5

Ice Bridge Route

Apart from the immigration routes mentioned above, an ice bridge route around 0.03 – 0.02 Ma was proposed by Kawamura [10-11]. This route was inferred from the appearance of limited elements of the mammoth fauna in the Honshu-Shikoku-Kyushu complex in the late Late Pleistocene. The elements are represented by three species of artiodactyls such as Alces alces,

268

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

Bison priscus and Bos primigenius, but most members of the fauna including the woolly mammoth and woolly rhinoceros are absent from late Late Pleistocene fossil localities in the complex. The artiodactyls are considered to have shifted from eastern Siberia into Hokkaido with other members of the mammoth fauna, but they were the only members which could cross the Tsugaru Strait between Hokkaido and the complex (Blakiston’s Line; Fig. 1). It is probable that the strait was ice-bound at the coldest stage of the late Late Pleistocene (around 0.03 – 0.02 Ma), and this ice bridge acted as a filter when mammals shifted southward.

6

Human Immigration

Recent discoveries of paleolithic tools in northeastern Honshu have antedated the first human occupation in the Honshu-Shikoku-Kyushu complex to the early Middle Pleistocene possibly around 0.6 Ma [12-13]. Among the three land bridge stages, human immigration of the first stage is unlikely, because humans of Homo erectus type were probably absent in eastern Siberia around 1.2Ma, and because its fossil records and artifacts dated around 1.2 Ma or much earlier are mostly controversial in North China. At the second and third stages, it is possible that humans of Homo erectus type immigrated into the Honshu-Shikoku-Kyushu complex in association with S. orientalis and P. naumanni through the southwestern and northwestern routes, because the humans were already distributed in North and South China as indicated by Homo erectus remains from many sites (Lantian, Zhoukoudian, Hexian etc.). The occurrence of paleolithic tools dated around 0.6 Ma in northeastern Honshu can be explained by the human immigration around 0.65 Ma.

7

Conclusion

The land bridge connections between the Honshu-Shikoku-Kyushu complex and the adjacent continent are inferred at 1.2, 0.65 and 0.4 Ma on the basis of the first appearance of the proboscidean forms in the Pleistocene sequences of central Honshu. Additionally, the ice bridge connection between the complex and Hokkaido around 0.03 – 0.02 Ma is suggested by the appearance of the limited element of the mammoth fauna in the late Late Pleistocene of Honshu. Of these, it is possible that the connections of 0.65, 0.4 and 0.03 – 0.02 Ma enabled human immigration into the Honshu-Shikoku-Kyushu complex. Acknowledgments: We are indebted to Dr. S. Yoshikawa of Osaka City University and Dr. S. Matsu’ura of Ochanomizu University for helpful discussions and providing us invaluable information. We also thank Prof. I. Koizumi of Hokkaido University and Prof. Y. Dodo of Tohoku University, project leaders of the grants, for support and encouragement. References [1] KAMEI T. Fossil mammals, Lake Biwa and fossil mammals, faunal changes since the Pliocene time [A]. In: HORIE S ed. Lake Biwa. Dordrecht: Dr W Junk, 1984, 475-795. [2] TARUNO H, KAMEI T. Mammalian fossils of the Pliocene and Pleistocene in the Kinki District [A]. In: ITIHARA M ed. The Osaka Group. Osaka: Sogensha, 1993, 216-231. [3] TARUNO H. The stratigraphic positions of proboscidean fossils from the Pliocene and lower to middle Pleistocene formations of Japanese Islands [J]. Earth Sci (Chikyu Kagaku), 1999, 53 (4): 258-264. [4] SAEGUSA H. A speculation on the migration and evolution of Japanese stegodonts [J]. Collecting and Breeding, 1990, 52 (1): 14-18. [5] LISTER A. Evolution and taxonomy of Eurasian mammoths [A]. In: SHOSHANI J, TASSY P eds. The Proboscida: Evolution and Palaeoecology of Elephants and Their Relatives. Oxford University Press, 1996, 203-213. [6] KAHLKE RD. Die Entstehungs-, Entwicklungs- und Verbreitungsgeschichte des oberpleistozänen MammuthusCoelodonta-Faunenkomplexes in Eurasian (Großsäuger) [M]. Abhandlungen der Senekenbergischen Naturforschenden Gesellschaft. 1994, 546: 1-164.

KAWAMURA et al.: Immigration of Mammals into Japan during the Quaternary, with Comments on Land or Ice Bridge Formation Enabled Human Immigration

269

[7] LISTER A, BAHN P. Mammoths [M]. New York: Macmillan, 1994. [8] KAWAMURA Y. Immigration of mammals into the Japanese Islands during the Quaternary [J]. Quat Res, 1998, 37(3): 251-257. [9] DOBSON M, KAWAMURA Y. Origin of the Japanese land mammal fauna: Allocation of extant species to historically-based categories [J]. Quat Res, 1998, 37(5):385-395. [10] KAWAMURA Y. Succession of the mammalian fauna in Japan since the Last Glacial Period [J]. The Earth Monthly (Gekkan Chikyu), 1985, 7(6): 349-353. [11] KAWAMURA Y. Quaternary Rodent Faunas in the Japanese Islands (Part 2) [M]. Mem Fac Sci, Kyoto University, Ser Geol Mineral, 1989, 54 (1, 2): 1-235. [12] KAJIWARA H. The oldest humanbeings and its culture on the Japanese Archipelago: A view from archaeology [J], Kagaku, 1997, 67 (5): 358-369. [13] SODA T. Tephrochronological study on the Early and Middle Paleolithic in Japan [A]. In: From Sozudai to Kamitakamori: World Views on the Early and Middle Paleolithic in Japan. Sendai: Tohoku Fukushi University, 1999, 53-61. [14] KONISHI S. YOSHIKAWA S. Immigration times of the two proboscidean species, Stegodon orientalis and Palaeoloxodon naumanni, into the Japanese Islands and the formation of land bridge [J]. Earth Science (Chikyu Kagaku), 1999, 53(2): 125-134. [15] SHACKLETON NJ. New data on the evolution of Pliocene climatic variability [A]. In: VRBA ES, DENTON GH, PARTRIDGE TC et al. eds. Paleoclimate and Evolution with Emphasis on Human Origins. New Haven: Yale University Press, 1995, 242-248.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

270-278

Revised Paleomagnetic Age of the Nihewan Group at Xujiayao Palaeolithic Site Reidar L ØVLIE1, SU Pu2, FAN Xingzhao2, ZHAO Zengjian1 , LIU Chun3 (1.Institute of Solid Earth Physics, University of Bergen, Norway, 2. Paleomagnetism Research Group, Taiyuan University of Technology, Shanxi, China, 3. Paleomagnetism Laboratory, Institute of Geology, Chinese Academy of Sciences, Beijing, China.)

Abstract The Late Pleistocene age of the Nihewan Group lacustrine sediments are based on Palaeolithic evidence and mammal fossils. The discovery of Blake geomagnetic excursion (0.117 kyr B.P.) in the lower part of a Nihewan Group section by the village of Xujiayao suggested a considerably younger age [1]. We report on a high-resolution palaeomagnetic investigation of two stratigraphic sections at Xujiayao based on detailed thermal demagnetisation experiments. The upper ca 15m has a normal-polarity magnetisation overlying a reversed-polarity zone which is too extensive to represent a geomagnetic excursion, and is thus proposed to represent the Matuyama Chron. The Nihewan Group at Xujiayao Palaeolithic Site must hence be older than Late Pleistocene in general accord with palaeomagnetic results from other Nihewan Group sections. The revised age of the Nihewan Group at Xujiayao does not call for revision of the age of the Palaeolithic Site, which is probably not directly related to the age of the sediments.

Key words:

Polarity; Stratigraphy; Xujiayao Site; Nihewan Group; Dating

1

Introduction

The Nihewan Group sediments, named from the type locality at the village of Nihewan, Yangyuan County, Hebei Province [2-3], contain several important palaeolithic sites. Numerous fossil finds has been correlated with Villafranchian Early Pleistocene mammal fossils in Europe suggesting an Early Pleistocene age of the Nihewan Group [4-7]. A palaeolithic site was discovered in 1976 some 5-9m above the valley floor in lacustrine sediments at the western bank of the Liyigou River, 1 km Southeast of Xujiayao village, Yanggao County, East in the Datong basin (40°06'N, 113°59'E) [8]. Excavations unearthed fossils of pre-modern Homo Sapiens, numerous mammal bones and stone-tool artefacts. The hominid and mammal fossils have U-Th ages around 0.1 Myr [9-10]. Subsequent paleomagnetic investigations of a ca.17m sedimentary section close to the site uncovered a ca 1m thick reversed polarity zone [1]. Estimates of sedimentation rates considering on stratigraphic and lateral distances to the U-Th dated nearby Palaeolithic Site, suggested that the reversed-polarity zone represent the Blake geomagnetic excursion (117 ka B.P.). However, the lower boundary of the reversed zone was defined by one sample only. Thus, in order to assess the reality of the reversed zone, two stratigraphically parallel sections to the east and west across the valley have been re-sampled. We present a revised polarity stratigraphy of the Nihewan Group lacustrine sediments at Xujiayao based on detailed thermal demagnetisation experiments.

2

Geology and sampling

The sediments consist of a few soil layers inter-bedded in grey-green to yellow-grey-green beds of silt to silty clays with thickness varying from less than 1cm to several meters (Fig. 1).

Foundation item: Investigation funded by grants from National Science Foundation of China (49474218) and the Norwegian Research Foundation (116448/410). Biography: Reidar Løvlie has a personal professorship in paleomagnetism at the University of Bergen with main research interests in magnetisation processes in sediments and igneous rocks. He has participated on numerous scientific expeditions on sea and to four continents.

Figure 1

Simplified lithostratigraphic coloumns of the west and east sections at Xujiayao village together with stratigraphic variations of NRM inclination and intensity and magnetic susceptibility. Two proposed stratigraphic correlation lines based on susceptibility patterns and lithological boundaries are shown. Stratigraphic location of the Palaeolithic Site indicated

L ØVLIE et al.: Revised Paleomagnetic Age of the Nihewan Group at Xujiayao Palaeolithic Site

271

272

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

Geographically oriented samples were collected along two stratigraphic sections along the western and eastern escarpments. Samples were retrieved down to the water table level, achieved by digging 6-9m deep shafts through the valley floor. A total of 1050 samples were retrieved at ca 2.2 cm intervals by trimming cubic pedestals of sediment (ca 6 cm3) which was conveyed to cubic plastic boxes sealed with tight lids.

3

Magnetic measurements

The direction and intensity of the natural remanent magnetisation (NRM) on all samples were determined in the paleomagnetic Laboratory at the University of Bergen (Norway) with a cryogenic magnetometer (CCL400) situated in a low-field room. 224 samples were selected for stepwise thermal demagnetisation in 30° to 50°C intervals to maximum 700°C using a MMT 60MD demagnetiser. Bulk magnetic susceptibility was measured on all samples with a KLY-2 induction bridge. Susceptibility was also determined between thermal demagnetisation steps to monitor thermally induced magnetomineralogical changes. Silty sediments could not be removed from the plastic boxes without disintegrating, and silty samples were hence demagnetised by alternating field (af) to a maximum 250mT using a 2G demagnetiser. Directional analysis was performed with the interactive S-IAPD program [11] based on the line-find algorithm. Mineral magnetic properties were assessed by thermomagnetic and remanent coercivity analysis.

4

Stratigraphic correlation

The sections are laterally separated by only ca 500m across a valley. Nevertheless, variations in lithology do not suggest any simple stratigraphic correlation (Fig. 1). NRM intensities (0.3 - 80 mAm-1) exhibit a number of non-correlatable cycles, as does susceptibility (0.1- 2⋅ 10-3 SI). Abrupt changes in susceptibility are frequently associated with lithological boundaries. Pronounced changes in susceptibility pattern associated with lithological boundaries occur at two levels representing stratigraphic correlation lines (indicated in Fig. 1). The proposed correlation indicates that the eastern section may be more complete than the western section.

5

Paleomagnetic directions

The majority of the investigated samples carries a complex magnetisation composed of two to three components confined by partly overlapping temperature intervals. A normal polarity lowtemperature component with blocking temperatures (TB) below ca 350° is attributed to either viscous (VRM) or chemical remanent magnetisation (CRM) acquired in the present geomagnetic field. An intermediate component with unblocking-temperatures between 300° to 580°C is evidently carried by magnetite and may represent a depositional related magnetisation. The high-temperature component (TB > 500°C) is carried by hematite 25% of the samples carried scattered directions from which no linear segments could be determined. However, scattered directions in 17% of the samples are consistently distributed either up-pointing southerly (reversed polarity) or down-pointing northerly (normal polarity), and these samples have been included in constructing the polarity stratigraphy. Components with blocking-temperatures above 500°C have been adopted as the characteristic remanent magnetisation (ChRM). Normal polarity distributions are consistently steeper than the reversed polarity directions, and both polarities have mean directions significantly shallower than the axial geocentric field inclination (59°) for the site latitude (40°N), Table 1.

6

Origin of magnetisation

ChRM directions are retained in magnetite/hematite and define distributions of both polarities. The absence of significant deviations between the magnetite and hematite components indicates that

L ØVLIE et al.: Revised Paleomagnetic Age of the Nihewan Group at Xujiayao Palaeolithic Site

273

hematite must either have formed shortly after deposition, or is of detrital origin as suggested by microscopic observation [1]. Hematite was most likely derived from aeolian dust transported from west or north during winter seasons. These winds also supply material for the loess beds further south in which hematite has been identified as a significant constituent [12]. A detrital origin of hematite/magnetite may account for the observed anomalous shallow inclinations. The detrital remanent magnetisation (DRM) is likely to be affected by an inclination error [13-15]. An empirical relationship between inclination of DRM (IDRM) and the ambient field (IH) is expressed by: tan(IDRM)=f ⋅ tan(IH) [13]. Applying correction factors (f) ranging from 0.35 to 0.65 results in inclinations of 59° as expected for the Xujiayao Site in an axial geocentric dipole field. Some of the applied correction factors are larger than suggested by experimental evidence [14] and this discrepancy may be accounted for by the compaction error [16]. If the shallow inclinations are due to inclination and compaction errors, it follows that the magnetisation in the Xujiayao sediments was acquired at the time of deposition. Reversed-polarity distributions from both sections are shallower and more scattered than the normal polarity distributions (Fig. 2), (Table 1). This is attributed to unsuccessful removal of normal polarity overprints at demagnetisation temperatures above the breakdown of maghemite carrying the overprint. One possible mechanism for this normal polarity ‘contamination’ may be that the lowtemperature overprint is transferred to the hematite phase created by the thermal breakdown of maghemite. This process has been experimentally verified in laboratory experiments on basaltic rocks [19].

