Escolar Documentos
Profissional Documentos
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Ervan Garrison
Techniques
in Archaeological
Geology
Second Edition
Natural Science in Archaeology
Series editors
Günther A. Wagner
Christopher E. Miller
Holger Schutkowski
More information about this series at http://www.springer.com/series/3703
Ervan Garrison
Techniques in
Archaeological Geology
Second Edition
Ervan Garrison
Department of Geology, University of Georgia
Athens, Georgia, USA
ISSN 1613-9712
Natural Science in Archaeology
ISBN 978-3-319-30230-0 ISBN 978-3-319-30232-4 (eBook)
DOI 10.1007/978-3-319-30232-4
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1 Organization of This Book . . . . . . . . . . . . . . . . . . . . . . 6
2 The Geomorphological and Geological Context . . . . . . . . . . . 11
2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
2.2 Landscapes and People . . . . . . . . . . . . . . . . . . . . . . . . 11
2.3 Geomorphic Concepts . . . . . . . . . . . . . . . . . . . . . . . . . 13
2.4 Geomorphic Setting . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
2.4.1 Fluvial Landforms . . . . . . . . . . . . . . . . . . . . . . 15
2.4.2 Coastal Landforms . . . . . . . . . . . . . . . . . . . . . 17
2.4.3 Submerged Landforms . . . . . . . . . . . . . . . . . . 19
2.4.4 Mountain and Glacial Landforms . . . . . . . . . . . 22
2.4.5 Ice Patches . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
2.4.6 Lacustrine Landforms . . . . . . . . . . . . . . . . . . . 28
2.4.7 Loessic and Glacial Landscapes: Midwestern
United States . . . . . . . . . . . . . . . . . . . . . . . . . 30
2.4.8 Desert/Arid Landforms . . . . . . . . . . . . . . . . . . 33
2.4.9 The Sahara: Geoarchaeology of Paleolakes and
Paleoclimate . . . . . . . . . . . . . . . . . . . . . . . . . . 33
2.4.10 Karst/Cave Landforms . . . . . . . . . . . . . . . . . . . 36
2.4.11 Combe Grenal . . . . . . . . . . . . . . . . . . . . . . . . 37
2.4.12 Volcanic Landforms . . . . . . . . . . . . . . . . . . . . 40
2.5 Earthquakes: Volcanic or Otherwise . . . . . . . . . . . . . . . 42
2.6 Mapping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
2.7 Map Scale . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
2.8 Data Sources for Mapping . . . . . . . . . . . . . . . . . . . . . . 46
2.9 LiDAR . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
2.10 Structure from Motion (SfM) . . . . . . . . . . . . . . . . . . . . 48
2.11 Drones . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
2.12 Making the Map: ArcGIS to Google Earth . . . . . . . . . . 50
2.13 Other Types of Maps . . . . . . . . . . . . . . . . . . . . . . . . . . 52
3 Sediments, Soils, and Stratigraphy in Archaeological
Geology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
3.2 A Brief Review of Sediments and Soils . . . . . . . . . . . . . 56
vii
viii Contents
Fig. 2.1 Map of nearly 200 springs around Menngen Station (in red),
Northern Territory, Australia (Map drawn by Senior Elder
Yidumduma Bill Harney in 2010)
Fig. 2.2 Variety of fluvial terraces, paired and unpaired, created by ero-
sional and depositional cycles
Fig. 2.3 The Hjulstrom diagram. Flow velocity is juxtaposed to sediment
size to indicate “transport” (suspension) versus “sedimentation”
(deposition) for various sediment grain sizes
Fig. 2.4 Jekyll Island, Georgia, with overlay of a paleochannel or “Old
Channel” of the Brunswick River, occupied, in part, by Jekyll
Creek, today (Chowns et al. 2008, Fig. 9)
Fig. 2.5 Present-day view of Jekyll Creek looking eastward from the “Old
Channel” or “paleochannel” of the Brunswick River toward the
“Pleistocene core” per Chowns et al. (2008) (cf. Fig. 2.4).
Modern oyster reefs line the shoreline (Photograph by the
author)
Fig. 2.6 (L) Illustration of the English Channel River (Redrawn from
Osburn 1916, Fig. 26); (R) early Holocene Doggerland (Redrawn
from Coles 1998)
Fig. 2.7 Lower. Maxilla of adult male mammoth dredged from the North
Sea off the Netherlands (Photograph by author)
Fig. 2.8 Paleochannels of the “Transect River,” Georgia Bight, Atlantic
Ocean, offshore South Carolina (see inset, lower left), as imaged
using multibeam sonar data (Stubbs et al. 2007; Harris et al.
2013). Inset, upper right, shows incision of the paleochannel
into Pliocene lithology
Fig. 2.9 (a) Shaded map showing the AD 563 turbidite deposits
(“déplacements des sediments,” in red) and the supposed propa-
gation of the tsunami (“raz-de-marée,” blue arcs) (Source. 24
Heures, Lausanne, March 8, 2011). (b) Shaded relief map (DEM)
(Swiss Federal Office of Topography) of the Lake Geneva. Water
depths are indicated by bathymetric contour lines (meters). The
563 AD turbidite is color shaded (orange-blue) as to extent and
sediment thickness (meters). Vessel tracks for seismic lines are
indicated. Sediment core locations are indicated by black
xiii
xiv List of Figures
Fig. 5.12 Study area, in red, for the Sabine River paleovalley study, north-
ern Gulf of Mexico, USA
Fig. 5.13 Acoustical profile and schematic view of sonar images produced
by an acoustic sub-bottom profiler of a drowned paleochannel in
15 m water depth in the Gulf of Mexico. Sediment vibracore
locations (Fig. 9.14) are indicated. This ancient estuary is
illustrated its drowning at transgression ca. 6000 BC (Pearson
et al. 2008)
Fig. 5.14 Left, sampling the drowned Sabine estuary shown in Fig. 9.13
with a vibracore; right, analyzing the sediments in a vibracore
taken from the estuary (Pearson et al. 2008)
Fig. 6.1 Ancient and historic jewelry (Source: National Geographic
Magazine). 1 Pendant of perforated shell ca.1000 BC; Syria.