Figure 2

Stereographic distributions from the east and west sections at Xujiayao of NRM (all 1050 samples) and ChRM directions derived from thermal demagnetisation (N=194). Legend: open/closed symbols: upper/lower hemisphere

7

Polarity stratigraphy

Polarity stratigraphies of the east and west sections are based on both ChRM inclinations and samples exhibiting scattered but consistent northerly and southerly distributions. Both sections have

ACTA ANTHROPOLOGICA SINICA

274

Supplement to Vol. 19, 2000

normal polarity at the top and reversed intervals at the base (Fig. 3). The polarity boundary in the west section occurs between two samples separated by only 4cm. The samples are located within an apparent uniform lithological unit implying that a record of the transitional field should be retained. A polarity transition of the geomagnetic field lasts some 5000 years (20) implying unrealistically high sedimentation rates. However, variations in susceptibility within this unit (Fig. 1) suggest that the visually uniform unit consist of different smaller-scale lithological units, thus the polarity boundary may well straddle across a small hiatus. Table 1

Fisher statistics (26) of ChRM mean directions

Polarity

No.

Declination

Inclination

kappa

α95

R

East

N

31

26.4

43.1

3.4

17.8

21.2

East

R

79

175.1

-30.4

11.0

5.0

71.9

West

N

161

4.0

42.5

13.7

3.1

149.3

West

R

59

172.3

-33.1

6.0

8.2

49.4

Section

N/R: Normal/Reversed polarity; No: Number of samples; kappa: Precision parameter; α95: Radius 95% confidence angle; R: Length mean direction

The polarity boundary at 2.9m depths in the east section coincides with a lithological boundary. The succeeding reversed zone extends to 4.6m where a normal polarity interval, confined to a single layer of almost pure silt, is encountered (Fig. 3). This unit represents the coarsest sediments investigated, and samples were only af demagnetised. A corresponding silt unit is not present in the west section reflecting the degree of stratigraphic incompleteness. The reality of this normal polarity zone is ambiguous, and it is proposed that this unit was remagnetised by post-depositional realignment of maghemite/magnetite grains when the lake dried out [21]. Alternatively, the lithologically confined normal polarity interval may represent a polarity sub-chron. Below this short normal polarity zone, a reversed polarity zone extends down to the bottom of the sampled section at 14.7m. The polarity pattern of the east section is comparable to polarity patterns encountered in four stratigraphic sections at Donggou in the Nihewan region, some 50km to the NE of Xujiayao [22]. The ca. 3.5m discrepancy in stratigraphic height between the uppermost normal/reversed polarity boundaries along the east and west sections may be accounted for by normal faulting elevating the east escarpment relative to the west [23], as indicated in Fig. 4.

8

Chronology of the Nihewan Group at Xujiayao

The extensive reversed polarity sections are not compatible with records of geomagnetic excursions which would require sedimentation rates of the order of 1-2 mm/year. The reversed zones are hence interpreted to represent the Matuyama Chron. Additional evidence for this timing of sediment accumulation at Xujiayao is sparse. The Xujiayao lacustrine sediments have been proposed to belong to a lake system extending to Yujiazhai some 15 km to SW [24]. Here a subarial lava flow has baked the top of lacustrine sediments, implying lava flow emplacement either during a period of low water level or after the lake dried up. The lava flow has a K-Ar age of 0.41 Myr [25] which represents an upper age estimate of the sediments, in accord with the normal polarity magnetisation residing in the upper, none-baked part of these sediments [25]. The lake may thus have dried up in Early/Middle Brunhes Chron. Adopting the assumption of a synchronous history of the lake system in the Xujiayao and Yujiazhai areas [24], it is reasonable to assign the reversed polarity zone in Xujiayao to the Matuyama reversed Chron.

275

L ØVLIE et al.: Revised Paleomagnetic Age of the Nihewan Group at Xujiayao Palaeolithic Site

West Inclination -90 Top

0

Legend 90 0 2 4 6 8 10

9

Thermal demagnetisation Af demagnetisation

8

Liu et al. 1992 Inferred polarity Unreliable polarity

7

AGF Axial geocentric field

6

Brunhes

Paleolithic site

5 4

Faulting

Vertical distance (m)

3

East

2

Inclination -90

1

0

90

Reference horizon

0

0

1

1

2

2

3

3

4

4

5

?

5

6

6

7

7

Matuyama

8 9 10 11 12

Valley floor

8 9 10 11 12 13

AGF

14 15

Figure 3

Stratigraphic variations of ChRM inclinations for the east and west section with inferred polarities (black/white boxes: normal/reversed polarity). Data from Liu et al. [1] is shown as open squares (west section). The short normal polarity interval in the east section may not represent a reliable record of the geomagnetic polarity at the time of deposition. Position of the Paleolithic Site

ACTA ANTHROPOLOGICA SINICA

276

Figure 4

Supplement to Vol. 19, 2000

Scenario depicting the evolution of Liyigou river Valley with the proposed fluvial deposits in which the Palaeolithic Site was situated

9

Age of Xujiayao Palaeolithic Site

The Palaeolithic Site is located ca. 4 m below the reference horizon at the west bank (Figs. 1, 3). The age of fossil bones (ca 0.1 Myr) is not in accord with the inferred Early Brunhes age for the end of deposition of the lake sediments. This age-discrepancy may be accounted for by assuming rejuvenation of sediment accumulation after emplacement of the sub-aerial lava-flow at Yujiazhai, or that the Xujiayao region does not belong to the same lake system. However, we propose a more likely explanation implying that the Paleolithic bones and tool artefacts were incorporated within fluvial sediments presently locally overlying the lacustrine sediments at the Palaeolithic Site. This suggestion implies that when the Palaeolithic Site was inhabited, it was located at the shore of the ancient Liyigou River located some 5-9m above the present valley floor. According to this scenario, the bones were probably never incorporated into the lake sediments, but rather within fluvial sediments located just above a major unconformity to the underlying lacustrine sediments. The bones have consequently either been transported from some

L ØVLIE et al.: Revised Paleomagnetic Age of the Nihewan Group at Xujiayao Palaeolithic Site

277

other localities, in which case the bones and artefacts must be younger, or the hominids occupied the shores of a river higher than today. The Palaeolithic Site was recognised by the discovery of stone artefacts and mammal bones. We believe that these stone artefacts were found in situ, but since the age of these tools is inferred from the U-Th dated bones, the Palaeolithic Site may consequently be significantly younger. The development scenario illustrated in Fig. 4.

10

Conclusions

Parallel stratigraphic sections at Xujiayao carry complex magnetisations characterised by normal-polarity overprints removed by thermal demagnetisation. ChRM directions, carried by hightemperature components retained in detrital magnetite and hematite, define an extensive reversed polarity interval (Matuyama) at the bottom of each section, succeeded by normal polarity (Brunhes) intervals at the top. The absence of transitional field directions across the Brunhes/Matuyama boundary suggests discontinuous deposition. The previously reported Blake excursion is not present. The Xujiayao Palaeolithic Site is proposed to be located above a major unconformity to the underlying lacustrine sediments, and the inferred Early Brunhes age of the lacustrine sediments does consequently not relate to the age of the Xujiayao Palaeolithic Site. Acknowledgement: Fieldwork and initial investigations in China were funded by grants from the National Science Foundation of China. The Norwegian Research Foundation is greatly acknowledged for funding the three months visit to the palaeomagnetic laboratory at the University of Bergen for Professor Su Pu. Mr. Zhao Zengjian was financed by the Norwegian MSc-program. References: [1] LIU C, SU P, JIN Z. Discovery of Blake Episode in the Xujiayao Paleolithic site, Shanxi, China [J]. Sci Geol Sin, 1992, 1:87-95. [2] BARBOUR GB. Preliminary observation in Kalgan area [J]. Bull Geol Soc China, 1924, 3:153-167. [3] BARBOUR GB, DE CHARDIN T. Geological study of the deposits of the Sankanho Basin [J]. Bull Geol Soc China, 1927, 5:263-281. [4] LIU T, ZHANG Z. Chinese loess [J]. Geol Bull, 1962, 42(1):1-14. [5] LIU X, XIA Z. A suggestion on the division and correlation of the Nihewan Formation [J]. Ocean Geol Quat Geol, 1983, 3(1):75-85. [6] HUANG W, TANG Y. Observation on the later Cenozoic of Nihewan Basin [J]. Vertebr PalAsiatica, 1974, 12 (2):99-110. [7] WU Z, SUN J, YUAN B. Subdivision and recognition of the Nihewan strata [J]. Geosciences, 1980, 1:87-95. [8] JIA L, WEI Q. Xujiayao Palaeolithic site, in Yanggao County, Shanxi Province [J]. Archaeol Bull, 1976, 2:97-114. [9] CHEN T, YUAN S. Uranium series dating of mammalian fossils at Xujiayao Palaeolithic site [J]. Acta Anthropol Sin, 1982, 1:91-95. [10] CHEN T, YUAN S. The study on Uranium Series Dating of fossil bones and an absolute age sequence for the main Palaeolithic sites of North China [J]. Acta Anthropol Sin, 1984, 3:259-269. [11] TORSVIK TH. Interactive analysis of palaeomagnetic data. IAPD-user guide [R]. University of Bergen, 1987, 1-74. [12] HELLER F, LIU TS. Magnetism of Chinese loess deposits [J]. J Geophys Res, 1982, 77:125-141. [13] KING R F, REES AI. Detrital magnetism in sediments: an examination of some theoretical models [J]. J Geophys Res, 1966, 71:561-571. [14] TAUXE L, KENT DV. Properties of a detrital remanence carried by haematite from study of modern river deposits and laboratory redeposition experiments [J]. Geophys J Roy Astron Soc, 1984, 77:543-561. [15] L ØVLIE R, TORSVIK T. Magnetic remanence and fabric properties of laboratory-deposited hematite-bearing red sandstone [J]. Geophys Res Letters, 1984, 11:229-232. [16] BLOW R A, HAMILTON N. Effect of compaction on the acquisition of a detrital remanent magnetization in finegrained sediments [J]. Geophys J Roy Astron Soc, 1978, 52:13-23. [17] VEROSUB KL. Depositional and postdepositional processes in the magnetization of sediments [J]. Rev Geophys Space Phys, 1977, 15:129-143. [18] L ØVLIE R, ELLINGSEN KL, LAURITZEN SE. Paleomagnetic cave stratigraphy of sediments from Hellemofjord,

278

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

northern Norway [J]. Geophys J International, 1995, 120:499-515. [19] WALDERHAUG H, TORSVIK TH, L ØVLIE R. Experimental CRM production in a basaltic rock; evidence for stable, intermediate palaeomagnetic directions [J]. Geophy J International, 1992, 108:747-756. [20] JACOBS JA. Reversals of the Earth’s Magnetic Field [M]. Cambridge University Press, 1994, 1-346. [21] PAYNE MA, VEROSUB KL. The acquisition of post-depositional detrital remanent magnetization in a variety of natural sediments [J]. Geophys J Roy Astron Soc, 1982, 68:625-642. [22] YUAN B. The age, subdivision and correlation of Nihewan Group [J]. Science in China, Ser D, 1996, 26:67-73. [23] CAO J. Neotectonic movement and volcanic activity in the southeast of Datong Basin [J]. Chinese Quart Res, 1959, 2:75-85. [24] WEI Q, ZHANG C, HIE T. Datong lake a fossil lake at the north of Shanxi province [A]. Selected Treatises on Nihewan. Beijing: Cultural Relics Publishing House, 1989, 537-542. [25] CHEN W, LIU R. The preliminary determination of the K-Ar age of the Quaternary volcanic rocks in Datong area [J]. Chinese Quat Res, 1986, 7: 96-102. [26] FISHER R A. Dispersion on a sphere [J]. Proc Roy Soc London, 1953, A217:295-305.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

279-284

Chronological Studies on Chinese Middle-Late Pleistocene Hominid Sites, Actualities and Prospects SHEN Guan-jun1, WANG Jia-qi2 (1 Institute for Coastal and Quaternary Studies, Nanjing Normal University, Nanjing, 210097, China; 2 Department of Chemistry, Guizhou University, Guiyang, 550025, China)

Abstract In the past two decades new advances have been made in almost all the fields of Quaternary geochronology. The technological innovations have led to substantial changes in the timescale of the origin and evolution of human species. A general tendency is that important events in human evolution have been pushed to earlier times. This trend is having repercussions in China. The previous chronological framework for Chinese hominid sites may have been compressed. High-precision thermal ionization mass spectrometry (TIMS) U-series dates on speleothem formations show that Peking Man should be much older than previously accepted. Future developments for establishing a reliable time sequence for Chinese Mid-Late Pleistocene sites have been discussed.

Key words:

Quaternary geochronology; Mid-Late Pleistocene; Hominid sites

1

Introduction

Since the Middle Pleistocene, Humankind has made two major leaps forward in the course of its evolution. Firstly, at early stages of the Mid-Pleistocene, early Homo sapiens emerged from more ancient human species (H. erectus, H. ergaster or H. heidelbergensis according to different taxonomic theories). Then at about the turn of the Middle-to-Late Pleistocene, the indisputable direct ancestor of present inhabitants on Earth, anatomically modern H. sapiens (MHS) finally came onto the scene. Although the occurrence of these two great events has been well established, the exact timing, place and the relationship between different human species have remained unresolved. Prehistorians resort generally to theoretical deductions to bridge over “missing links”. However, the rare and generally fragmentary hominid remains are often compatible with more than one model. This explains the numerous hypotheses and intensive debates that occur in the field of paleoanthropology. At present, the origin of MHS is a major subject of research works and of controversies [1]. Being closely relevant to the latter, the phylogenetic status of H. erectus is also an issue of common concern [2]. Establishing a reliable chronological framework is essential to addressing the issues in anthropology. In the final analysis, our knowledge about the timescale of human evolution and other geological and biological events comes from the nuclear clocks, which are based on the principles of disintegration of and equilibrium between radioisotopes. From this point of view, geochronology takes root in physics and chemistry, two science disciplines well known for their systematic basic theories together with rigorous criteria for quality control of experimental results. For these reasons, radiometric geochronology has been commonly referred to as “absolute dating”. However at the present stage of development of Quaternary geochronology, numerical dates are sometimes far from “absolute”. In fact, all the dating methods need to assume several pre-conditions for deducing age results from their physico-chemical measurements. Therefore the reliability of the results obtained depends heavily on how tenable are these assumptions. Actually the prerequisites of certain chronometers are difficult to be or have not yet been verified. The age results may therefore suffer from a much greater uncertainty than is apparent from their quoted error ranges. The inaccuracy or even misplacement of the temporal position of relevant hominid fossils may be one of the major causes of the aforementioned controversies. Taking the occasion of the 70th anniversary of the discovery of Peking Man, we attempt to review briefly the recent development of Quaternary dating techniques and consequent modifications Biography: SHEN Guanjun, 56, docteur d’état es sciences naturelles, professor of chemistry, specialized in Quaternary geochronology.

ACTA ANTHROPOLOGICA SINICA

280

Supplement to Vol. 19, 2000

of the chronology of important hominid sites. New evidence on the age of Peking Man will be presented. Future developments in dating Chinese Mid-Late Pleistocene hominid sites will also be explored.

2

Technological progress and changing chronology

About 50 years ago, the first laboratory of 14C dating was established, marking the beginning of numerical dating of Quaternary events. Since then, the field of Quaternary geochronology has been developing rapidly, and now encompasses about ten dating methods. During the past 20 years or so, new developments have taken place in almost all the dating methods [3]. Especially important is the introduction of high-precision mass spectrometry, which results in the development of accelerator mass spectrometric (AMS) 14C, thermal ionization mass spectrometric (TIMS) U-series, and single crystal laser fusion (SCLF) 40Ar/39Ar techniques. These state-of-the-art techniques mark a new stage, in which Quaternary geochronology has become precise, quantitative and truly science-based. AMS 14C dating is widely hailed as a revolution of Late Pleistocene geochronology. Compared with conventional β counting, AMS needs only ~1 of the original sample size, and achieves at the same time much improved data precision. The substantially reduced sample size renders it possible in many cases to detect, or even to avoid, contaminants. For decades, conventional 14C dates have been accepted as chronological benchmarks. However, with the accumulation of AMS-based 14C dates, it is becoming gradually more evident that classical 14C dating is sometimes of limited reliability, especially when applied to materials which are older than 30 ka [4]. Among the samples commonly used for 14C dating, fossil bones are prone to be contaminated by organic materials. Such a problem cannot be totally resolved even in the dating of amino acids separated from bone collagen [5]. Because of the difficulty related to thorough decontamination of large samples, classical β counting of even charcoal grains, an ideal material for dating purpose, may sometimes give aberrant age results [6]. The establishment of the TIMS technique for U-series dating is another breakthrough in Quaternary geochronology. Compared with the conventional α counting technique, TIMS method may reduce sample size and improve the precision on U-Th isotopic ratio measurements both by an order of magnitude. Just like the case of AMS 14C dating, a much smaller sample size enables more stringent selection of the best possible samples for dating. The greater precision leads not only to a tighter age constraint, but also to an extension of 230Th/234U dating limit to ~600 ka. [7]. The results from the TIMS 230Th/234U dating and from the inter-comparison between 230Th/234U and 231Pa/235U dating using TIMS further confirm the reliability of densely crystallized cave calcites as conveyors of temporal information [7-8]. In fact, the U-series dating of speleothem samples, especially using TIMS technique, may meet all the criteria of an “absolute” or “numerical” dating method [9-10]. These technological innovations have had their impacts on the timing of human evolution. A general tendency is evident that important events, such as the arrival of H. erectus in Asia, the interface between late H. erectus and early H. sapiens, and the appearance of early modern H. sapiens have been pushed to earlier times. The history of chronological studies at Qafzeh and Skhul may be a typical example. Before 1985, based on morphological and archaeological dating schemes, these two sites occupied by early representatives of MHS, were assigned to ages of ~40 ka. The application of thermoluminescence (TL) dating on burnt flints [11] and electron spin resonance (ESR) on tooth enamels [12] revealed that these hominids are in fact ~100 ka in age. Much earlier presence than previously thought of MHS in West Asia has been widely considered as strong supporting evidence for the “Out of Africa” theory concerning the origin of this human species. Several more such instances of recent chronological revisions may be quoted here. The Singa (Sudan) calvaria had been previously assigned an age of ~17 ka (classical 14C dating of fossil bone), and interpreted as a terminal Pleistocene modern human. However recent U-series dating on a calcrete deposit enclosing the hominid fossil and ESR dating on tooth enamel jointly constrain the hominid to at least 133 ka. In conformance with its re-determined age, the Singa hominid has been re-interpreted as a possible ancestor to both African and West Asia MHS [13]. The lower travertine layer of the site of Ehringsdorf in Germany, where fossils of early Neanderthal have been unearthed,

SHEN et al.: Chronological Studies on Chinese Middle-Late Pleistocene Hominid Sites, Actualities and Prospects

281

was initially assigned to oxygen isotopic stage 5e (~120 ka). Based on the U-series dating of calcite samples, the age of this layer was pushed back to ~230 ka [14]. Grün and Stringer [15] commented that Ehringsdorf was “an excellent example of the potential pitfalls of both the ‘cultural’ and faunal/floral relative dating schemes”. Ethiopia’s Bodo cranium, sampling the transition from H. erectus to H. sapiens, has been re-assigned to an age of ~600 ka, almost twice as old as its formerly accepted age of ~350 ka. On the basis of the new date of Bodo and on the condition that previous age estimates of Asian human remains are correct, Clark et al. [16] proposed a slower evolution rate for Asian H. erectus compared with their African counterparts. The age of Sangiran hominid fossils in Indonesia, the earliest known H. erectus in East Asia has also been pushed back, to some 1 million years earlier than previously accepted [16]. Such a trend is having repercussions in China. For example, AMS 14C dating has been applied to Upper Cave, Zhoukoudian [17]. As a result the age of this important site of Chinese MHS has been almost tripled, from earlier estimates of ~10 ka to ~27 ka. The Bose paleolithics have now been dated to ~800 ka with SCLF 40Ar/39Ar dating on tektites [18], an age that is far older than their previous attribution to the “late Paleolithic” on the basis of archaeological evidence. During the course of the past ten years or so, we dated about ten key Chinese hominid sites by applying U-series dating method to cave calcites. The age results obtained are generally older than the previously established temporal framework based mainly on the U-series and 14C dating of fossil bones and on biostratigraphic correlation. We now believe that as a whole, the previously established chronology for Chinese Middle-Late Pleistocene sites may have been considerably compressed.

3

New evidence for the chronology of Peking Man

70 years ago, when the first skull of Peking Man was discovered, paleoanthropologists assigned an age ~500 ka to the fossil hominid based on morphological and bio-stratigraphic studies. Taking into account the rarity of hominid findings and of the total unavailability of numerical dating method at that time, how precise the age assignment was! In the late 1970s a multidisciplinary study of the site was organized by the Institute of Vertebrate Paleontology and Paleoanthropology, Academia Sinica. Age dating was then carried out at several Chinese institutions using a suite of techniques. The following age sequence was proposed [19]: ~700 ka for the lowest fossiliferous horizon (Layer 13), based mainly on paleomagnetic stratigraphy; ~500 ka for the lowest stone artifact-containing layer (Layer 10), based on fission track dating of sphene grains extracted from ash deposits; and ~230 ka for the uppermost strata (Layers 1-3), based on 230 Th/234U dating of fossil materials. This age sequence has been widely taken at face value for the various excavated layers at Locality 1. However, on close examinations of the assumptions introduced by the dating methods, one finds that the validity of these dates has remained questionable. This is especially the case for the closedsystem prerequisite for U-series dating of fossil materials, which provided the ~230 ka age to the upper strata. The preserved cross-section of Layers 1-2 at Locus H contain six speleothem horizons intercalated with detrital sediments. Using conventional α spectrometry, Shen and Jin [20] have demonstrated that the lower part of the second flowstone layer (samples BZC89-2, 3) is of an age of +110

421 −50 ka (1σ), much older than the previously assigned age of ~230 ka. Limited by the counting statistics realizable with an α spectrometer, the error range of the age result is quite important. This circumstance warranted the application of the TIMS technique, which gave a much more precise age of 414 13 ka (2σ) for BZC89-3, in support of the α spectrometric date [20-21]. The No. V Skull of Peking Man, which is from the underlying Layer 3 and generally regarded as the youngest representative of H. erectus in China, should be therefore at least 400 ka old. Since then repeated and systematic searching along the Locality 1 cross-sections has led to the discovery of additional speleothem samples. Their TIMS 230Th/234U ages provide new evidence for the further refinement of the temporal framework of the Peking Man site [22].

ACTA ANTHROPOLOGICA SINICA

282

Supplement to Vol. 19, 2000

At Locus H, the topmost horizon produced a relatively young age of 144 1 ka. Stratigraphically downward, after ~50cm of detrital deposition the second flowstone layer consists of two sub-units separated by a depositional hiatus. The upper sub-layer is of an age of ~300 ka. The well-studied sample of BZC89-3 comes from the lower sub-layer, its age of ~400 ka has been reconfirmed. At the East Hillside, the flowstone representing the upper part of Layer 5 is composed of six sub-layers with a total accumulation of up to ~120 cm. Nine age measurements on four samples indicate that the lower part of this flowstone layer has a minimum age of 600 ka. As a great many hominid remains were unearthed from Layers 8-9, the widely accepted age of 450 or 500 ka for Peking Man should therefore be substantially revised. If the sedimentation rate above and below Layer 5 is assumed to be similar, then Peking Man could reach an age of 800 ka or even older.

4

Establishing a reliable temporal sequence

Actually for chronological studies of hominid sites spanning different periods using different materials, the following dating techniques are available: 14C, U-series, K/Ar (40Ar/39Ar), fission track, TL, ESR, optically stimulated luminescence (OSL), amino acids racemization and paleomagnetism. An even more recent attempt involves reliable high-precision U-Pb dating of Middle Pleistocene speleothem calcites [23]. This new approach has the potential to extend the range of ages obtainable from speleothem calcites to beyond 600 ka, the upper limit of the TIMS U-series dating. At the present time some of the chronometers, such as AMS 14C dating of charcoal grains, Useries dating of pure and densely crystallized calcites and K/Ar (40Ar/39Ar) dating of volcanic rocks, may be considered to be well established. However, their applications are generally limited by sample availability and time spans. Some other chronometers are more widely applicable, e.g., Useries and ESR dating of fossil materials, and ESR, TL and OSL dating of detrital sediments, but their results usually define broad time intervals and their reliability is not easy to assess. Under such circumstances what guidelines should we follow in choosing the most suitable dating methods? With the availability of a variety of dating techniques, many sites have been studied with one or several dating techniques. The general course of human evolution has already been outlined. So prehistoric sciences need now more tightly constrained chronologies rather than loose age estimates. It is our opinion that particular emphasis should be put to the study of the basic principles of dating methods, to the application of well-established chronometers and to the search for suitable samples. Biostratigraphic evidence has played an important role in assessing the reliability of numerical dating methods. Such a wide-margin control is necessary, especially for the chronometers at early developing stages. However in doing so, attention should be paid to avoid circular reference of relative and “absolute” dating results. In order to establish a reliable time sequence for Chinese Mid-Late Pleistocene site, the potential of speleothem formations as time markers should be fully tapped. An important part of Chinese hominid sites is located in limestone caves, where stratigraphically significant speleothem formations can often be found. The existence of this kind of material compensates, to a large degree, the lack of volcanic activities in China during the Mid-Late Pleistocene. At the upper bound, TIMS technique expands the application range of U-series chronology to 500-600 ka, approaching the boundary between late H. erectus and early H. sapiens. This chronometer may also provide reliable time scales to the evolution patterns of human species since ~200 ka. Based on the previously established chronological sequence, the appearance of MHS in East Asia lags at least 50 ka behind their West Asia counterparts. However, our recent results on U-series dating of speleothems from Late Pleistocene hominid sites in South China strongly suggest that early representatives of Chinese MHS may be contemporaneous with the Qafzeh and Skhul hominids. So the much-discussed time gap may be an artifact caused by systematic errors of the dating techniques. In China, AMS 14C dating has been applied to one paleolithic site only, and TL dating of burnt rocks has not yet been established. Hence an important role remains to be played by the two chronometers. It should be noted that the TL dating of burnt rocks, with its well-defined starting point

SHEN et al.: Chronological Studies on Chinese Middle-Late Pleistocene Hominid Sites, Actualities and Prospects

283

and being less influenced by the uncertainty of environmental factors, is considered to be a technique of relatively high reliability. This approach should be quite useful for studying the numerous open-air sites especially in the Loess Plateau. The lack of contemporary volcanic activities restricts greatly the application of K-Ar dating in China. The recent application of this method to associated tektites from the sites at Bose is one exception of this generalization [18]. However, this stands for an encouraging example of multi-disciplinary effort for seeking the most suitable technique and material for dating. It is anticipated that the rapid development of dating techniques in the last two decades of the previous century will continue in the new century. In the coming decades the now extremely expensive and sophisticated instruments will be in routine use at most laboratories. New techniques will be developed for more precise and rapid measurement of small samples. Quaternary geochronology will continue to contribute to the clarification of the mysteries that surround the origin of our own species. Acknowledgements: The authors would like to thank Wenner-Gren Foundation for financial support (Gr. 6501). The National Science Foundation China (49363008) and the US NSF (SBR-9420777) are gratefully acknowledged for their joint support to the project of mass spectrometric U-series dating of Peking Man site. For marking the 70th anniversary of the discovery of Peking Man, an abstract was extracted from a paper that is actually in preparation. Thanks are also due to Dr. Linda Ayliffe and Dr. Jianxin Zhao for revising the paper. References: [1] WU X Z. Chinese human paleontological study in 20th century and prospects [J]. Acta Anthropol Sin, 1999, 18(3):165-175 (in Chinese with English summary). [2] WANG Q. Comparison of Homo heidelbergenensis and Chinese Homo erectus [D]. Ph. D. thesis, Institute of Vertebrate Paleontology and Paleoanthropology, Academia Sinica, 1998 ( in Chinese with English abstract). [3] WINTLE AG. Achaeologically-relevant dating techniques for the next century [J]. J Archaeol Sci, 1996, 23: 123-138. [4] GR ÜN R, STRINGER CB. Electron spin resonance dating and the evolution of modern humans [J]. Archaeometry, 1991, 33(2): 153-199. [5] TAYLOR RE. Radiocarbon dating of bone: to collagen and beyond [A]. In: TAYLOR RE et al. eds. Radiocarbon after Four Decades, an Interdesciplinary Perspective. New York: Springer-Verlag, 1992, 375-402. [6] BISCHOFF JL, SOLER N, MAROTO J et al. Abrupt Mousterian/Aurignacian boundary at c. 40 ka BP: accelerator 14C dates from L’Arbreda Cave (Catalunya, Spain) [J]. J Archaeol Sci, 1989, 16: 563-576. [7] LUDWIG KR, SIMMONS KR, SZABO BJ et al. Mass-spectrometric 230Th-234U-238U dating of the Devils Hole calcite vein [J]. Science, 1992, 258: 284-287. [8] EDWARDS RL, CHENG H, MURRELL M et al. Protactinium-231 dating of carbonates by thermal ionization mass spectrometry: implications for Quaternary climate change [J]. Science, 1997, 276: 782-786. [9] SCHWARCZ HP. Uranium-series dating and the origin of modern man [J]. Phil Trans R Soc Lond B, 1992, 337: 131-137. [10] SHEN GJ. 227Th/230Th dating method, methodology and application to Chinese speleothem samples [J]. Quat Sci Rev (Quat Geochronol), 1996, 15: 699-707. [11] VALLADAS H, REYSS JL, JORON JL et al. Thermoluminescence dating of Mousterrian ‘Proto-Cro-Magnon’ remains from Israel and the origin of modern man [J]. Nature, 1988, 331: 614-616. [12] SCHWARCZ HP, GR ÜN R, VANDERMEERSCH B et al. ESR dates for the hominid burial site of Qafzeh in Israel [J]. J Hum Evol, 1988, 17: 733-737. [13] MCDERMOTT F, STRINGER CB, GR ÜN R et al. New Late-Pleistocene uranium-thorium and ESR dates for the Singa hominid (Sudan) [J]. J Hum Evol, 1996, 31: 507-516. [14] BLACKWELL B, SCHWARCZ HP. Absolute age of the Lower Travertine at Ehringsdorf DDR [J]. Quat Res, 1986, 25: 215-222. [15] CLARK JD, HEINZELIN J, SCHICK KD et al. African Homo erectus: old radiometric ages and young Oldowan assemblages in the Middle Awash Vally, Ethiopia [J]. Science, 1994, 264:1907-1910. [16] SWISHER C, CURTIS GH, JACOB T et al. Age of the earlist know hominids in Java, Indonesia [J]. Science, 1994, 263: 1118-1121. [17] CHEN TM, HEDGES R, YUAN ZX. The second batch of accelerator radiocarbon dates for Upper Cave site of