2 Seal, shell, 7000–4000 BC; Syria. 3 Tubular bead, bone,
3000 BC; Syria. 4 Eye pendant, glass, 2000 BC; Egypt. 5 Pen-
dant, glass, at least exterior; 600 BC; Punic-Phoenician? 6 Object
made of carnelian, 600 AD; Central Asia. 7 “Bat wing” object—
“parietal”? Jasper; Mesoamerica. 8 Bead, lapis lazuli, 1000 AD;
West Asia. 9 Object fashioned from fossilized shell, 1000 AD;
West Asia. 10 Incised disk, shell, 1900 AD; Mauritania. 11 Kiffa
bead, powdered glass, 1930 AD; Mauritania. 12 Glass art
depicting Marilyn Monroe, 2004; USA
Fig. 6.2 Dimension stone. Middle Jurassic sandstones. Dun Beag Broch,
west coast of the Isle of Skye, Scotland. Historic Scotland
Fig. 6.3 The rock cycle
Fig. 6.4 Ternary diagram using Folk’s sandstone classification (1948,
1980) (Reproduced from Zahid and Barbeau (2011)). Arenitic,
arkosic, and lithic categories are subdivided according to the
percentage of each within the diagram. Subcategories, such as
lithic arkose and feldspathic litharenite, are illustrated following
a 75–50–25 % breakdown
Fig. 6.5 Sandstone Pictish standing stone. Perthshire, Scotland. So-called
Class 1 Stone by virtue of only “pagan” Pictish symbols used in
its decoration (Photograph by author)
Fig. 6.6 Two thin-section views of arenitic sandstones. Left, XPL
showing undulatory extinction of the quartz grains (black
grains). Crystals of sparite cement are clearly seen along the
edges of holes (blue voids) in the thin section. The quartz grains
show shattering due to sawing. Right, XPL image showing
“twinning” of feldspar grains (Left image by author, right
image courtesy the University of North Carolina-Chapel Hill)
Fig. 6.7 Neolithic Period stelae carved from sandstone, from
the megalithic site of Petit-Chasseur, Sion, Valais, Switzerland
(Musée d’histoire du Valais, Sion, photograph by R. Hofer)
Fig. 6.8 Rear, a siltstone, green “molasse” dimension stone; foreground, a
“grès coquille” or bioclastic limestone (Photograph by the
author)
List of Figures xix
Fig. 6.23 Menhir carved from schist discovered in the Canton of Neuchâtel,
in 1997, during excavations along the then proposed autoroute A5,
in the vicinity of the village of Bevaix. The stone is clearly carved
as stelae and is dated to the Neolithic Period, ca. 5000 BP. The
height is 3.2 m and the weight is 2,800 kg. On exhibit, Latenium
Museum, Neuchȃtel, Switzerland (Photograph by the author)
Fig. 7.1 Weathering of silicate minerals (After Horger 2000). Granites
gneisses of the Appalachians produce kaolinite with gabbros
yielding smectite and olivine-rich rocks yielding montmorillon-
ite via the mechanisms illustrated below
Fig. 7.2 The silica and alumina tetrahedral/octahedral units
Fig. 7.3 Closed kiln
Fig. 7.4 Phase changes in pottery
Fig. 7.5 Forming the “wet” pot. Note appliqué
Fig. 7.6 Modern Navaho pottery (Photograph by Robert Hill)
Fig. 7.7 Two thin sections of late prehistoric earthenwares, Georgia,
USA. In the left, firing differences—black indicating reducing
conditions and red-brown, oxidizing. Such differences are not
unusual for pit kiln-fired wares. The thin section on the right
illustrates more uniform firing conditions as well as a more
uniform grain-temper sizes. The temper in both is primarily
quartz-dominated medium sand. Both photomicrographs were
in PPL (Courtesy of Mark Williams)
Fig. 7.8 Sandhills regions, North Carolina. Clay sample locations are
marked (Fig. 7.3, p. 34, Herbert and McReynolds 2008)
Fig. 7.9 Various pottery shards from the Sandhills regions. Pottery
samples from the Kolb site (38 Da75): (a) JMH051, Yadkin
Fabric Impressed; (b) JMH052, Yadkin/Hanover Fabric
Impressed; (c) JMH053, Yadkin/Hanover Cord Marked; (d)
JMH054, New River Cord Marked; (e) JMH055, Yadkin Cord
Marked; (f) JMH056, New River Fabric Impressed (flex warp);
(g) JMH057, New River Cord Marked; (h) JMH058, Cape Fear
Fabric Impressed; (i) JMH059, Cape Fear Fabric Impressed; (j)
JMH060, Hanover I Fabric Impressed (Fig. 7.8, p. 28, Herbert
and McReynolds 2008)
Fig. 7.10 Ternary plots of Sandhills’ clay groups (Fig. 7.2, p. 117, Herbert
and McReynolds 2008)
Fig. 7.11 The total ion chromatogram (TIC) of maize lipids. This shows
primarily the plant and/or fish fatty acid ratio (more unsaturated
C18:1 than saturated C16:0), plant biomarkers (sitosterol), and
acylglycerols. Triacylglycerols are referred to as TAGs,
diacylglycerols as DAGs, and monoacylglycerols as MAGs
(Reproduced from Reber and Evershed 2004, Fig. 7.1)
Fig. 8.1 Schematic of X-ray diffraction. The diffractometer measures the
“d-spacing” between the crystal planes following Bragg’s Law, n
λ = 2 d sin φ, where n is the integer representing the peak of
interest, d is the lattice spacing of the specific crystallized min-
eral or element, y is the angle between the scattered X-ray and the
incident radiation, and l is the wavelength of the incident light
List of Figures xxi
Fig. 9.10 Malawian iron manufacturing, 1982, Chulu, Malawi; above, left,
furnaces prior to firing; above, in operation; above, right, micro-
graph (1000) showing iron (bright spheres) in bloom matrix;
right, bloom showing large (macroscopic) iron inclusions pro-
duced by the smaller, forced-draft furnace (Photographs by
Nicholas van der Merve)
Fig. 9.11 Characteristics of an ophiolite complex: axial magma chamber;
pillow lava basalts; sheeted basaltic dikes; layered gabbro;
dunite/peridotite
Fig. 9.12 European metal deposits with central European mines
highlighted
Fig. 9.13 Copper ore, azurite (left); native copper (right)
Fig. 9.14 Schematic of Laurion’s geology of alternating schist and lime-
stone with metal bearing contacts (1–3) between them. The ore
contacts, 1 and 3, the richest. Argentite: “silver ore” is associated
with the lead ore, cerussite (PbCO3). The principal silver ore
mineral is silver chloride, cerargyrite (AgCl), and silver sulfide
(Ag2S). The latter is mixed with galena, PbS
Fig. 9.15 Back-scattered electron image of iron slag
Fig. 10.1 The normal distribution. (a) The area under the curve is, by
definition, 1; (b) the measure of central tendency is the mean,
which is, again, by definition, zero; (c) the curve is perfectly
symmetrical about the mean; (d) the standard deviation, along
with mean, completely defines the normal curve; (e) the mean,
mode, and the median all have the same value. The probability
p(x) of occurrence of any observed values from 1 to 2 and 8 to 9
(a two-tailed σ is shown in shaded areas). The range of values in
this example is 0–10 with the mean (x) = 5.2; 1.5σ indicates the
standard deviations from the mean (Adapted from Waltham
1994, fig. 7.7, p. 119)
Fig. 10.2 Linear regression. Two correlations between the observed alpha-
recoil track (ART) density in mica inclusions used as a tempering
agent for prehistoric Hohokam pottery (“Sacaton Red,” “Vahki
Plain,” etc.) versus age in years before the present (BP). The line
width for each pottery type track density value is the standard
deviation (Garrison 1973; Garrison et al. 1978)
Fig. 10.3 Pair-wise comparison of mtDNA sequences of observed
differences in human-Neanderthal sequences and human-chim-
panzee sequences
Fig. 10.4 Bivariate plot of elements within Pentelic marble. Two ellipses
denote specific marble groups based on discriminating elements
(Courtesy Scott Pike)
Fig. 10.5 Left: Spode blue printed design. Right: back-scattered electron
(BSE) image of dye, with brighter areas those of high cobalt
content
Fig. 10.6 Binary diagram of PbO and SiO2 data for all Spode samples.