284

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

Zhoukoudian [J]. Acta Anthropol Sin, 1992, 11(2): 112-116 (in Chinese with an English abstract). [18] HOU YM, POTTS R, YUAN BY et al. Mid-Pleistocene Acheulean-like stone technology of the Bose Basin, South China [J]. Science, 2000, 287: 1622-1626. [19] ZHAO SS, PEI JX, GUO SL et al. Study of chronology of Peking Man site [A]. In: WU RK et al. eds. Multi-disciplinary Study of the Peking Man Site at Zhoukoudian. Beijing: Science Press, 1985, 239-240 (in Chinese). [20] SHEN GJ, JIN LH. Restudy of the upper age limit of Peking Man site [J]. Acta Anthropol Sin, 1991, 10(4): 273-277 (in Chinese with English abstract). [21] SHEN GJ, KU T-L, GAHLEB B et al. Preliminary results on U-series dating of Peking Man site with high precision TIMS [J]. Acta Anthropol Sin, 1996, 15(3): 210-217 (in Chinese with English summary). [22] SHEN GJ, KU T-L, CHENG H et al. (in preparation). [22] RICHARDS DA, BOTTRELL SH, CLIFF RA et al. U-Pb dating of a speleothem of Quaternary age [J]. Geochim Cosmochim Acta, 1998, 62 (23/24): 3683-3688.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

285-291

A Review of the Tephrochronological Studies of Paleolithic Cultures in Japan Tsutomu SODA1 , Shinji SUGIYMA2 (1. Maebashi Research Institute, Paleoenvironment Research Institute Co., Ltd., 1540 Soja, Soja-machi, Maebashi, Gunma, 371-0852, Japan; 2. Miyazaki Research Institute, Paleoenvironment Research Institute Co., Ltd., 1417 Akae, Miyazaki-shi, Miyazaki, 880-0912, Japan)

Abstract Tephrochronology plays a key role in Quaternary studies in the Japanese Islands. Correlation of widespread marker-tephra and regional tephra as well as their chronometric dating provides the chronological framework for the Paleolithic sites in and around Japan. In Lower Paleolithic studies, chronology of the lower cultural horizons of the oldest known sites in Japan, Takamori and Kamitakamori is important because of the existence of stone tool caches composed of bifaces impacting the evaluation of cognitive ability of early humans. As the result of phytolith analysis on successionally accumulated volcanic ash soil, it is considered that these occupations were in a full interglacial, stage 13 or 15 from comparison of the Nezasa ratio; fluctuation of Bamboo grass phytolith assemblage; and oxygen isotope curve.

Key words:

Tephrochronology; Widespread tephra; Takamori site; Kamitakamori site; Phytolith; Nezasa ratio

1

Introduction

More than 200 volcanoes are located in the Japanese Islands. As many of them originate in silicic magma, they produced large amount of tephra many times throughout the Quaternary. As a result, tephrochronology plays an important role in the chronological study of the Japanese Paleolithic. This paper reviews the major recent contributions of tephrochronology to the study of the Paleolithic in Japan, and discusses the sratigraphical horizons and ages of the Takamori and Kamitakamori sites. The oldest known human occupations in Japan are discussed from the viewpoint of tephrostratigraphy.

2

Tephrochronological studies on the Middle and Late Paleolithic

In Japan, tephrochronologists identify each tephra based on observation of sedimentary facies, mineral assemblage, refractive index of volcanic glass and the presence of some diagnostic minerals, as well as with chemical analyses using EMA, INAA, ICP, etc.. In addition, geochronologists date tephra layers using such methods as 14C, Thermoluminescence, Fission Track, ESR, Uranium-Series and Potassium-Argon. Based on these analyses, Quaternary researchers are able to use many tephra layers not only as stratigraphical markers but also timemarkers. Today, we have a tephra catalogue of the Japanese Quaternary, which lists about 1,000 marker-tephra layers [1]. In this tephrochronology system, regional tephrostratigraphies are effectively correlated with widespread tephra layers whose dates are securely measured. The discovery of widespread marker-tephras is the most significant development of tephra studies. Since the 1980s, the extended search for widespread marker-tephras in the continental part of eastern Eurasia has established recognition of the common tephrozone in this region (Fig. 1). Widespread tephra layers with Japanese, Korean and Chinese origins have been traced to Russia and China, as well as to Japan and Korea [2-4]. For example, AT ash (25-24 kyrs BP) [5-7], of Japanese origin, has been identified in many Paleolithic sites in South Korea, and relationships between the AT ash and archaeological occurrences have been discussed [8-9]. In the near future, it will be possible to study Paleolithic chronology using these same marker-tephra layers over an even more extended area, including the Kuril Islands and the Kamchatka Peninsula. In addition, the influence of gigantic eruptions on the Paleolithic cultures in the Japanese Islands is also under discussion.

ACTA ANTHROPOLOGICA SINICA

286

Figure 1

Supplement to Vol. 19, 2000

Map showing distribution of widespread tephras in the East Eurasia (revised from Machida and Arai [1]) Kc, Huccharo; S, Shikotsu; As, Asama; On, Ontake; F, Fuji; D, Daisen; Sb, Sanbe; A, Aira; K, Kikai; B, Baegdu (Changbai); U, Ulreung

SODA et al.: A Review of the Tephrochronological Studies of Paleolithic Cultures in Japan

287

More than 4,500 sites have been discovered in Japan for the Late Paleolithic. The Late Paleolithic chronology was established mainly by the chronology of volcanic ash soil associated with several marker-tephra layers and 14C dates in the central part of Japan. In combination with lithic analysis, mainly dependent on characteristic "type-fossil" stone tools, the following cultural sequence from Late Paleolithic to Incipient Jomon has been accepted: edge polished axes (30-25 kyrs BP), knives (27-16 kyrs BP), small-size points (16-14 kyrs BP), microliths (14-12 kyrs BP), and large-size points (12-10 kyrs BP). Today, reexamination of this classic chronology is necessary, employing the new data obtained from AMS datings. In addition, comparisons of regional chronology, using widespread tephra layers as time-markers, will reveal common features and regional differences in the Late Paleolithic cultures. Since 1980s, Early and Middle Paleolithic studies in Japan have entered a new phase. The controversy over the existence of cultures in Japan before 30 ka, which arose in the 1970s, was finally put to rest by the excavation of the Zazaragi site in 1981, supported by firm tephrochronological evidence [10]. In 1986, it was clearly demonstrated at the Babadan-A site that the widespread marker-tephra, Aso-4 ash (89-84 ka) [11-12] lay above the major cultural horizons [1314] . The Middle Paleolithic in Japan is characterized by a stone tool type called "racloir dejete", a canted scraper. The number of Early and Middle Paleolithic sites discovered had reached about 60 by 1999, and most sites have been studied tephrostratigraphically, with their ages estimated by radiometric datings of tephra layers. We have documented 30 widespread tephra layers in the Middle Pleistocene to the Holocene. Further research is expected to help clarify the transitional process from the Middle to the Late Paleolithic.

3

Age-estimation on the Takamori and Kamitakamori sites

3.1

Significance of the Takamori and Kamitakamori sites More recently, tephrochronology determined the stratigraphical horizon of the oldest known sites in Japan, Takamori and Kamitakamori, in the Tsukidate Hills near Sendai city, Northeast Japan. Their age has been estimated at ca. 500 ka by TL or ca. 600 ka by ESR and paleomagnetism. The Takamori site was excavated four times; in 1988, 1991, 1992 and 1994 [15-17]. Total number of stone tools discovered at the Takamori site is 53. The Kamitakamori site has been excavated four times in; 1993, 1994, 1995 and 1998. The total number of stone tools discovered at the Kamitakamori site by 1998 is 102 [18]. The stone tools that were discovered at the two sites are mainly composed of flake tools: points, scrapers, pseudo-backed knives, bifaces including handaxes, and cleavers. The most impressive outcome of the excavation at the Kamitakamori site is the discovery of stone tool caches composed of bifaces. This strongly suggests a high cognitive ability for the Middle Pleistocene humans at the Kamitakamori site, requiring a change in our traditional evaluation of early human cognitive ability [19]. 3.2

Stratigraphical horizons of Paleolithic periods The North Sendai Plain, where the Tsukidate Hills are located, is part of central longitudinal basin between Ou backarc volcanic range and forearc non-volcanic Kitakami Mountains. In Ou backarc range, many calderas such as Onikobe, Narugo, Mukaimachi and Akakura, are located. These volcanoes were very active throughout the Quaternary, providing many tephra layers including pyroclastic flow deposits to the central lowland. Therefore, these tephra layers play important roles as time-markers, establishing a general stratigraphy and the chronology of the stone tool bearing layers in this area.

288

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

The basal rock of Tsukidate Hills is Plio-Pleistocene sedimentary rock, the Onoda Formation. This Onoda Formation is covered with the Middle Pleistocene fluvial deposits generically named the Takashimizu Formation, and pyroclastic flow deposits, separated by unconformity. The Takashimizu Formation is stratigraphically divided into five gravel layers. The ridge on which the Takamori and Kamitakamori sites are located is composed of the oldest, the Takamori Gravels. In the early stage of the Takamori site excavation, the tephrostratigraphy of the Tsukidate Hills had not been established. Since then, identification and correlation of tephra layers have been carried out mainly by lithologic and stratigraphic observations in the field, with the aid of petrographic characterization of tephra-forming minerals in the laboratory. Tephrochronological investigations have revealed that the Middle Pleistocene tephras in this area are composed of more than 48 marker-tephras (Fig. 2B) [20]. Stone tools have been found from 10 stratigraphical horizons in the lowermost, Takamori tephra group, which covers the Takamori Gravels. The three oldest cultural horizons at Kamitakamori, including the one yielding the stone tool caches, are identified below Ks-1. Many radiometric and paleomagnetic dating results are in general accordant with the tephrostratigraphy [21]. However, the estimated ages obtained show a certain range of dispersion. Therefore, we need another measure to check these estimates and possibly, narrow them down. 3.3

New dating method by Phytolith analysis on Bambusoideae Phytolith analysis which measures a fluctuation in the Bamboo grass phytolith assemblage was applied to volcanic ash soil layers to acquire information on the paleo- vegetation of the Takamori and Kamitakamori sites and their climatic history [22]. The Nezasa ratio, defined as the ratio of phytolith yield of Pleioblastus sect. nezasa to total yield of Pleioblastus sect. nezasa and Sasa, was found to be an effective method for estimating paleoclimates. The application of this method to the Takamori and Kamitakamori sites has revealed that the lowermost cultural horizons at these sites belong to one of the full interglacials in the lower Middle Pleistocene (Fig. 2C). In the soil between just below Ks-1 and Tm-3, in which stone tools were detected at two sites, the Nezasa ratio is high: >93.2% and small amount of Pleioblastus sect. medake were detected from the soil layers between Ks-4 and Tm-1 and between Tm-2 and Tm-3. Today, Pleioblastus sect. medake occurs in the southern part of Tohoku District, along the Pacific Ocean [24], and there is no Pleioblastus sect. medake in the Tsukidate Hills. Therefore the presence of Pleioblastus sect. medake phytoliths suggests a warmer climate in the early stage of the Takamori and Kamitakamori Paleolithic sequence. Using comparisons with the fluctuation of Nezasa ratio and orbital tuned δ18O curve of marine microplankton (Fig. 2D), a total of four or five glacial stages have need identified between the bottom and the last interglacial layers in this area, indicating that the lowest stone tool stage is possibly assigned to the oxygen isotope stage 13 or 15. These results seem to accord with some of the radiometric dates previously determined for the Takamori and Kamitakamori stone tool-bearing strata and other layers, and with the paleomagnetic studies. It is considered that the correlation with oxygen isotope stage 15 shows a better fit with the other evidence. In this case, the age of the lower cultures of these sites is estimated at ca. 600 ka.

4

Conclusion

Tephrochronology plays a key role in Quaternary studies in the Japanese Islands. The correlation of widespread marker-tephras and regional tephras as well as their chronometric dating, provides a chronological framework for the Paleolithic sites in Japan. It is considered that the lower cultural horizons of the Takamori and Kamitakamori sites, the oldest known human occupation in Japan, were in a full interglacial, stage 13 or 15, based on the comparison of the Nezasa ratio fluctuation with oxygen isotope curve.