Clusters of “open” samples manufactured before and after 1833,
correlating with a change in ownership at the Spode factory
List of Figures xxiii
xxv
Introduction
1
This book is a survey of techniques used in Pleistocene and Holocene; the interrelation of
archaeological geology or as it is more widely diet, culture, and environment; and the relation
known, today—geoarchaeology. It is less a dis- of artifact raw material to site selection, trade
cussion of theory or methodology with regard to route development, and ancient technology.
the various geological techniques that are The acceptance of earth science techniques
presented. It is not an exhaustive presentation of into archaeological study has been gradual but
the diversity of earth science methods that can be has grown to a point that we now have
utilized in the service of archaeology. Earth sci- university-level programs in archaeological sci-
ence can be used in many ways in archaeology. ence, geoarchaeology, and/or archaeological
Certainly there are other ways to approach the geology. As Norman Herz, in Geological
multiplicity of archaeological questions that con- Methods for Archaeology (1998), stressed, it is
front the student of the past, and this book does not less what one calls the use of earth science
presume to suggest that the techniques presented techniques in archaeology than what one realizes
herein are the only ones appropriate for addressing from their application. The practice of modern
the many facets of archaeological inquiry. archaeology demands an understanding of earth
The Penrose Conference, in 1987, sponsored science. One does not have to look any further
by the Geological Society of America (GSA), than that of the importance of, first, Sir John
archaeological geology was a rapidly growing Evans and Joseph Prestwich’s and then Sir
interdisciplinary field in which archaeologists Charles Lyell’s 1859 visits to the gravel beds of
and geologists attempt to use the tenets of both the Somme River. In the Somme gravels,
their sciences to solve problems of mutual inter- Boucher de Crève Coeur de Perthes, in 1837,
est. This involves the application of the and, later, Jèrôme Rigollot had painstakingly
principles of geomorphology, sedimentation, iso- demonstrated the contemporaneity of ancient
tope geochemistry, and petrology in the solution stone artifacts and extinct paleontology. Their
of problems of interest to both. As examples, the visits brought the newly developed insights of
following may be cited: the effect of climate on the science of geology to the interpretation of
sites and site selection; the extent to which the Somme deposits by which greater scientific
archaeological sites may subsequently be validity was a result. This interplay of archaeol-
modified by erosion, sedimentation, and tectonic ogy and geology has resulted in similar advances
activity; the application of geophysics in the in our understanding of our human past.
search for and dating of sites; the application of Charles Robert Darwin, himself, wrote three
dating techniques especially as related to the separate treatises on the nature of archaeological
materials in the soil (1837, 1844, and 1881). now vastly longer than the other two ages. John
Charles Darwin’s so-called worm book Lubbock, of Great Britain, proposed dividing the
influenced many early researchers who, follow- Stone Age into two, “New” and “Old,” hence the
ing his lead, demonstrated how soil biota term paleo (old) and lithic (stone). By extension,
mechanically generate new strata and soil the “New” Stone Age was Neolithic or “New
horizons, as well as blur or destroy them (Leigh Stone.” Lubbock and other workers used differ-
2001; Johnson 2002). The title of the first was On ing criteria to define the two: the Neolithic was
the Formation of the Vegetable Mould and that defined in terms of industry, while the Paleolithic
of the last was The Formation of Vegetable was based on fauna—“reindeer period,” “ele-
Mould, which is misleading to the modern reader phant period,” etc. Although a British prehisto-
unless they understand that “vegetable mould” rian coined the term, the French created the
was a nineteenth-century term for topsoil chronology.
(Johnson 1999). Darwin’s essays examined the Edouard Lartet (1801–1871) developed the
relation of soils, earthworms, and artifacts. first useful chronology for the Paleolithic, using
Darwin’s question centered on why archaeo- paleontology as a guide. He divided Quaternary
logists invariably dug for materials that, in the (Pleistocene) into the Cave Bear Period, the Ele-
case of those of Late Antiquity, such as Roman, phant Period, the Rhinoceros Period, and the
should not be buried at all. We would call his Reindeer Period, from oldest to youngest.
study, today, a study of bioturbation or how the “Upper” Paleolithic cultures lived in the Rein-
action of soil-dwelling organisms, such as the deer Period, for example. DuPont reduced these
earthworms, creates soils. Bioturbation is not to two—“the Mammoth, Cave Bear Period” and
limited to worms (Johnson 1990). Larger “the Reindeer Period.”
burrowing animals such as gerbils, rodents, and Henri Breuil and Gabriel de Mortillet pro-
insects play a large role in this phenomenon. In duced subsequent chronologies that quickly
fluvial, lacustrine and marine environments’ replace Lartet’s at least in France, but even in
other burrowing organisms such as shrimp, the early twentieth century the British were using
clams, and worms play the same role. To Darwin, Lartet’s scheme.
bioturbation worked to bury artifacts (Leigh Lartet based his chronology on fauna ala
2001). His observations, however well worked Lubbock—not artifacts. This is a paleontological
out, were lost on antiquarians and later archaeo- approach. Lartet’s model, also, was regional in
logists mainly due to miscommunication. scope—not universal for all areas or regions. In
Geologists and soil scientists “spoke” a different this Lartet was accidently more correct than later
language or jargon from that of the archaeo- workers and their Paleolithic chronologies—
logists. In today’s geoarchaeology, we recognize which had differing timing of the Paleolithic
the importance of both natural burial processes phases in differing parts of the world.
along with those of erosion. By these two pro- Gabriel de Mortillet (1821–1898) recognized
cesses, two archaeological surfaces are created. the great temporal length encompassed by the
Following Darwin’s 1859 publication of Origin Paleolithic. He did not know exactly how much
(of Species), Charles Lyell, one of the founders time but geology clearly inferred this. He
of modern geology, published The Geological published his ideas in 1869. His divisions of the
Evidences of the Antiquity of Man (1863)— Paleolithic were simple: Acheulean, Mousterian,
conceivably the first book on geoarchaeology. Solutrean, and Magdalenian. With two additions,
After the great time depth of human antiquity in his lifetime, these basic divisions are used
was established in Europe after 1859, today.
archaeologists were faced with integrating this This simple system rested on some complex
greater temporality into the “3-Age System” of theoretical underpinnings. De Mortillet rejected
Denmark’s Christian Thomsen—Stone, Bronze, Lartet’s “faunal” ages—“Reindeer,” etc. He did
and Iron. It was obvious that the Stone Age was so for two reasons: first, paleontologists did not
1 Introduction 3
agree on any single scheme for faunal An integrative framework that incorporated
successions, and, secondly, instead of using the geology into the overall explanatory perspec-
presence-absence of species, Lartet used the rel- tive of archaeological research was necessary,
ative abundance of species. How to determine and it was a product of the efforts of numerous
this? Types of fauna will vary according to the workers across the globe in the twentieth century.
site and context. De Mortillet’s solutions: Stone Working at the Galilean cave sites of Skhul and
Tools. His divisions were materially based Tabun, Dorothy Garrod, the British archaeolo-
instead of paleontological. De Mortillet’s scheme gist, and Dorothy Bate, the British paleontolo-
was cultural-historical in concept—culture his- gist, combined to work out the sedimentological
tory through typology (of stone tools). French sequences for these Paleolithic deposits. Both
prehistorians, like many of the nineteenth- sites, excavated by Garrod between 1929 and
century researchers, were trained in geology. 1934, revealed the richness of Middle and
De Mortillet simply declared it “(prehistory) to Upper Paleolithic archaeology in the Levant.
be an extension of geology” (Daniel 1967). Into Garrod found both Neanderthal and
the mid-twentieth century, French prehistorians “Anatomically Modern Humans” (“AMH”) in
continued to hue to a “paleontological” paradigm the caves but not in the same cave. Tabun was
for the conceptualization of their excavations. “Neanderthal,” while more modern yet contem-
Strata were viewed biostratigraphically but mate- porary hominin occupations were identified at
rial finds—tool types ( fossile directeurs), aka the Skhul (McCown and Keith 1939). These
“biota”—separated antecedent and subsequent researchers recognized the importance of the
units (Sackett 1999). sedimentological context relative to the interpre-
Stratigraphy was used by North American tation of these important sites.