SODA et al.: A Review of the Tephrochronological Studies of Paleolithic Cultures in Japan

A. Stratigraphical horizons of fluvial deposits and their paleoclimatic estimate from pollen assemblage. , cool – temperate; © – , boreal. B. Columnar section of soil in the Tsukidate Hills with stratigraphical horizons of the Lower and Middle Paleolithics. , Takamori and Kamitakamori sites; =>, others; *, stone tool caches. C. Fluctuation of Nezasa ratio. , Pleioblastus sect. Medake. D. Orbital tuned transition of 18O of ODP Site 677 (Shackleton et al.[23])

Figure 2

Transition of Nezasa ratio and orbital tuned marine isotope Soda and Sugiyama [22])

18

O curve (revised from

289

290

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

If humans in that time period were able to migrate to Japan only via land bridges, this result suggests the future discovery of even older archaeological sites from the glacial period somewhere in Japan. Furthermore, the above age estimation resulting from this study supports the hypothesis that the inhabitants of the Kamitakamori and Taka- mori sites were of the species Homo erectus. With no fossil bones discovered in Japan, it is of course impossible to conclude who the inhabitants of Kamitakamori and Takamori were. However, the author believes that the line of tephrochronological study presented in this article has great future potential for revealing an effective correlation of the Japanese Paleolithic sequence with those in adjacent areas such as China, Korea, and Indonesia. Acknowledgements: The authors wish to thank Professors Emeriti Hiroshi Machida of Tokyo Metropolitan University and Fusao Arai of Gunma University for their encouragement and technical advice. Gratitude is also due to Prof. Hiroshi Kajiwara of Tohoku Fukushi University and members of Tohoku Paleolithic Culture Institute for the invitation to their project. Mr. Sho Yamada and Mrs. Josephine Dickinson of Harvard University helped with the English translation of the paper. References: [1] MACHIDA H, ARAI F. Atlas of Tephra in and around Japan [A]. Tokyo: University of Tokyo Press, 1992. [2] MACHIDA H, ARAI F, LEE B et al. Two time marker tephras of Kyushu origin discovered in Korean Peninsula and Cheju Island [J]. J Geography, 1983, 92:409-415. [3] RAJIGAEVA N. Distribution of volcanic glass in late Pleistocene to Holocene coastal deposits in Primorye, northwestern Sea of Japan [J]. Chikyu-Kagaku, 1993, 47:563-568. [4] EDEN DN, FROGGATT PC, ZHENG H et al. Volcanic glass found in Late Quaternary Chinese loess: a pointer for future studies [J]? Quat International, 1996, 34-36: 107-111. [5] MACHIDA H, ARAI F. Widespread tephra-discovery of Aira-Tn Tephra and its significance [J]. Kagaku, 1976, 46: 339-347. [6] MATSUMOTO E, MAEDA Y, TAKEMURA K et al. New radiocarbon age of Aira-Tn ash (AT) [J]. Quat Res, Tokyo, 1987, 26: 79-83. [7] IKEDA A, OKUNO M, NAKAMURA T et al. Accelerator Mass Spectrometric 14C dating of charred woods in the Osumi Pumice Fall and the Ito Ignimbrite from Aira Caldera, Southern Kyushu, Japan [J]. Quat Res, Tokyo, 1995, 34: 377-379. [8] YI S, SODA T ARAI F. New Discovery of Aira-Tn Ash (AT) in Korea [J]. J Korean Geograph Soc, 1998, 33: 447-454. [9] SODA T. Tephrochronological study on Naechon site [A]. Report of Excavations of Paleolithic and Settlement Sites at Naechon in the Namgang Dam Submerged Area, South Korea. (Kyongsang Namdo Province and University Museum and Department of Anthropology, Hangyang Univ.), 1999, 169-177. [10] LITHIC CULTURE RESEARCH GROUP. Zazaragi Site [M]. Sendai: Lithic Culture Research Group, 1983. [11] MACHIDA H, ARAI F, MOMOSE M. Aso-4: A widespread tephra and its implications to the event of late Pleistocene in and around Japan [J]. Bull Volcanol Soc Japan, 1985, 30: 49-70. [12] MACHIDA H. Quaternary widespread tephra catalog in and around Japan: Recent progress [J]. Quat Res, Tokyo, 1999, 38: 194-201. [13] TOHOKU HISTORICAL MUSEUM, LITHIC CULTURE RESEARCH GROUP. Babadan-A Site [M]. Sendai: Tohoku Historical Museum, 1986. [14] SODA T. Tephrochronological study on Takamori site [A]. In: Takamori Site II. Sendai: Tohoku Historical Museum, 1993, 25-37. [15] LITHIC CULTURE RESEARCH GROUP. Kamitakamori Site [M]. Sendai: Lithic Culture Research Group, 1991. [16] TOHOKU HISTORICAL MUSEUM. Takamori Site II [M]. Sendai: Tohoku Historical Museum, 1993. [17] TOHOKU HISTORICAL MUSEUM. Takamori Site III [M]. Sendai: Tohoku Historical Museum, 1995 [18] TOHOKU PALEOLITHIC CULTURE INSTITUTE. Kamitakamori Site [M]. Sendai, 2000 in press. [19] KAJIWARA H. Archeological examination of the most ancient humans and their culture in the Japanese Islands [J]. Kagaku, 1997, 67: 358-369. [20] SODA T. Tephrochronological Study on the Early Paleolithic Culture of Japan, Takamori Site, Miyagi Prefecture [D]. Dr

SODA et al.: A Review of the Tephrochronological Studies of Paleolithic Cultures in Japan

291

Thes Tokyo Metropol Univ, 1996. [21] NAGATOMO T, KAJIWARA H, FUJIMURA S et al. Luminescence dating of tephra from Paleolithic sites in Japan (from10 ka to 500 ka) [J]. Radiation Protection Dosimetry, 1999, 84: 489-494. [22] SODA T SUGIYAMA S. Tephrochronological study on the Lower Paleolithic culture of Takamori and Kamitakamori sites (Japan) [A]. Abstracts of INQUA COT/ UISPP 31 Inter-Congress Symposium, 1998, 76-78. [23] SHACKLETON NJ, BERGER A PELTIER WR. An alternative astronomical calibration of the lower Pleistocene time scale based on ODP Site 677 [J]. Trans Roy Soc Edinburgh: Earth Sciences, 1990, 81: 251-261. [24] MUROI H. Ecological factors determining Bamboo and Bamboo grass distribution [A]. Report of Fuji Bamboo Garden, 1960, 5: 103-121.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

292-298

The Scientific Influence that Dr. Davidson Black (Bu Dasheng) Had on Chinese Prehistory Julie L. CORMACK (Department of Anthropology, University of Alberta, Edmonton, Alberta, T6G 2H4, Canada)

Abstract Davidson Black’s scientific influence was international; having first studied and worked on brain anatomy in North America and Europe, and later focusing on the palaeontological excavations at the Chinese site of Zhoukoudian. He is well-known for his identification and description of the human fossil ancestor - Sinanthropus pekinensis; but is lesser known for his other contributions to science, such as focusing human origins research on China, building the Cenozoic Research Laboratory programme, and contributing to development of the Peking Union Medical College. He also provided input into the construction of some standard anthropometric measuring instruments, pursued palaeoanthropological and anatomical field and laboratory research outside of his work at Zhoukoudian, and learned technical skills such as casting and photography. His early education, travels, and field experiences gave him a solid foundation for a career in science. Mutual respect and understanding among Black and his international and Chinese colleagues characterized his relationship with his co-workers. This respect is still strong in his family today, and makes this family a unique and very special part of Canadian history. This paper is a report on Davidson Black’s training, background, and scientific achievements, including an examination of his initial interest in China, and is taken from a book currently being prepared.

Key words:

Zhoukoudian; Peking Union Medical College; Sinanthropus; Cenozoic Research Laboratory

In 1919, a relatively unknown Canadian anatomist, Davidson Black, arrived in China to take up his position as professor of neurology and embryology at the newly founded Peking Union Medical College. Just 9 years later, he found himself an academic celebrity lecturing in North America and Europe. During his lecture tour he wore a specially made gold receptacle tightly secured to his watch chain. In this gold receptacle there was a single fossil hominid tooth (p.302) [1].

This quote gives the impression that Davidson Black was primarily responsible for the revelation of Peking Man, whether it was the exhaustive early mornings of intense and careful fossil preparation, or the formal identification and published descriptions of Sinanthropus pekinensis. In fact, Black was only one member of a large multidisciplinary team of scholars from Sweden, China, Austria, France, the United States, and Canada, who together worked to establish Peking Man as our 300,000 year old direct human ancestor. In the context of this international collaboration, it is the story of Davidson Black (or as he is known to the Chinese, “Bu Dasheng”), through archival documents and Black’s own personal handwritten letters, that shall be related in this paper. Davidson Black and his wife, Adena, travelled to Beijing in August 1919, some 15 months after he was offered the position of Professor of Neurology and Embryology at the Rockefeller Foundation-funded Peking Union Medical College (PUMC). Black’s delay in getting to China was due to his wartime responsibilities with the Canadian Army Medical Corps in Surrey, England. However, he was keen to take up his new position. The day the Armistice was signed, Black requested an early discharge; a request supported by fellow Canadian and Oxford-based physician, Sir William Osler, as well as the President of the Rockefeller Foundation. Black had two personal traits typical of a scientific scholar; an insatiable curiosity, and a tireless observer and recorder of details. And yet, he had another characteristic; this one quite special and most apparent to those with whom he had close association. Wong Wenhao, Director of the Geological Survey of China, described Black in this way. And with his sincere interest and spirit of collaboration, all those who had the privilege of cooperation felt in him a real friend. .... He had always been kindly

CORMACK: The Scientific Influence that Dr. Davidson Black (Bu Dasheng) Had on Chinese Prehistory

293

disposed toward his Chinese colleagues, and through his personality and activities the Geological Survey has cooperated with success with the Rockefeller Foundation and the Peiping Union Medical College in the Cenozoic Research in China (p.319-320)[2].

Black was a man of exceptional character who through the love and dedication of his work helped to build and honour international collaboration during a difficult time in Chinese history. In The Times obituary dated March 17, 1934, Grafton Elliot Smith wrote that, “One’s feelings are apt to be swamped by the sense of personal loss of a man of exceptional generosity and loyalty. ... His work represents only the beginning of a task which still awaits completion.” This reverence that Black had for his colleagues may be related to his involvement with the Freemasons; a fraternity which he joined in 1910; where men treated each other with fairness and respect, and where no person was above another regardless of race, colour, or religious beliefs. Although Black was a foreigner in China, he was given the status of “missionary” which entitled him to own property. So, instead of living in the confines of the Peking Union Medical College, Black and his family moved into the Chinese community. Neither he nor his wife spoke Chinese, although one personal letter makes reference to a Chinese tutor and to the use of the game Ma Chang (Mah Jong) to help in language learning. Black was given a Chinese name - Bu Dasheng. This was the second time that he was given a local name. In 1906, while working up in northern Ontario for the Hudson’s Bay Company, he earned an Ojibwe name which may have referred to his quick efficient darting moves through the bush. Growing up, Black developed a strong interest in natural history due to his many summers spent in cottage country in southern Ontario, and in the ravines and parklands of Toronto, his home. He would leave glass jars for local farmers, asking them to help increase his insect collection. This same tact was used years later in China when he wanted examples of “dragon bones.” For a career, his mother wanted him to go into law until one summer, he contracted rheumatic fever and during his nurturing back to health, he gained a keen interest and curiosity in medicine. In 1903, he entered the University of Toronto where he graduated with his medical degree three years later. In 1906, he decided to return to University to complete a Bachelor of Arts degree. There was no indication at this time that he would pursue Anthropology. His University transcript listed courses such as Latin, scientific French and German, English, Biology, and World History. Certainly with his medical degree and these subjects, he had the foundation for a career in science. Immediately upon graduating, he accepted a teaching position in the Department of Anatomy at Western Reserve University in Ohio where he taught neurology courses. In 1911, he was appointed Associate in Embryology and Histology. By the end of his tenure in 1916, he reached the rank of Assistant Professor responsible for teaching neurology, and dental and gross anatomy classes. Black’s research was on a variety of aspects of brain anatomy; abnormal cerebral cortices, nerve development, and the study of endocranial casts. His strong knowledge of geology was developed through his field exploits with the Geological Survey of Canada during his summers away from Ohio. Working on Vancouver Island, he learned about various mineral deposits and field techniques. This training would be excellent preparation for his understanding of the Zhoukoudian deposits. Davidson Black was always looking towards the future. During a six month sabbatical to Europe in 1914, he applied for two academic positions - University College, London, and the University of Dublin. Although he was not successful with either position, this attempt helped build a strong friendship between himself and Grafton Elliot Smith whom he was visiting at the time. It is interesting to note that during his 15 years in Beijing, Black was offered several academic positions (for example, Toronto; and Sydney, Australia) but he always wanted to stay in China. Black originally went to Manchester to take an advanced anatomy course and a neurology course under Elliot Smith. He was also to spend time with Ariëns Kappers of the Dutch Central Institute for Brain Research in Holland. But, the discoveries at Piltdown led him astray - right into the arms of Anthropology! Black’s visit is described in Elliot Smith’s biography in this way.

294

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

Black intended to undertake neurological work, but he soon became so intensely interested in the investigation Elliot Smith was conducting on the cranial cast of the Piltdown Skull that he transferred his attention to the making and study of endocranial casts. This work marks the start of Black’s attraction to anthropology and a turning point in his career [my emphasis], and it seems possible that Black’s outstanding contributions in the field of anthropology might never have been made if he had not come under the influence of Elliot Smith at this time (p.155-156) [3].

At the urging of Elliot Smith, Black visited the Piltdown site in June 1914 where he found an upper molar tooth of a rhinoceros. Although the Piltdown experience was a gentle nudge into Anthropology, it was a paper by fellow Canadian, William Diller Matthew, which pulled Black deeply into depths of Asian prehistory. Matthew’s 1915 paper entitled Climate and Evolution suggested that climate change played a significant role in the evolution and distribution of land animals; a distribution which radiated outward from the Arctic. Black took this idea and in 1925, published a paper describing dispersal routes of primates (including humans) across the Asian landscape [4]. In preparation for taking up his new post at the College, Black arranged for the shipment of palaeontological casts from the American Museum in New York to Beijing. Once settled at the PUMC, his initial activities focused on building and expanding the anthropological and anatomical collections. In a letter to his colleague and friend, Fredrick Wood Jones, he excitedly speaks of expanding the College collections. “I am having great fun in getting the material here. This week I bought eight monkeys, all Macaques. Three from southern China and five from Siam. .... My comparative osteological material is accumulating fairly rapidly and I have a lot coming, both from Gerrard in London and Waterworth in Hobart” (RAC Archive). Black’s teaching focus was in Anatomy, but he always had a strong interest and curiosity in Palaeontology. With his requests to local people asking them to collect “dragon bones” and “dragon teeth,” Davidson Black became known as the “Bone Man,” and with subsequent discoveries and descriptions of Sinanthropus pekinensis, this label was only too appropriate. Black was given a suite of three rooms and was provided with two technicians for his PUMC laboratory. In July 1921, when he accepted the position of Head of the Department of Anatomy (a status he held until his death), he was later given the services of a secretary. Olga Hempel became one of Davidson Black’s closest associates and confidant especially during his bouts of illness which eventually led to his premature death at age 49. Black’s role at Zhoukoudian did not start until 1926, and yet he took on a variety of field experiences before concentrating his efforts on the Peking Man site. In November 1921, he accompanied Johan Gunnar Andersson, a Swedish mining consultant, on an expedition northeast of Beijing, where he would test his ideas of primate dispersals and study geological terracing. The following year, he was invited to participate in Roy Chapman Andrews’ Central Asiatic Expeditions to the Gobi Desert. “I am going up to Urga with Andrews and I have every hope that I shall be able to bring back considerable amount of skeletal material” (RAC Archive: letter dated April 10, 1922). In May-June 1923, Black proposed a reconnaissance to Siam (Thailand) where he would pursue the question of the origin of the Chinese people, as well as study and collect anthropoid materials (RAC Archive: letter dated December 12, 1922). The year 1925 marked a significant advancement in Black’s career as he began more intense collaboration with Andersson. His first effort was the description of over 100 Æ neolithic and early historic human skeletons from Andersson’s Kansu expedition [5-6]. His second effort was a joint field programme to central Asia, specifically Xinjiang Autonomous Region. But, this field programme never got off the ground. What was initially a setback, was, in fact, fortuitous considering the events about to happen at Zhoukoudian. It was Andersson, who in 1918, first heard about Zhoukoudian, but it was not until 1921, that he visited the “Lao Niu Kou” location (later identified as the “Main Locality” or Locality 1). “In an almost perpendicular wall of limestone, about 10 metres high, which faced north, the man showed

CORMACK: The Scientific Influence that Dr. Davidson Black (Bu Dasheng) Had on Chinese Prehistory

295

us a filled-up fissure in the limestone consisting of pieces of limestone and fragments of bones of larger animals” (p.98) [7]. As part of the Chinese-Swedish collaboration, fossil materials were sent to the University of Uppsala, Sweden. In preparation for Crown Prince Gustalf Adolf’s visit to Beijing in 1926, Andersson requested analysis of the Zhoukoudian fossils. The resulting report from Uppsala provided some startlingly news; the discovery of two human-like teeth, a right upper second molar (referred to as a third molar by Black), and an unerupted lower premolar [7-9]. These two teeth were described by Otto Zdansky, an Austrian student working at the University and involved in initial excavations at the site; the extremely meagre material described here, and which, I think cannot be more closely identified than as ? Homo sp. .... my purpose here is only to make it clear that my discovery of these teeth .... should be regarded as decidedly interesting but not of epoch-making importance [my emphasis] (p.284) [10].