researchers in the mid-to-late nineteenth century. The dichotomies, specialty and gender based,
Rapp and Hill (2006) give a thorough review that existed in prewar scientific studies of Paleo-
of this in their textbook. Some of this historical lithic sites are illustrated at the Mount Carmel
context bears repeating here. In addition, like the caves. Garrod and Bate were female, albeit Uni-
French pioneers of Paleolithic archaeology, versity trained, whereas the paleontological
Americans used paleontological principles as description of the Skhul and Tabun hominins
well in their work. George Frederick Wright fell to Theodore McCown and Arthur Keith, at
had advocated for an American Paleolithic Garrod’s behest, we can be sure. These two
based in part on the geological contest of artifacts anatomists found the nearest affinities of the
(Wright and Haynes 1892). The question of a Skhul hominins, who they termed the Mount
geological context for this American Paleolithic Carmel people, with those found at Krapina in
at the time of Wright hinged in large part on Croatia “. . .through the anatomy of the Mount
working out the glacial sequence for North Carmel people there runs a substratum of
America at a level equivalent to that of Europe. characters which link them to the Neanderthal
The European glacial sequence owed much of its type.” The Tabun type, plainly Neanderthaloid,
precedence to the pioneering work of Louis may be placed at one extreme and the Skhul type
Agassiz in the 1840s. Along with Wright, at the other (McCown and Keith 1939). In these
W.H. Holmes, successor to John Wesley Powell conclusions, they were proven correct. This said,
at the United States Geological Survey the divisions between archaeology, geology, and
(1902–1910), recognized the importance of this paleontology were evident. Goldberg and Bar-
sequence as a reliable context for archaeological Yosef (1998); Meignen et al. (2001); Vita-Finzi
research (Holmes 1892, 1893). Key to working and Stringer (2007) represent three major
out the last glaciations sequence was Newton modern-day geoarchaeological studies of both
Horace Winchell, State Geologist for Minnesota, Tabun, Skhul, and, also, Kebara Caves.
later integrating this knowledge in his book, The Even in Tanzania, where Louis and Mary
Aborigines of Minnesota (Brower et al. 1911). Leakey toiled for years before finally unearthing
4 1 Introduction
the early hominins that made them, perhaps, the “geoarchaeology,” while Rapp and Rapp and
most recognized paleoanthropologists of the Gifford (1985) helped coin the alternate term
twentieth century, geology was necessary. Hans “archaeological geology.” As Hassan pointed
Reck worked with Leakey early on roughly and out in his 1979 review, geoarchaeology had
at the same time Garrod and Bate were moved away from a set of methods in support
excavating in Galilee, in the early 1930s. By of archaeology to one more focused on the
being trained in both volcanology and paleontol- relationships of local and regional geology to
ogy, Reck was well suited for working out the settlement locations together with the nature of
stratigraphy of the Olduvai Gorge in two site formation processes (Hassan 1977,1978;
expeditions to the site in 1913 and, again, with Schiffer 1982). Butzer (1971) proposed a “con-
Leakey in 1931. textual archaeology” of which the geological and
While much later in terms of evolutionary geomorphic played no small part. He—Butzer—
time, discoveries in New Mexico, in 1927, at in 1975, wrote that the geologist should be well
the Folsom site, extended America human antiq- acquainted with the goals and aims of archaeol-
uity into the Late Pleistocene. This discovery of ogy, while the archaeologist should be fully
extinct megafauna together with distinctive lan- aware of the potential of geological
ceolate tools propelled a renewed cooperation investigations. Specific geoarchaeological
between geology and archaeology (Howard questions should arise from a consideration of
1935). Edgar Howard integrated several lines of geological variables in man-earth interactive
research—paleoenvironmental, archaeological, systems (Hassan 1979).
and geological—into an early synthesis of what Indeed, this textbook simply reinforces simi-
became to be known as the “Paleo-Indian lar calls by others within the geology of archae-
Period.” Better known than Howard, and Elias ology. These include Karl Butzer (2008), George
Sellards, who had examined the association of (Rip) Rapp, Vance Haynes, Jack Donoghue,
human remains and megafauna in Florida, was Brooks Ellwood, Reid Ferring, William Farrand,
Kirk Bryan. Joel Schuldenrein, and Julie Stein to name but a
Bryan, according to Rapp and Hill (1998), few of these scholars. As previously noted,
along with Ernst Antevs, dominated the interface above, Rapp, in his books written with John
between geology and archaeology in the 1950s. Rapp and Gifford (1985), and Christopher Hill
Their work continued primarily in the American (1999, 2006), together with works by Davidson
Southwest at Clovis, Chaco Canyon, and other and Shackley (1976); Gladfelter (1977); Waters
locations such as Midland, Texas, where defini- (1992); Stein and Linse (1993); Stein and
tive Pleistocene-aged human remains were Farrand (2001); Bettis (1995); Pollard (1999);
excavated (Wendorf et al. 1955). In the Goldberg and MacPhail (2006), have provided
mid-twentieth century, in the United States, the clear models for modern geoarchaeological
use of geological methods at the Midland site by inquiry and interpretation. Archaeological geol-
Wendorf and his co-workers, Claude Albritton, ogy has become more than simply “method ori-
Alex Krieger, and John Miller, in the 1950s, set ented.” While a methodology is clearly a
an important and enduring example of how geol- technique-driven enterprise in the service of
ogy and archaeology buttressed each other to both archaeology and Quaternary studies, it has
mutual advantage (Wendorf et al. 1955). developed a theoretical contextualization
Karl Butzer is generally recognized as one of (Goldberg and MacPhail 2006). This has been
the first, in the mid-twentieth century, to inte- principally a recent development. In the first
grate geology and archeology (Butzer 1971; edition of this textbook, a draft chapter devoted
Hassan 1979). Gladfelter proposed a definition to a discussion of theory in archaeological geol-
for geoarchaeology in 1977. He, along with ogy was deleted in the editorial process.
Butzer together with Davidson and Shackley As a consequence of that editorial decision,
(1976), was the first to call the field the first edition of Techniques for Archaeological
1 Introduction 5
Geology had no body of theory to discuss. While studies through its focus on landscapes and
geoarchaeology has no great pantheon of past formational processes over a wide range of spa-
practitioners such as older disciplines like phys- tial and temporal scales.” Special issues of
ics and chemistry (Garrison 2001), it has begun important journals such as Geodinamica Acta
to develop a theoretical approach to its study of (2007), Geomorphology (2008), and Catena
the intersection of earth processes and human (2011), all devoted to geoarchaeology, empha-
agency. It is no great stretch for size its global reach (Tourloukis and Karkanas
geoarchaeologists to pose questions posed as 2012) as well as the field’s multidisciplinarity as
hypotheses nor to use induction as a tool to a major feature and methodological strengths.
generate ideas of causation or affiliation among Hassan in his 1979 American Antiquity article
an observed set of variables (Buchdahl 1951). “Geology and the Archaeologist” may have
Wilson (2011) characterizes geoarchaeology as suggested a more narrow view of the discipline
evolving into a coherent discipline no longer than he intended. Geology as an earth science is
limited to geologists helping out archaeologists mostly synonymous with lithology of the Earth,
nor archaeologists simply with an interest in while geomorphology is associated with the sur-
geology. Geoarchaeology is seen as discipline face of the Earth. Geology concerns itself with
unto itself bridging its two parent disciplines of the Earth surface, but geomorphology is more
geology and archaeology (supra). Human life has likely found within Department of Geography.
never been distant from natural influences. Both geography and geology are branches of
Archeologists have always been skeptical of earth science.
environmental determinism in explanation and Over the latter part of the twentieth century,
would have no counsel for a geological determin- the incorporation of the methods of other areas of
ism. Modern geoarchaeology tends to heed earth science—geochemistry, geochronology,
Butzer’s (1982) injunction to treat neither culture and geophysics—has expanded the reach and
nor environment as static nor separate from one utility of archaeological geology. As Kraft notes
another. Charting intersections of culture and in a review of archaeological geology, the
nature tend to provide insight into the role of workers in this area are becoming more aware
each as they influence each other in the complex of the nuances of the historical and classical
coevolution of natural and anthropogenic record (Kraft 1994). Legend, oral tradition,
systems in prehistory (Haynes 1995; Redman mythology, and the body of cultural knowledge
1999; Levine 2007; Benedetti et al. 2011). for a prehistoric culture are being used in the
As Gladfelter, in his acceptance of the Geo- search for information about ancient events—
logical Society of America’s “Ripp Rapp” paleoenvironmental and paleogeographical
Archaeological Geology Award in 2001, implies, (supra). This is the essence of a “multidiscipline”
it (geoarchaeology) is an honorable enterprise archaeological geology—the use of geological
(GSA Today 2002). In the past years, this and analytical techniques in concert with archae-
observation has been made of archaeology itself ological expertise to gain knowledge of the past.
(Daniel 1967). The application of perspectives This book echoes many of these tenets set forth
and methods born in disciplines like geomor- by these other workers. In so doing, this work
phology now are recognized as crucial to the will serve to amplify that call for technical and
understanding of site location, function, duration, methodological rigor in the use of earth science
and like questions (Jones 2007). Quoting Beach in the practice of archaeology as a whole.
et al. (2008), “Geomorphology deals with Earth One last note as to what archaeological geol-
surface processes and landforms; archaeology ogy is about, simply put geoarchaeology. In a
deals with what artifacts in the landscape can sense, Hassan, Gladfelter, Rapp, and Gifford
tell us about the human past. Because geomor- may have inadvertently proscribed geography
phology as a discipline was born through a mix- and the important subfield of geomorphology
ture of physical geography and surficial geology, by using the terminology “archaeological geol-
geomorphology can inform archaeological ogy.” Geoarchaeology is the more inclusive
6 1 Introduction
terminology and that probably explains its more (the general case) is important (Evans 1972).
frequent usage today. This text will simply use From the geological standpoint, the identification
“geoarchaeology” throughout with the under- of structural framework and the characterization
standing that the author recognizes its more com- of the area’s lithology from outcrops and
mon usage as well as that the discipline’s exposures must be done as well. To do this, the
signature journal is entitled Geoarchaeology. archaeological geologist relies on traditional as
well as contemporary methods.
Studies show that animals throughout the
1.1 Organization of This Book Holocene are indicators of both changing
climates and cultural evolution and that coastal
This work is comprised of 11 chapters. The sites are strongly influenced by changing sea
contents of these chapters cover major elements level; the history of these changes can be
within archaeological geology. One significant recreated by sediment coring studies. An under-
aspect of earth science that is omitted is that of standing of site selection criteria is important for
geochronology. This was consciously done. archaeological studies in of fluvial, estuarine, and
Given the present-day literature on the use of coastal systems throughout the United States and
dating techniques in archaeology, another survey the world. Earth science techniques can be
of this area hardly seemed warranted. The reader deployed to quickly identify areas with a high
is directed to the premier volume of this series potential as ancient habitats. Geoarchaeological
by Springer-Verlag, Age Determination of Young evidence can be used to document neotectonism,
Rocks and Artifacts (Wagner 1998). The focus sea-level changes, and site location.
of the book will be on a systematic approach In the area of traditional geological mapping,
to the archaeological site, its geomorphic/ the researcher relies on their training in landform
geological features, and anthropogenic materials and soil recognition, basin hydrology, and struc-
from an earth science perspective. While geo- tural geology. The basic tools are maps—geo-
chronological techniques are central of the under- graphical, geological, and hydrological—
standing of stratigraphic contexts of sites, their together with the compass, the inclinometer, the
in-depth discussion will remain secondary if shovel, the rock hammer, and the hand lens.
discussed at all. Individual chapters are discussions Today, there are newer tools such as satellite
of those areas of earth science that bear directly on images, satellite location or global positioning
the nature of archaeological deposits and materials system (GPS), laser technology as seen in the
as interpreted from the geological perspective. increased use of LiDAR, laser transits, and levels
Chapter 2 will address the geomorphological coupled with laptop computers and geographic
and geological context of the archaeological site. information systems (GIS). The low-cost auton-
Immediately obvious is the question of scale to omous vehicle or “drone” has revolutionized the
be considered by the researcher. This devolves, mapping of landscapes and archaeological
in turn, on the archaeological objectives of the features. Whatever the technique or tool, the
specific research. Regional scale mapping would aim is the same: characterize the geomorphic
be called for by a research design that seeks to and geological context of the archaeological site
determine the spatial context (location) of a or sites. Once this is done, the archaeologist has a
cohort of sites, their cultural and temporal place- better understanding of the “why” of the site’s
ment important but secondary at this stage of the location in a particular landscape. The past land-
inquiry. Below regional scale would be the local scape or landscapes generally are masked by
environment of the individual site. This is, per- modern earth system processes such that the
haps, the most familiar type of geological determination of the prehistoric landscape
mapping used in archaeology. From a geomor- becomes an archaeological inquiry in and of
phological standpoint, the identification of itself.
landforms (the specific case) and landscapes
1.1 Organization of This Book 7
Chapter 3 principal focus is the description of materials achieving reliable results. Studies of
sediments and soils and their use in archaeolog- sites should include micromorphology, hearths,
ical geology. The chapter, in some detail, floors, phytoliths, and chemical analysis, espe-
examines ways to carry out more detailed inves- cially of Al, organic C, Fe, available phosphate,
tigation into the sedimentological context of the and pH. Sedimentation plays a key role as a
archaeological site and its environment beyond counter to erosion in site preservation and also
that of the present-day or near-surface allows dating, e.g., volcanic ash layers in
components. The prehistoric landscape can be, Santorini and, of course, Pompeii, where recent
and ofttimes is, more deeply found than what is studies have provided new insights into the
capable of recovery with the shovel or even timing and kind of eruptions that destroyed this
mechanical excavation. The recovery of sedi- city and nearby Herculaneum in AD 79. Micro-
ment columns from hand-operated and mechani- morphology is a mainstream methodology for the
cal coring devices is a favored means of study of deposits created or altered by human
geoarchaeological study and has a successful occupation; thereby, allowing for distinctions
history in application. Cores produce not only between cultural and natural transforms must
sediments but macrobotanical, macrofaunal, and be made.