The formal announcement of these fossil teeth led to two very different responses. Black immediately and confidently published a short note in Nature [11] In contrast, Jesuit priest, Père Teilhard de Chardin was not sold on the teeth’s human traits. I am not fully convinced of their supposed human character, Even the rootless assumed pre-molar, which at first sight seemed most convincing, may be one of the last molars of some carnivore, and the same is true of the other tooth, unless the roots are distinctly four in number. Even if, as I hope, it can never be proved that the Chou K’ou Tien teeth belong to a beast of prey, I fear that it can never be absolutely demonstrated that they are human (p.104-105) [7].

From this critical 1926 meeting onwards, the Zhoukoudian work was taken over by the Geological Survey of China and Black, who represented PUMC. Funds for the new excavation programme were immediately sought and acquired by Black. Under an Agreement (RAC Archive: letter dated February 14, 1927), both the PUMC and the Geological Survey of China had a shared responsibility with Black being in charge of fieldwork. All collections belonged to the Geological Survey. No materials were to be exported out of China. All research results were to be published in Palaeontologia Sinica Three days before site closure of the first (1927) field season, the most significant discovery of the season was made - a third tooth, a left lower molar, found insitu by Birgir Bohlin. Black felt that this lower molar was from the same jaw as Zdansky’s premolar find [12]! It was Bohlin’s tooth discovery that Black formally described in 1927 as representing a new genus and species Sinanthropus pekinensis Black and Zdansky [13]. In a letter dated October 29 to Andersson, Black speaks candidly about the discovery, We have got a beautiful human tooth at last! It is truly glorious news, is it not! .... That night which was October 19th when I got back to my office .... there I found Bohlin in his field clothes and covered with dust but his face just shining with happiness. He .... had found the tooth; being right on the spot when it was picked out of the matrix! My word, I was excited and elated! Bohlin came here before he had even let his wife know he was in Peking - he certainly is a man after my own heart (p.49) [14].

Black is best known for his identification of Sinanthropus, but it was his colleague, American geologist and palaeontologist, Amadeus Grabau, who coined the scientific name. In Black’s description (p.21) [13], he credits Grabau’s contribution in a footnote.

296

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

In view therefore of the unique characta[e]rs distinguishing the Chou Kou Tien lower molar, of the undoubted and great antiquity of the specimens and of their zoogeographic importance, I believe the circumstances justify the proposal made herewith that the immature Chou Kou Tien hominid be regarded as the holo-type and the adult as the cotype (v. Grabau, 4, p. 918) of a new genus of the family Hominidae to be named Sinanthropus* [footnote]. * I am much indebted to that veteran coiner of apt terms Dr. A.W. Grabau for his kindness in suggesting a generic name of such zoogeographic significance.

During Black’s 1928 furlough to Europe and North America, he carried Bohlin’s tooth in a brass, not gold, receptacle to show his colleagues. Black delighted in the fact that, “The men who have seen ‘the tooth’ are now converts” (RAC Archive: letter dated July 28, 1928). Meanwhile, the 1928 field season focused on areas east of the previous year’s work and confirmed the presence of a fossil hominid with more complete jaw and skull fragments discoveries. Black formally described all of these fossils, and from these discoveries, he was convinced that his new fossil, Sinanthropus, was a large-brained hominid in spite of the archaic structure of the face and jaws [15-16]. With ever-growing fossil discoveries, Black needed to consider large-scale and long-term excavations, again with the cooperation of the Geological Survey. In conjunction with Wong Wenhao and V.K. Ting, Black prepared a report for the Rockefeller Foundation describing planned activities from 1929 to 1932, and requesting a budget of $110,000.00. Black and Wong Wenhao then took a unique step; taking the 1927 formal agreement between the PUMC and the Geological Survey to create a new shared Cenozoic Research Laboratory. The aim of this Laboratory was to collect, study, and describe fossils of the Tertiary and Quaternary age in China. Since then, the Laboratory was converted and later expanded into the Institute of Vertebrate Paleontology (and Paleoanthropology). 1929 was a “banner year” for the Zhoukoudian team. Funding from the Rockefeller Foundation came through and the first substantial non-fragmentary evidence of Sinanthropus - a Peking Man skull was found by Pei Wenchung! It was December 2, 1929. This skull cap (known as Skull III) arrived at Black’s office, where he immediately began working on its cleaning and reconstruction. “It seemed as if Black’s whole life had been in preparation for that moment. The finding of the first well-preserved skull amply vindicated his fight for the recognition of the new genus of which he was to be the champion.”(p.52) [17]. Zhoukoudian research is one of the earliest examples of a very successful cooperative field and laboratory programme. This project involved a shared workload by numerous Chinese and foreign scholars, each of whom offered his own expertise, and together recreated the life of Peking Man. Davidson Black’s enthusiasm was addictive and the love of his work contagious. He devoted meticulous skill to the smallest of details [18] in fossil preparation, fossil description, administration, and teaching. Seven years before his own death, Grafton Elliot Smith, visited Zhoukoudian and viewed the successful activities of the Cenozoic Laboratory. Smith wrote of his trip to the PUMC secretary: My visit to Peking has profoundly impressed me with the importance of the work which is being done there. The material itself is unique and most illuminating, and the work of the investigation and recording the results of research is being done with a skill and insight which are as unique as the material for investigation. I only wish I were free from the distractions of supervising an institute of anatomy so that I might be able to give up the whole of my time to collaboration with the splendid team of workers in Peking. (RAC Archive: letter dated December 31, 1930)

Black’s most esteemed honour was Fellowship into The Royal Society, given in May 1932. A former professor from the University of Toronto, Dr. Macallum wrote to Arthur Keith in the hopes that he would lead the nomination. Keith’s reply said that he and Elliot Smith were already considering Black for nomination! Davidson Black also received other distinctions. The same year,

CORMACK: The Scientific Influence that Dr. Davidson Black (Bu Dasheng) Had on Chinese Prehistory

297

he was awarded the King Gold Medal from the Peking Society of Natural History. In 1929, the Geological Society of China presented him with the Grabau Gold Medal; a honour which recognized his work on Sinanthropus; for which he thanked the Society by saying that, “the success of Choukoutien work was largely due to the collaboration of a group of foreign and Chinese scientists” (p.102)[19]. Posthumously, he was awarded the Daniel Giraud Elliot Medal from the National Academy of Sciences for his work on the adolescent Sinanthropus skull. Henry Fairfield Osborn, member of the Elliot Fund Committee said this of Davidson Black: Infinite patience and infinite technical skill were required to free these fragile specimens from the matrix and a very high order of anatomical knowledge to correctly interpret them. From 1926 to 1934 Davidson Black has devoted his entire strength, energy and skill to exposing and examining this series (p.20)[20].

Technically, Black developed many skills. He initially learned casting techniques in Germany, and also had some basic training from Elliot Smith. He taught himself photography, and his private family archive contains numerous photographs, lantern slides, and films. He was an intense recorder of details whether it was his correspondence, journals, or photographic images. Black is also mentioned in Martin’s German textbook of anthropometry Lehrbuch der Anthropologie as contributing to the design of two standard physical anthropology measuring instruments, the mandibulometer and spreading calipers. Davidson Black’s enduring legacy not only affected science, but also his personal family. Both of his children were born in China and are fluent in Mandarin Chinese. His son, who has since passed on, was an opthamologist, having also followed his father into the medical profession. His daughter, is an Anglican priest and chaplain, and with her husband consider China as a second home. In a special memorial in honour of Davidson Black, his scientific contributions are nicely summarized by V.K. Ting, Honorary Director of Cenozoic Research. Black was [a] man of very wide learning. .... A student of medicine, he specialized in human anatomy, but few anatomists possess Black’s thorough knowledge of vertebrate morphology. In fact it was the latter that impressed me most when I first met him. There is of course anthropology. He was not only a master of orthodox physical anthropology, but also of biometry, for he always tried to apply mathematical analysis to his physical data in a way very few anatomists are able to do. .... Once I was out in the field with him and was very much struck by his practical knowledge of field geology. .... In certain aspects of theoretical geology he was one of the best read men I know (p.321-322)[2].

Acknowledgements: This paper is based on a scientific biography on Dr. Davidson Black currently being prepared by my co-author, Marilyn Laframboise, and myself. This work would not have been possible without the sincere interest and assistance from the Black family. I would like to warmly acknowledge the family of Davidson Black for giving us access to their personal family archive. I also acknowledge, with thanks, the Rockefeller Archive Center for travel funds and access to their collections, the Department of Foreign Affairs and International Trade of Canada and the University of Alberta for funding, and the University of Toronto. References: [1] CONROY GC. Reconstructing Human Origins. A Modern Synthesis [M]. New York: W.W. Norton & Company, 1997. [2] HSIEH CY. Proceedings of the special meeting on May 11, 1934 [J]. Bull Geol Soc China, 1934, 13(3):318-325. [3] DAWSON WR. Sir Grafton Elliot Smith. A Biographical Record by His Colleagues [M]. London: Jonathan Cape, 1938. [4] BLACK D. Asia and the dispersal of primates. A study in ancient geography of Asia and its bearing on the ancestry of man [J]. Bull Geol Soc China, 1925, 4(2):133-183.

298

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

[5] BLACK D. A note on the physical characters of the prehistoric Kansu race [J]. Mem Geol Surv China, Ser A, 1925, 5:52-56. [6] BLACK D. A study of Kansu and Honan Aeneolithic skulls and specimens from later Kansu prehistoric sites in comparison with north China and other recent crania. I. On measurement and identification [M]. Palaeontol Sin, Geol Surv China, Ser D, 1928, 6(1):1-83. [7] ANDERSSON JG. Children of the Yellow Earth. Studies in Prehistoric China [M]. London: Kegan Paul, Trench, Trubner & Co. Ltd, 1934. [8] ANDERSSON JG. Hominid-fyndet vid Peking [translated: The discovery of remains of a hominid near Peking] [J]. Ymer (Stockholm), 1928, 48:61-68 (in Swedish). [9] MATEER NJ, LUCAS SG. Swedish vertebrate palaeontology in China: A history of the Lagrelius Collection [J]. Bull Geol Institute, Univ Uppsala, 1985, 11:1-23. [10] ZDANSKY O. Preliminary notice on two teeth of a hominid from a cave in Chihli (China) [J]. Bull Geol Soc China 1927, 5(3-4):281-284. [11] BLACK D. Tertiary man in Asia: The Chou Kou Tien discovery [J]. Nature, 1926, 118(2977):733-734. [12] BLACK D. Discovery of further hominid remains of lower Quaternary age from the Chou Kou Tien deposit [J]. Science, 1928, 67(1727):135-136. [13] BLACK D. The lower molar hominid tooth from the Chou Kou Tien deposit [M]. Palaeontol Sin, Geol Surv China, Ser D, 1927, 7(1):1-26. [14] JIA L, HUANG W. The Story of Peking Man from Archaeology to Mystery [M]. Oxford: Oxford University Press, 1990. [15] BLACK D. Preliminary note on additional Sinanthropus material discovered in Chou Kou Tien during 1928 [J]. Bull Geol Soc China, 1929, 8(1):15-33. [16] BLACK D. Sinanthropus pekinensis: The recovery of further fossil remains of this early hominid from the Chou Kou Tien deposit [J]. Science, 1929, 69(1800):674-676. [17] BARBOUR G. In the Field with Teilhard de Chardin [M]. New York: Herder and Herder, 1965. [18] Dr. Davidson Black dies of heart failure at P.U.M.C. The Peiping Chronicle [N], 1934, March 17. [19] Proceedings of the special meeting of the Geological Society held at the library of the National Geological Survey, Peiping on Nov. 3rd 1931, at 3 p.m. [J]. Bull Geol Soc China, 1932, 101-105. [20] The Elliot Medal for 1931 [J]. Scientific Monthly, 1934, 39:89.

Supplement to Vol. 19, 2000

ACTA ANTHROPOLOGICA SINICA

299-306

Davidson Black and Raymond A. Dart: Asian-African Parallels in Palaeo-Anthropology - In commemoration of the 70th anniversary of the discovery of the first skull of Peking Man in China and 75th anniversary of the discovery of the skull of the Taung Child in South Africa Phillip V. TOBIAS1, WANG Qian1,2, Julie L. CORMACK3 (1. Sterkfontein Research Unit, Department of Anatomical Sciences, Medical School, University of the Witwatersrand, 7 York Road, Parktown 2193, Johannesburg, South Africa; 2. Institute of Vertebrate Paleontology and Paleoanthropology, Chinese Academy of Sciences, Beijing, China; 3. Department of Anthropology, H.M. Tory Building, University of Alberta, Edmonton, Alberta, T6G 2H4, Canada)

Abstract Davidson Black (1884-1934) and Raymond A. Dart (1893-1988) were two international pioneers in palaeo-anthropology, whose life-tracks were incredibly similar. Their professional contributions involved the search for and interpretation of the “Missing Link ” and the building of human origins programmes in their respective adopted countries -China and South Africa. Palaeo-anthropology in China and South Africa shares the same root for both men had absorbed enthusiasm for anthropology from Sir Grafton Elliot Smith.