artifactual remains as well. Cores taken in a In Chap. 5, shallow geophysics is discussed as
systematic campaign across a site, and its a modern outgrowth of the need for techniques
surrounding area, can yield significant amounts that can rapidly and effectively characterize near-
of environment, depositional history, and spatial surface geology. Overviews are cited and used to
extent. Mechanical excavation, in exposing soil update the earlier edition (Clark 2003; Linford
and sediment profiles, are superior to coring for 2006; Gaffney 2008). This is a geophysics that is
obtaining the “big picture” as regards the geo- basically non-seismic in nature or one that does
morphic mapping of the lateral continuity of not use sound as the principal means to measure
sedimentary deposits. Both hand and mechanical subsurface rock and sediment thickness. When
methods have their place in archaeological geol- applied to archaeological problems, this form of
ogy. It is difficult to visualize the deployment of geophysics has been called “archaeological geo-
a large mechanical excavator or even a drill rig physics” or more simply “archaeogeophysics.”
on a prehistoric burial mound given the rarity and Weymouth (1996) has called this use of geophys-
uniqueness of these features. Gone are the days ics “digs without digging.” Beginning in the
of total excavation of these types of structures. 1960s with the application of electrical methods
Careful and judicious sampling of them requires such as resistivity profiling, the field has expanded
methods that give the researcher greater control with the addition of electromagnetic techniques
(and analytical returns) over the technique to be such as conductivity meters and metal detectors,
used. Noninvasive, shallow geophysical the use of magnetics in the form of magnetometers
methods, discussed in Chap. 5, are proving to and gradiometers, and, since the late twentieth
be essential in the sensitive sites. century, the increased use of ground penetrating
Chapter 4 deals with analytical procedures for radar (GPR). Coupled with computer software
examining sediment and soil samples acquired that is basically derivative from seismic-based
by excavation or coring methods. The five geophysics, the expansion of geophysical
“p’s”— particle size, point counting, phosphorus prospection into archaeology has produced an
content, pollen, and phytoliths—are discussed. extensive body of research in recent decades that
Mineralogical identification of sediments will is recognized within both archaeology and
be discussed in the context of petrographic geology.
methods in Chap. 6. Many of the methods Chapter 6 deals with the use of petrographic
presented are hardly “cutting edge,” but they methods in the analysis of rocks, minerals,
have had significant development and applica- sediments, and archaeological artifacts or
tion across a broad range of archaeological features made up of all or some of the foregoing.
8 1 Introduction
The principal discussion centers on the utility of clays and their mineralogical transformations
of the geological thin section and the petro- at high temperatures provides insight into manu-
graphic microscope in analyses of rock and min- facturing processes. Geoarchaeological and geo-
eral items of archaeological interest. Beyond the chemical protocols for ceramic analyses will be
hand lens this protocol is the geologist’s most examined.
reliable and time-honored methodology. As Herz Chapter 8 deals with some of the more preva-
and Garrison (1998) has pointed out, it is also one lent instrumental techniques that have come to be
of the most economical and reliable ways of used in the study of archaeological problems.
determining the geological nature of artifacts. It Notable among these techniques are neutron
is certainly to be considered before moving to the activation analysis (NAA) and mass spectros-
next level of analysis—geochemical analytical copy of stable isotopes. Added to these are the
techniques. What is disquieting is how often the X-ray methods of fluorescence and diffraction
archaeologist does not use petrography before (XRF and XRD). The latter method has been
moving to more costly methods. In the case of styled as “the archaeologist’s first line of defense
ceramic studies, the use of petrography is a major in mineralogical identification.” Together with
and precise method of studying ceramics and the electron microprobe (EMPA), its high-energy
their clay sources (Vaughn 1991; Velde and cousins—various ion microprobe methods, induc-
Druc 1998; Courty and Roux 1995; Quinn 2013). tively coupled plasma spectroscopy (ICP), and
Determining sources of raw material for lithic atomic absorption spectroscopy (AAS)—the
artifact fabrication was discussed in the context archaeological chemistry of artifacts, and,
of manufacturing techniques, reasons for use of increasingly, their residual contents, food,
the particular raw material, source depletion, liquids, etc., are the subject of major contempo-
usefulness, and change of social patterns. Analy- rary studies across all aspects of archaeology:
sis of data obtained on physical properties such prehistoric and classical.
as mineralogy, petrology, and chemistry must be Because of the usefulness of stable isotopes in
evaluated in the light of method of production, geoarchaeology, Chap. 7 will examine their
use of the artifact, and effects of long-term worth for provenance in paleoenvironmental
burial. Finally, interpretation of the relationship and paleodiet studies. Sulfur isotopes are partic-
between the artifact and the ancient cultural con- ularly useful in the studies of handmade artifacts.
text must also take into account the expertise of The strontium isotope ratio, which depends upon
the ancient artisan. sea or land source, is useful in studies of marbles,
Chapter 7 reintroduces the importance of clay as are oxygen and carbon isotopes. Carbon, along
minerals and cultural materials, such as with nitrogen, sulfur, and strontium, is also use-
ceramics, made from these unique minerals. ful in determining diet and diet changes through
Our discussion will center on recognition and the study of the isotope content of bone. The
characterization of clay minerals both as primary nitrogen content of bone can distinguish herbi-
and secondary minerals and in particular their vore from carnivore and, along with carbon and
use by prehistoric and historic cultures. From sulfur content, is useful for determining the
both geological and mineralogical perspectives, nature of isotope cycling on a global scale. To
clays represent a robust contemporary area the question of whether trace element signatures
of study. Much like stone, “Clay is where you could be helpful in determining sources of raw
find it.” We’ll examine this proposition further material used in the manufacture of artifacts
as well as the basic geochemistry of how clay worldwide, the answer was that an extensive
forms as a weathering deposit (primary) of library of samples and a wide range of
silicate minerals and secondarily as deposits archaeometric techniques would be required.
of transported sediments. Consideration will Chapter 9 recognizes the importance of the
be given to the wide range of ceramics study of ores, manufacturing debris, and slags,
from earthenwares to porcelains. A discussion together with research on metallic artifacts as an
1.1 Organization of This Book 9
increasingly important aspect of archaeological ogy as it exists today: radiocarbon, fission track,
geology. The metal ages—bronze to iron— luminescence, archaeo- and paleomagnetism,
comprised two-thirds of Thomsen’s nineteenth- U-series, argon-argon, and aministratigraphy
century classificatory system for European pre- methods are only discussed in relation to exam-
historic cultures. The late twentieth and early ple applications and do not occupy a chapter to
twenty-first centuries have seen advances in themselves. Likewise, fission-track methods are
archaeometallurgy (Roberts and Thornton, eds. especially useful in dating volcanic rocks and,
2014). An example of the intersection metallur- potentially, pyroclastic deposits. For ages up to
gical techniques, used by Bantu tribesmen of 350,000 years, dating by U-series isotopes has
Malawi, illustrates how primitive iron-making been shown to be particularly useful. Remanent
methods necessitated the extraction of iron from magnetization and optical/thermal luminescence
low-grade ore when higher-grade ore was nearby (OSL/TL) can both be used to date sedimentary
and known. Trace element variety, content, and rocks, on the bases of time of deposition for the
ratios may also provide important clues to the former and time of burial and exposure to heat or
source of raw material, but application of the data sunlight. In the case of OSL, the growth of its use
must take into account, in the case of metallic in geoarchaeology has been exponential.
artifacts at least, the possible effects on the fin- It is a tribute to the increasing maturity of the
gerprint patterns of any flux used in the smelting field, as a discipline, that there is such breadth
process. and diversity in its subject matter. What I shall
Chapter 10 reprises the first edition’s review attempt to in the following chapters is expose the
of some basic statistical methods used in archae- student, and any interested colleague, to practical
ological geology. Updates relative to the concerns and earth science methods that are use-
advances in the application of multivariate ful in the consideration of archaeological
methods to large data sets (Speakman et al. problems. Archaeology identifies the results of
2011) and the increased use of Bayesian methods this interaction between humans and nature in the
will be presented. material remains found in the Earth. Linking the
Chapter 11 is a concluding chapter as well as a trajectory of past human cultures to that of the
brief discussion of theory and practice in earth system requires geological science. The
geoarchaeology. In some ways, it simply synthesis of this interaction provides a diversity
redresses the lack of such a discussion in the of roles for the archaeological geologist/
first edition. This textbook is not a comprehen- geoarchaeologist using the techniques outlined
sive treatment of the field of archaeological geol- in this textbook.
The Geomorphological and Geological
Context 2
aboriginal descriptions of the early Earth incor- The Cherokee Indians name the double peak,
porate change as a key process. The forces for in the Great Smokey Mountains of North
much of this change were seen as corporeal Carolina, known to others as Chimney Tops,
supernatural beings or “monsters.” How else Duni’skwalgun’i. The name means “forked antler”
could the Earth being changed without recourse for the great stone deer concealed there (Camuto
to power beyond the kin of humans? Knowledge 2004a). It is either a great stone animal or a moun-
of the land surface was critical to human sur- tain of flesh and bone. Perhaps both (supra). This
vival. Prehistoric and some modern tribal and other ridges of the mountains are ancient
peoples set great store their knowledge of their storehouses and council places for animals
geographies. Modern cultural geographers and (as well as humans) (Camuto, supra). The Chero-
ethnographers have recorded this aspect of kee nouns that describe these mountains are
non-Western knowledge time and again. archaic and stony things. Nugatsa’ni, high ridge
Basso (1996) in his award-winning treatment with a gradual slope, is similar in its specificity as
of the “place making” of the western Apache that of the Western Apache, Tséé Chiizh Sidilé,
noted that “entire regions and local landscapes “Coarse-Textured Rocks Lie Above in A Compact
are where groups of men and women have Cluster” (Basso 1996).
invested themselves . . . and to which they Exacting landscape descriptiveness and its
belong.” The late Lakota scholar, Vine Deloria, relevance to non-Western cultures is further
Jr., observes that “most American Indian names illustrated by the hand-drawn map below. Cre-
embrace spatial constructions of history” ated, in less than 2 h, from memory, by a
(supra). Pulitzer prize-winning author, N. Scott Wardaman Aboriginal Elder, it shows the
Momaday writes: “From the time the Indian first locations of nearly 200 springs near his house
set foot on this continent, he centered his life in in the Northern Territory of Australia (Fig. 2.1).
the natural world. . . ..The sense of place was The twenty-first-century view of a malleable
paramount. Only in reference to the earth can and changeable Earth surface echoes that of the
he persist in this identity (Momaday 1994:1).” ancient non-Western models. At geological time
scales, the surface-forming processes of erosion that any change in a landscape implies a change
and deposition are secondary to the larger, dra- in process. Other concepts include:
matic forces of plate motion, tectonism, and orog-
eny. Such processes operate within time intervals, 1. Landscape evolution can be gradual or abrupt
outside human experience, approaching that of as thresholds are exceeded.
Wilson Cycles wherein oceanic basins rift open 2. The interaction of landscape changes with
and subsequently close after millions of years thresholds results from complex processes
(Levin 1988). and is termed complex response.
The geomorphic surface is a mixture of 3. Various tectonic fault varieties—normal,
landforms that are an expression of (1) modern reverse, and slip-strike—are associated with
geological processes and (2) geological pro- characteristic landforms.
cesses that are no longer active. Landscapes
reflect present and past processes of erosion and In general these geomorphic concepts apply to
deposition. The topography of a given landscape that part of the Earth’s history called the Quater-
is the result of climate-driven processes ofttimes nary. The Quaternary spans, exactly, the last
directly coupled to tectonic activity. Rinaldo 2.588 million years and encompasses the largest
et al. (1995) presented these relationships in a part of hominid evolution in the later Pliocene
mathematical model of landscape evolution and Pleistocene (Riccardi 2009; Gibbard and
which underscored the importance of tectonic Head 2009).
uplift to the formation and persistence of geo- One of the oldest models for landscape evolu-
morphic signatures. Seismicity is not a new con- tion is that of William Morris Davis who articu-
cern in geomorphology, but its character and lated the “Cycle of Erosion” (1899). In this
expression—earthquakes, faulting, and volca- model, brief periods of uplift are followed by
nism—are important to unraveling the nature much longer periods of inactivity and erosion.
and origin of various relicts and modern In Davis’ view, the landscape had a “life cycle”
landforms. from (1) youth through (2) maturity to (3) old
In the northern hemisphere, climate-driven age (supra). Young landscapes are characterized
processes have given rise to glaciations which by stream incision, and deep valleys are
the geomorphologist must always be cognizant followed, in mature landscapes, by less dramatic
of the special character of glacial landform. The stream gradients and valley down-cutting.
interactions of landform and environment are Mature landscapes have broad floodplains and
dramatically demonstrated in North America meandering streams characterized by high dis-
and Europe due in large part to their glacial charge and sediment loads. In old age, the land-
past. Concomitant with Ice Ages were marine scape has eroded to a planar or peneplain surface
regressions, and consequent transgressions, with low relief awaiting rejuvenation or the start
which alter coastal and fluvial systems and play of a new cycle. Davis put a time scale of a million
much the same role as uplift in non-glaciated years on his cycle—long but archaeologically
regions. Coastal landforms—past and present— more relevant than the longer Wilson Cycles.
are the expression of glacial processes acting In this, and, other process models, the land-
globally through sea-level change. scape can, and will, equilibrate for thousands of
years. Equilibrium is clearly a relative concept
with regard to landscapes. As we will discuss in
2.3 Geomorphic Concepts Chap. 3, paleosols typically mark these equilib-
rium periods of climate. Uplift can go on for
Keller and Pinter (2002) review the basic millions of years however imperceptively. Like-
principles used in the study of geomorphic wise, subsidence and/or erosion will occur over
landscapes. The most basic principle, in terms the same time scales. In many instances, the
of modern, process-oriented geomorphology, is interplay of these forces is a “zero-sum”
14 2 The Geomorphological and Geological Context
situation. In the contest between uplift and ero- surfaces are modified, daily, by gravity-driven
sion, the latter always wins in the cycle of ero- processes—creep, erosion, etc. Because of this
sion. Small wonder that archaeology is an dynamic and changing surface, the archaeologist
endeavor that deals primarily with that which is should never be lulled into thinking that surface
buried. Yet without uplift, the geomorphic sur- is immemorial. It is not.
face of the Earth would be that of the relatively The landforms that we propose to study and
unchanging surface of Mars. In the case of Mars, map are the result of three factors: (1) geomor-
landers and mapping satellites have identified phic processes, (2) stage of evolution of land-
what Morris would have termed “old age” with form, and (3) geological structure. To map
only erosion—primarily by wind—modifying a archaeologically interesting topography, one
desert surface. Still, what we term “deserts” on must (a) identify the geological processes by
Earth, such as Antarctica, the Atacama, or the which the landform were shaped, (b) recognize
Sahara, cannot begin to match those of Mars for the stages of development of landform and their
stark barrenness and lack of overall change. evolution through time, and (c) recognize the
Some geomorphologists define a type of equi- topographic expression of geological
librium termed “steady state” where the land- structures—dip, strike, clinal variation, etc. In
scape exhibits a relative constancy over a geoarchaeology, the consideration of topography
period of 100–1,000 years. This conceptual must include another factor—human-induced
view of the landscape can be called the “average” geomorphic change.
of a land surface at this particular time scale.