Key words:

1

Davidson Black; Raymond A. Dart; Historical parallel; Palaeo-anthropology; China; South Africa

70th year of Sinanthropus and 75th year of Australopithecus

In the twentieth century, there were a number of events related to the search for the “Missing Link”. Among them, the original discoveries and interpretations of two classic fossils - the Taung Child and the Peking Man - were seminal. Both of these fossil finds were recognized in the 1920s, and ranked as two of the most important discoveries in the history of the study of human evolution. In particular they identified China and South Africa as potential and exciting fossil provinces. As a result of these finds, it may be claimed that the science of palaeo-anthropology began as a discipline in China and South Africa. The year 1999 marked the 70th anniversary of the discovery of the first skull of Peking Man at Zhoukoudian (formerly Choukoutien), China, and the 75th anniversary of the discovery of the skull of the Taung Child at Taung quarry in the Northern Cape Province, South Africa. It is, therefore, appropriate to celebrate these two historic events and to commemorate the two great men closely associated with them. Raymond Dart and Davidson Black were these fossils’ respective champions. Early in 1925 Dart named a new genus and species Australopithecus africanus based on the remains of a child's skull and a natural endocast of it found in 1924 at the Taung quarry site, Kimberley (now in Northern Cape Province), South Africa[1].Black recognized a new genus and species Sinanthropus pekinensis based on a single tooth found in 1927 at Zhoukoudian, 50 km southwest of Beijing (then Peking), China, in late 192.[2]. Both men were convinced that they had found the "missing link". Despite quick criticism for their rash proclamations, they eventually gained universal acceptance. Today, Australopithecus and Chinese Homo erectus (Peking Man has been taxonomically subsumed into H. erectus since the 1950s) are firmly established in our evolutionary prehistory. The personal stories of Black and Dart reflect an evolution and revolution in our historical understanding of and the research into human evolution. In addition to their scientific contributions, there are many historical parallels in their background and training. In this paper, we compare the life histories of Black and Dart as we trace their steps on the road to greatness and disclose details on their historical and professional relationship which in turn, linked Chinese and South African palaeo-anthropology during one of their most seminal periods. Biography: Phillip V. TOBIAS, Professor Emeritus, FRS, NAS, FRCP and Director of the Sterkfontein Research Unit, specialised in paleoanthropology and human biology.

ACTA ANTHROPOLOGICA SINICA

300

2

Supplement to Vol. 19, 2000

Similar life histories: Davidson Black and Raymond Dart

Here is a table showing the similarities of Black’s and Dart’s educational and professional educational and professional tracks. Davidson Black (1884-1934)

Raymond Dart (1893-1988)

1884,July 25: Born in Toronto, Ontario, Canada

1893, February 4: Born in Toowong, Brisbane, Australia

1906: Bachelor of Medicine, University of Toronto

1915: Master of Science (Biology), University of Queensland

1911: Bachelor of Arts, University of Toronto

1917: Medical degree, University of Sydney 1909-1917: Taught Anatomy at Western Reserve University, Cleveland, Ohio

1914?-1917:Taught Biology and Anatomy at University of Sydney

1914: studied under Grafton Elliot Smith in Manchester, also under Ariens Kappers at Dutch Central Institute for Brain Research in Amsterdam

*1919-1920,1921-1922:Studied under and worked with Grafton Elliot Smith in London

1917: served as Captain in the Canadian Army Medical Corps in World War I

1917-1919: Served as Captain in the Australian Army Medical Corps in World War I

1919: Transferred to Beijing (then Peking), China as a Professor of Neuroanatomy and Embryology at the Peking Union Medical College, Peking

1923: Transferred to Johannesburg, South Africa and took up position as Professor and Head of Department of Anatomy at University of the Witwatersrand

1921: Promoted to Head of PUMC Department of Anatomy 1922-1934: Professor of Anatomy

1923-1958:Professor of Anatomy

1927: Named Sinanthropus pekinensis

1925: Named Australopithecus africanus

1928: European and North American tour with the tooth on which his interpretation was based, and met acceptance

1931: Came to London to defend the Taung Child, and met frustration

1929: Vindicated by the arrival of first Peking Man skullcap found by Pei Wenchung on December 2, 1929

1936:Vindicated by first adult skull of Australopithecus africanus at Sterkfontein cave found by Robert Broom 1950s: Nearly Australopithecus

universal

acceptance

of

1932: Elected Fellow of the Royal Society of London

*1930: Elected Fellow of the Royal Society of South Africa

1934:Abrupt demise in his PUMC office on 15 March at age 49

1988: Demise in Sandton, Johannesburg on 22 November, at age 95

Clearly, there are some strong historic parallels between the life histories of Black and Dart. To begin, both men were native to a country under the flag of the British Commonwealth of Nations, Black from Canada, Dart Australia. Their similar educational training focussed on Medicine and Anatomy and served them well during their World War I medical exploits in Europe. Both men worked under Elliot Smith's tutelage, and kept that personal and professional association throughout their careers. Above all, Raymond Dart and Davidson Black persistently defended their interpretations of what they were convinced was the "missing link," eventually gaining universal acceptance for their strong beliefs. Today, both men are memorialised in the Pantheon of Palaeoanthropology.

TOBIAS et al.: Davidson Black and Raymond A. Dart: Asia-African Parallels in Palaeo-Anthropology

3

301

Right men in the right place at the right time

No one, including Black and Dart, is born a palaeo-anthropologist. This specialisation comes from years of building skills and a knowledge base from different disciplines, including Anatomy, Biology, Evolutionary Biology etc. Such a broad background constitutes a fundamental and indispensable part of what makes a palaeo-anthropologist. Black received a Bachelor of Medicine Degree(MB) in 1906 and a Bachelor of Arts Degree(BA) in 1911 from the University of Toronto. Dart, following the reverse order of education, acquired his Master of Science Degree in Biology in 1915 from the University of Queensland, and his degree in Medicine in 1917 from the University of Sydney. With their degrees in Medicine, Black and Dart applied their anatomical training to palaeoanthropological issues, particularly the description of Sinanthropus and Australopithecus, respectively. In the palaeo-anthropological realm, an international reputation and, indeed, world fame may sometimes rest on a single momentous discovery. On the other hand, It may take a series of lifelong achievements to complete a distinguished record and global recognition, even through no individual breakthrough has been included. The contributions of Black and Dart belong to the first category. However, it must be made clear that the discoveries on which Black and Dart constructed their interpretations were not performed solely by themselves. They did not do field-work, and the particular fossils with which their names are associated were found by other people. The discovery of the Taung Child is a chain of discovery, many people, including Josephine Salmon (student demonstrator of Anatomy in the Department of Anatomy at the University of the Witwatersrand), M. de Bruyn (a limeworker at the Buxton Limeworks, Taung), and Robert Burns Young (Professor of Geology in the University of the Witwatersrand), being involved in it [3]. The first two tooth fossils of Peking Man were collected by Otto Zdansky in 1921 and 1923, and the third tooth (molar) found in situ at Zhoukoudian was attributed to field supervisor Birgir Bohlin [2]. On December 2, 1929, field supervisor, Pei Wenchung found the most spectacular and definitive of the fossils from Zhoukoudian site – a complete skullcap of Peking Man [4]. It was the shared contributions of all of these individuals which helped to support the bold statements of Black and Dart. When we consider the taphonomic and preservational biases affecting fossils, the finding of fossils, particularly human ones, is a rather rare event; only a few dozen people have enjoyed this so-called "Leakey's Luck". Black and Dart did not suffer what their predecessor, Eugene Dubois, did during his excavation programme along Indonesian river terraces some 30 years previously. Louis and Mary Leakey, too, spent several decades on painstaking excavation in Kenya and northern Tanzania before the skull of Australopithecus (Zinjanthropus) boisei came to light. Although Black and Dart were lucky in term of the acquisition of fossils, their insights and interpretations of the fossils sent to them, in some sense, made them memorialised as “discoverers”. Black’s knowledge of Anatomy made him a natural choice for the identification and description of modern and fossil human remains found around Peking. Just as Shapiro once stated, “His outstanding knowledge of dental anatomy that enabled him to evaluate with precision the significance of the first two dental fossils was not a matter of chance”[5]. In fact, there was no other scholar in Peking better qualified in Anatomy, and certainly no one more eager than Davidson Black to participate in the study of ancient human remains. A well-known fact is that Black, like the other formidable anthropologists in Europe and North America, fervently believed that Asia was the cradle of humankind. It was this belief that catalysed his decision to take the position in Beijing. For Davidson Black the discovery of Peking Man, with only three teeth at first, and its follow-up, was to be the fulfilment of many years of scholarly preparation and research. Dart, too, although he did not initially and fervently display any thrust towards anthropology, had a rich knowledge of human anatomy, and especially of human brains. As a result of this specialisation, Dart was exceptionally well equipped to recognise the significance of the Taung Child. As Elliot Smith wrote in 1925 (quoted by Dart and Craig[6]), "It was a happy circumstance that such a specimen (Taung Child) fell into his hands, because he is one of, at the most, three or

ACTA ANTHROPOLOGICA SINICA

302

Supplement to Vol. 19, 2000

four men in the world who have had experience of investigating such material and appreciating its real meaning." The educational training and professional experience were powerful influences in these men’s anthropological contributions, but it was their strong will in the face of severe criticism and sometime scorn, which really showed their persistence in their beliefs. Their original interpretations were followed by initial denial and skepticism, later a lengthy period of painstaking defence, leading eventually to vindication [3, 5-7]. Black waited two years for Sinanthropus pekinensis to be accepted; Dart, nearly thirty years. Their stories are so well-known enough not to require a detailed overview, suffice it to say that if Dart had been only content to see the Taung Child as nothing more than signs of the southerly spread of the African great apes, and if Black had only classified the Zhoukoudian tooth in the category of Homo, they would have been in a comfortable situation, but who knows how long Taung Child and Peking Man might have lain unappreciated and underestimated? In short, they were the right men in the right place at the right time in terms of their scholarly backgrounds, critical and analytical minds, fearless spirits and strong persistence. One could say that, despite the field contributions of the individuals who were directly responsible for the fossil finds, Black and Dart were the decisive discoverers of the Peking Man and the Taung Child. They embodied the essence of shared scientific spirit across international boundaries, and by doing so they helped to establish palaeo-anthropology as a mature science.

4

Sir Grafton Elliot Smith: the source of enthusiasm

As mentioned in the table above, both Black and Dart once studied or worked with Sir Grafton Elliot Smith, Black in Manchester, before World War I, and Dart, in London, after the War. Elliot Smith was one of the greatest anatomists and anthropologists of his time. Although many of his anthropological views were later dismissed, his anthropological research had a permanent and individual influence on Black and Dart. In fact, Black’s transition to human evolution away from his academic training in anatomy, especially neuro-anatomy, was triggered by Elliot Smith. In 1914, on a six-months sabbatical leave from Western Reserve University in Cleveland, Black worked in Elliot Smith’s research Laboratory at the University of Manchester in England. His aim was to conduct neurological studies, but as Smith was deeply involved in the analysis and casting of the Piltdown skull, Black's interest readily turned to anthropology. In an obituary to Davidson Black, Elliot Smith wrote, “ This work aroused a much greater interest in Dr. Davidson Black than the brains of the Dipnoi (lung fish) in which I was trying to engage his interest, and he at once made himself familiar with all of the materials I had collected, and informed me that that was the kind of work to which he was determined to devote his life. ”[8]. In June 1914, Black even spent a day at the Piltdown site and found a rhinoceros tooth! By the next decade, he would have travelled and settled in China where he was to be responsible for the discovery of the Peking Man. It is safe to say that, Black’s outstanding contributions to palaeoanthropology might never have been made if he had not come under the influence of Elliot Smith at that time[9]. So, was it for Raymond Dart. After World War I in 1919, then Professor Elliot Smith moved to University College, London, where he appointed Raymond Dart to a senior demonstrator position in the Department of Anatomy, while he was still engaged in the problem of the Piltdown reconstruction. Dart had been recently demobilised from war activities. Joseph Shellshear, a friend of both Black and Dart, also entered the department at University College and was later sent to Hong Kong by Elliot Smith to study Chinese brain anatomy. Yet, anthropology was not Dart’s first interest; it only appeared in 1922, as Dart stated in his autobiography, “Adventures with the Missing Link”: “My last year at University College had been even happier than the previous ones, for I had found an exciting new interest- Anthropology. Whenever I was free, I worked my way through the great comparative collections in the museum of the Royal College of Surgeons. Elliot Smith was reconstructing the Piltdown skull and I had

TOBIAS et al.: Davidson Black and Raymond A. Dart: Asia-African Parallels in Palaeo-Anthropology

303

gradually been drawn into this branch of my chief’s interest” [6]. Speaking of early days in Johannesburg, Dart stated, “but I was unhappy in the first eighteen months (after arrival in Johannesburg). The abysmal lack of equipment and literature forced me to develop an interest in other objects, particularly anthropology, the one for which Elliot Smith had fired my enthusiasm.” Dart’s decision to accept the chair of anatomy at the University of the Witwatersrand was due largely to Elliot Smith’s persuasion. So it is possible to say that Elliot Smith sent Raymond Dart to Johannesburg later to discover the Taung skull, Australopithecus [3]. What a coincidence! Both men absorbed their enthusiasm for Anthropology from Elliot Smith. It is therefore proper to say that Chinese and South African palaeo-anthropology shares the same root, a source linked to the Piltdown forgery, a unique contribution from this infamous hoax. It is interesting to note that, although Elliot Smith “trained” Black and Dart, his reaction to their respective fossil discovery claims was very different. He supported Black’s interpretation of the Chinese hominid immediately, but questioned Dart’s analysis of Australopithecus. Sir Arthur Keith was also a fervent opponent of Dart’s assertion. Together with Keith, Elliot Smith was instrumental in getting Black his Fellowship of The Royal Society of London. Black was described with great praise by Elliot Smith who wrote his obituary [8]. Dart, however, was not elected an F.R.S. (London) despite the endeavours of the first author of this paper (P.V.T.) to achieve this. Dart’s obituary was written by Tobias [10]. Both obituaries appeared in Nature. It is ironic that, even though Elliot Smith did not apparently accept Dart’s evidence for Australopithecus, he still bequeathed his academic library to Raymond Dart.

5

Relationships between Davidson Black and Raymond Dart

There is no definitive published evidence that Davidson Black and Raymond Dart ever met, and yet their historical link to Elliot Smith and Shellshear and especially, their common enthusiasm for prehistoric humans would naturally have established a professional relationship. Two letters written by Black, based at Peking Union Medical College, to Dart at the University of the Witwatersrand have recently been found in the archives of the University of the Witwatersrand. These pieces of correspondence strongly indicate a professional association. In the first letter dated on 19 March 1925, Black wrote: “I have been as you may imagine tremendously interested in the press reports of your find in the Rand area of the fossil which I understand is to be known as Australopithecus africanus. So far I have been unable to obtain any news other than very much garbled press reports and I am wondering if you would be good enough to let me have more accurate information on this fossil. Also if you are making casts may I have the privilege of purchasing one for my department?” Black’s second letter of 27 July 1925 shows that he, in fact, did receive Dart’s Nature paper on Australopithecus. This albeit brief correspondence shows Black’s attention to Dart’s discovery of the Taung Child. Details of Dart’s earliest reaction to the Peking Man discoveries is as yet unknown. Davidson Black never mentioned Raymond Dart in his scientific writings, whereas Dart mentioned Black's research on Sinanthropus on many occasions [6]. In fact, it would be difficult to relate the early history of Australopithecus, without mentioning Peking Man, for the latter once historically eclipsed the former. The immediate acceptance of Peking Man and deterrents to the acceptance of the Taung Child were predictable on the accepted wisdom of the day (of course in the hands of only a small number of authorities); for it was believed that it was – after all - Asia, not Africa, which had cradled humankind. The discovery of Peking Man fitted this mode much more readily than the new discovery in sub-Saharan Africa. Therefore, Black succeeded in convincing the authorities both in Europe led by Keith and Elliot Smith and in North America led by Ales Hrdlicka. However, these scholars opposed Dart’s interpretations. So it was the discovery of Peking Man that was timely; the Taung skull, however, was a classic “premature discovery”[3]. Dart travelled to London in February 1931 with the Taung specimen (original cranium, mandible and natural endocast). He recalled; “On arrival in London, I had immediately got in touch with Elliot Smith, Keith and Smith Woodward. They were all friendly and hospitable but were

ACTA ANTHROPOLOGICA SINICA

304

Supplement to Vol. 19, 2000

much more interested in telling me about the recently discovered Peking Man remains than in listening to my story. Elliot Smith had a particular interest in Davidson Black's discovery, for in the previous August he had visited the Zhoukoudian site at the invitation of the Rockefeller Foundation” [6]. Dart's London address on Taung was totally frustrating because of Elliot Smith's skilful presentation at the same meeting on the Peking Man finds. In fact, Elliot Smith also discouraged Dart’s preparation of a descriptive monograph on the Taung Child [6].

6

Different Ends

Though there are strong similarities in their personal histories, the lives of Black and Dart are distinctly different. Although the world was startled with the Peking Man finds two years later (1927) than Dart’s Australopithecus (1925), Black climbed the international ladder of prestige much sooner. He received among his top honours the coveted Fellowship of the Royal Society (London) in 1932. Yet, he was unable to complete the extensive descriptive research he began on Sinanthropus. On 15 March 1934, he collapsed and died in his laboratory at the Peking Union Medical College. He was only 49 years of age, the same age as his father when he died. This abrupt end to Black's life dealt a tragic blow to his research programme, and an ominous end to the Peking Man fossils, for in 1941, the fossils that Black was responsible for describing and analysing disappeared at the height of the Japanese occupation of Peking. This tragedy became personal, for his own grave was lost in the 1950s during renovations and expansion of the Beijing City limits. Eventually, Sinanthropus pekinensis was sunk taxonomically into the genus "Homo" and the species "erectus" [11]. The man eventually chosen to succeed Black at the college was the German anatomist and anthropologist, Franz Weidenreich. His comprehensive work and monographs on the Peking Man fossils and his production of casts together with Black’s contributions became particularly valuable especially after the loss of the original Peking Man fossils[12]. Black's name is scientifically memorialised by the species name of the enigmatic fossil ape, Gigantopithecus blacki [13], a giant primate which was claimed to be ancestral to hominids according to Weidenreich[14]. It is interesting to note that Dart once discussed this ape’s phylogenetic position in the human tree [15]. Black was born nine years before Dart, who lived almost fifty years beyond the former. Dart enjoyed a long life, and although he failed to get initial enthusiastic support from his colleagues, he was indeed accepted in South Africa as a major force in anthropology. In 1930, he was elected as a Fellow of the Royal Society of South Africa. Robert Broom’s discovery of adult specimens of Australopithecus at Sterkforntein (from 1936 onward) and Kromdraai (1938) made scientific circles think more seriously about the status of Australopithecus [3]. In 1950s, after the exposure of the Piltdown forgery, Australopithecus was finally universally accepted as an important and significant basal small-brained hominid [3]. Dart was honoured with various awards, and his stand on Australopithecus was fully vindicated. He died in Sandton, Johannesburg on 22 November 1988, at age of 95.

7

Hometowns: Peking Man and the Taung Child

Australopithecus and Sinanthropus expanded our understanding of human prehistory as individual fossil discoveries, but also gave notice of the potential wealth of anthropological information in South Africa and China. The fundamental significance of these fossils in the human phylogenetic tree is universally accepted today. In 1990, Zhoukoudian, the site of Sinanthropus was given the honour of being a UNESCO World Heritage Site. In 1999, Sterkfontein, the major site of Australopithecus africanus, together with those in its vicinity (Swartkrans, Kromdraai etc.) were also given UNESCO World Heritage Site status. (Taung, however, surprisingly, has yielded no more Australopithecus fossils till present, despite excavations by Peabody half a century ago and by McKee, Tobias and Toussaint in the 1980s and 1990s). The status of World Heritage Site identifies localities of unique natural or cultural beauty and outstanding scientific significance.

TOBIAS et al.: Davidson Black and Raymond A. Dart: Asia-African Parallels in Palaeo-Anthropology

305

Since the initial work at Zhoukoudian began in 1921, there have been found in China nearly 70 palaeo-anthropological sites yielding hominid fossils and over one thousand archaeological sites yielding stone tools[16]. The Cenozoic Research Laboratory which Davidson Black and Wong Wenhao, then Director of the Geological Survey of China, helped to create is today recognized as the central agency for human evolutionary studies in China, now called the Institute of Vertebrate Paleontology and Paleoanthropology (IVPP). Since the initial finds at the Taung quarry in 1924, nine sites have yielded australopithecine fossils, while there are numerous later hominid fossil sites and hundreds of archaeological sites[17]. In 1998, an australopithecine skeleton dated to 3.33 million years old was found at Sterkfontein [18].Dart and his successor, Tobias, have jointly turned the Department of Anatomical Sciences at the University of the Witwatersrand Medical School into one of the major palaeo-anthropological research organisations in the world. Discoveries and research continue. China has become a centre for research into Homo erectus and its transition into modern humans, as well as the home of Gigantopithecus. South Africa has become a centre for research into Australopithecus and early species of Homo. In the 1990s, reciprocal visits between leading scholars in these two countries, Phillip Tobias of South Africa and Wu Rukang and Wu Xinzhi of China, helped to cultivate closer links between these two palaeoanthropological provinces. Acknowledgements: We sincerely thank Professor Wu Xinzhi for reviewing this article. PVT is grateful to the PAST Fund, the Department of Arts, Culture, Science and Technology of the South African Government and the Department of Anatomical Sciences of the University of the Witwatersrand, Johannesburg. WQ thanks the National Research Foundation of South Africa(NRF) for providing a Postdoctoral Fellowship in the Department of Anatomical Sciences at the University of the Witwatersrand under the sponsorship of the first author (PVT), which has made it is possible for him to experience exciting communication between China and South Africa, of which this article is a result. JLC would like to acknowledge the continued support of the Black Family who have allowed access to personal family archives. She would also like to acknowledge the Rockefeller Archive Centre, the University of Toronto, and her colleague, M. Laframboise. We thank the archives of the University of the Witwatersrand. We also thank Mrs. Heather White. References: [1] DART RA. Australopithecus africanus, the man-ape of South Africa [J]. Nature, 1925,115:195-199. [2] BLACK D. On a lower molar hominid tooth from the Chou Kou Tien deposit [M]. Paleontol Sin, Ser D,1927, 7(1). [3] TOBIAS PV. Dart, Taung and the “Missing Link” [M]. Johannesburg: Witwatersrand University Press for the Institute for Study of the Man in Africa, 1984. [4] PEI WC. An account of the discovery of an adult Sinanthropus skull in the Chou-K’ou-Tien deposit [J]. Geol Soc China Bull, 1929, 8:203-250. [5] SHAPIRO HL. Peking Man [M]. New York: Simon and Schuster, 1974. [6] DART RA, CRAIG D. Adventures with the Missing Link [M]. London: Hamish Hamilton, 1959. [7] HOOD D. Davidson Black,a biography [M]. Toronto: University of Toronto Press, 1964. [8] SMITH GE. Obituary: Prof. Davidson Black, FRS [J]. Nature, 1934, 133:521-522. [9] STOPFORD JSB. The Manchester period [A]. Grafton Elliot Smith,a Biographical Record by his Colleagues, London: Jonathan Cape, 1938:151-165. [10] TOBIAS P V. Raymond Arthur Dart (1893-1988) [J]. Nature, 1989, 337:211. [11] MAYR E. Taxonomic categories in fossil hominids [A]. In: Cold Spring Harbor Symposia on Quantitative Biology , 1951, 15:109-108. [12] WEIDENREICH F. The Skull of Sinanthropus pekinensis: a Comparative Study on a Primitive Hominid Skull [M]. Paleontol Sin, N Ser D, 10,1943. [13] VON KOENIGSWALD GHR. Eine fossile Saugetierfauna mit Simia aus Sudchina [J]. Proceedings Koninklijke Akademie van Wetenschappen, Amsterdam, 1935, 38: 872-879. [14] WEIDENREICH F. Apes, Giants and Men [M]. Chicago: University of Chicago Press, 1964.

306

ACTA ANTHROPOLOGICA SINICA

Supplement to Vol. 19, 2000

[15] DART RA. The status of Gigantopithecus [J]. Anthropol Anz, 1960, 24:139-145. [16] WU X, POIRIER FE. Human Evolution in China – A Morphometric Description of Fossils and Review of Sites [M]. New York: Oxford University Press, 1995. [17] TOBIAS PV, BAKER G. Palaeo-anthropology in South Africa [J]. South African Journal of Science, 1994, 90:203-204. [18] CLARKE RJ. First ever discovery of a well-preserved skull and associated skeleton of Australopithecus [J], S Afr J Sci, 1998, 94:460-463.

Author Index AZIZ F

34, 46

OTTE M

BABA H 34, 46 BAKKEN DA 126 BAR-YOSEF O 218 BELTR ÃO MCMC 148 BOAZ NT 224

PEREZ RAR 148 PONCE de LE ÓN MS

FAN X-z FENG X-w

SAANANE CB 52 SCHEPARTZ LA 126 SCHWARTZ JH 18 SEIDLER H 52 SHEN C 119 SHEN G-j 279 SODA T 285 SU P 270 SUDIJONO 46 SUGIYMA S 285 SUPRIJO A 46 SUSANTO EE 46

69

270 194

GAO X 156 GOLDBERG P 218 GRIMAUD-HERVE D

41

HAN L-g 235 HUANG W-w 104 HYODO M 46 JACOB T JIN C-z

TARUNO H 264 TATTERSALL 18 THIEME H 140 TOBIAS PV 23, 299 TONG H-w 246, 257

41, 46 235, 246

KAIFU Y 46 KAWAMURA Y KERVILER E de KIM J 52

WANG F-z 235 WANG J-q 279 WANG Q 1, 23, 299 WEBER GW 52 WEI G-b 235 WEINER S 218 WIDIANTO H 41 WU X-z i

264 69

LI C 194 LI Y 83 LIU C 270 LIU J-y 218, 224, 235, 246 LIU T-s 1 L ØVLIE R 270 LU Q-w 77 MAGORI CC 52 MARTIN JP 69 MATSUFUJI K 166 MEIGNEN L 170 MILLER-ANTONIO S MOIGNE AM 257 NARASAKI S NESPOULET R NEUMAIER A

90

RAY R 132 RECHEIS W 52 ROCHE H 98 ROLLAND N 209 ROSAS R 8 ROWLETT RM 198

CHEN C 119 CIOCHON RL 224 COPPENS Y ii CORMACK JL 292, 299 DAMBRICOURT MALASSE A DELAGNES A 181 DETROIT F 62 DONG W 235, 246

115

XU Q-q XU X-h YU J-c

218, 224, 235, 246 77 194

ZHAO L-x 77 ZHAO Z-j 270 ZHENG J-j 235 ZHENG L-t 235, 246 ZOLLIKOFER CPE 90

126

34, 46 189 52

307

Loading...

Proceedings of 1999 Beijing International Symposium on

ISSN 1000-3193 CODEN REXUEM ACTA ANTHROPOLOGICA SINICA Supplement to Volume 19 Proceedings of 1999 Beijing International Symposium on Paleoanthropo...

6MB Sizes 0 Downloads 0 Views

Recommend Documents

Symposium proceedings - XV International symposium Symorg 2016:
FREEMIUM-BASED REVENUE MODEL As shown in previous chapter, telecommunication companies successfully adapted segments of

PROCEEDINGS OF THE FIRST INTERNATIONAL SYMPOSIUM OF
China. Rachman O, Hadjib N, Balfas J Diversifikasi bahan baku dan produk industri pengolahan kayu. Makalah Seminar Hasil

Proceedings of the International Symposium on Adaptive Motion of
Aug 8, 2000 - We are expecting active discussion in related sessions. In addition, it is ...... SCM. Y. X. Forward. Figu

Proceedings of the International Symposium on - Graduate School of
Paper presented in Seminar on Tropical Peat Swamp Forest,. Bogor 12 Februari 1999. Puslitbang Biologi-LIPI. Hartoto, D.

Proceedings of the International Symposium on - Graduate School of
Abstract. The role of peat forest on the paddy fields within the Banjarese Traditional Land. Management system was studi

PROCEEDINGS THE FIFTH INTERNATIONAL SYMPOSIUM OF
A Review: Screening of Potency Akar Kuning Stem (Fibrauerea tinctoria Lour) ...... Komponen Kimia dan Anatomi Tiga Jenis

Proceedings of the 11th International Symposium
Oct 13, 2017 - Institute for Animal Husbandry, Autoput 16, P. Box 23, 11080 Belgrade-Zemun, Republic of Serbia. Tel. 381

Proceedings of International Symposium on Soil Management for
Aug 28, 2017 - Martayesa (2005) Pengakajian pengaruh kegiatan penambangan batu bintang ...... This study examined the re

Proceedings of the 1st International Symposium on Open Educational
as a second language (translation) of content in the native tongue (Pimienta et al., 2009). ... does not surpass the 5T

Proceedings of the International Symposium on Monolingual - ISMBS
Japanese pitch accent in an English/Nupe/Hausa trilingual ..... Non-arbitrary words can be onomatopoeic, sound symbolic