From a process-oriented perspective, one could
say the limits of equilibrium or thresholds are
relatively “high” such that abrupt or dramatic 2.4 Geomorphic Setting
landscape change is precluded at this scale.
In a tectonic sense, landscapes can be “dor- A brief review of geomorphic settings reminds us
mant” with little actual or observable seismic that there are basically only fluvial, desert/arid,
activity. Generally the most active landscapes coastal, glacial, volcanic, and karst/caves. Most
are those associated with seismically dynamic archaeology is done in relation to fluvial
zones such as found at crustal plate boundaries. landforms. Human groups have always
Conversely the most inactive areas, again, in the gravitated to available water, and this is readily
tectonic sense, are furthest from plate margins apparent in any study of agrarian cultures. Crops
such as continental interiors. It is easy to locate need reliable water supplies and these are most
tectonically active areas. They either exhibit often found in drainage systems. Besides avail-
volcanoes or earthquakes or both. Archaeological able water, there are rich, deep alluvial soils
examples come easily to mind—the Apennines, which ancient farmers were quick to identify
Naples/Pompeii, Thera/Akrotiri, Anatolia, the and exploit. Geomorphic settings are the result
Dead Sea region, the East African Rift Valley, of geomorphic processes—fluvial, aeolian, vol-
and Pacific Rim to name the most obvious. canic, and glacial processes—which in turn are
The “take-home message” for the archaeolo- special cases of the two primary processes: ero-
gist using modern process geomorphology is that sion and deposition. In this book, we are
the geomorphic surface on (and under) which concerned primarily with the identification of
archaeology is found is not a static surface. the results of geomorphic processes than the pro-
Even in a geological sense, the geomorphic sur- cesses themselves. The study of the latter is that
face changes at rates of decadal to annual scale. of surficial process geology. In this chapter, we
True, the mountain belts form at Wilsonian rates recapitulate the importance of these landforms to
as do their valleys and adjacent basins, but their archaeology and their attributes.
2.4 Geomorphic Setting 15
et al. 2015). When coupled with sediment size thus a direct record of their parent lithologies
and velocity estimates, retrodiction and and, in some part, the processes active on these
modeling of systemic dynamics are possible. rocks and minerals. For instance, if we observe
Soils formed or forming on the valley floors resistant materials, such as quartz and rutile, in
are buried, becoming paleosols, often together large amounts in the sediments we can speculate
with archaeological facies associated with these on the nature and intensity of the weathering
land surfaces (West and Dubos 2013). Streams, climate. By contrast, the finer sediments of clay
in incision, and meander, likewise, can exhume and silts suggest a much different climate sce-
past land surfaces. nario as well as that of deposition and stream
Weathering of the uplands, coupled with and dynamics.
caused in part by precipitation, is the ultimate Human changes of landscapes can alter runoff
source of the basin sediments. The sediments are and the sedimentological character of fluvial
2.4 Geomorphic Setting 17
age. Based on size, alone, the oyster specimens River” and its surrounding terrain (Fig. 2.6).
were larger than modern populations encoun- This Quaternary Channel River had its formation
tered during subsequent studies (Garrison on Oligocene times but occupied a repeatedly
et al. 2012a). incised Pleistocene era paleo-valley (Lencolais
et al. 2003) (Fig. 2.6).
Submerged landforms and ofttimes buried,
2.4.3 Submerged Landforms prehistoric archaeological sites thereupon are
difficult to discover and study. These submerged
Jonathan Benjamin (2010) summarizes much of sites are extremely relevant to a fuller under-
the modern archaeological emphasis on standing of human colonization and expansion
submerged coastal landforms of the continental in Asia, Europe, Africa, and the Americas.
shelf and estuaries in Europe. Specifically, focus These now drowned landforms were generally
on the inundated prehistoric terrain of the North subaerial coastal plains for several millennia
Sea Basin which remains one of the most enig- prior to and after the Last Glacial Maximum
matic archaeological landscapes in northwestern (LGM). Recent studies have amply demonstrated
Europe. This region was submerged by the sea that there are recoverable cultural and subfossil
for 11,000 years following the last glacial maxi- faunal materials (Fig. 2.7) left behind on
mum (LGM), and this change in sea levels submerged former coastal plains worldwide
resulted in the loss of an area larger than the (Al-Suwaidi et al. 2006; Anuskiewicz and
modern United Kingdom (Coles 1998, 2000). Dunbar 1993; Dunbar et al. 1989; Erlandson
The region therefore contains one of the most et al. 1998, 2011; Faught 2004a, b; Garrison
extensive and, presumably, best preserved pre- et al. 2012c; Grøn and Skaarup 2004; Grøn
historic landscapes in Europe (Gaffney et al. 2006, 2007; Kelley et al. 2013; Lavin 1988;
2007) and has been named “Doggerland” Lübke 2002; Merwin 2010; Rick and Erlandson
(Fig. 2.6; cf. Chap. 9). 2009; Rick et al. 2013).
This submergence of the present English The search for prehistoric submerged archae-
Channel and North Sea was not unknown to ological sites has gained increasing attention in
early twentieth-century archaeologists. Writing both the scholarly world and in the popular imag-
in 1916, H.F. Osburn specifically presents strik- ination and is, in part, driven by modern research
ingly accurate maps of the “English Channel that has demonstrated that climate change and
20 2 The Geomorphological and Geological Context
Fig. 2.6 (L ) Illustration of the English Channel River (Redrawn from Osburn 1916, Fig. 26); (R) early Holocene
Doggerland (Redrawn from Coles 1998)
not calendar) can provide insights into the colo- indications of ice free areas in the northeast end
nization and settlement of the prehistoric of, Graham Island. During, or just after a glacial
Americas. Without the inclusion of data sets maximum, decreased sea level, may have
gathered from submerged sites, our understand- exposed the floor of Hecate Strait and opened a
ing of coastal occupations during these early migration route via an exposed shelf along the
periods remains incomplete, and it is impossible eastern end of Dixon Entrance to the Alaskan
to understand the fuller spectrum of early human Islands, and perhaps as far north as the Bering
use of changing coastlines and coastal landforms Strait region. Certainly a 2500 drop in sea level
(Bailey and Flemming 2008; Benjamin and Hale would connect the Charlottes to the off-shore
2012; Faught and Donoghue 1997; Faught and islands and mainland” (Fladmark 1979). Davis,
Gusick 2011; Fischer 2011). in 2006, further notes that the evidence for a
The search for prehistoric underwater archae- coastal migration route is not new, citing
ological sites in North America has used, primar- Fladmark as well as Gruhn (1994, 1998).
ily, a methodology that focuses on the search for Submerged and buried prehistoric archaeo-
terrestrial evidence of early human presence and logical sites are, otherwise, difficult or nearly
then extrapolates that information to the near and impossible to detect without the use of “heroic”
offshore (cf. Fladmark 1979; Pearson et al. 1982; or expensive and/or time-intensive marine sur-
Benjamin 2010; Dixon 2013; Flatman and Evans vey methods. Typically, approaches to detection
2014). Some of the earliest dates for human of submerged sites on the continental shelves
occupation of the New World come from the have used geological and geoarchaeological
southeastern United States (Anderson and Gillam methods. The earliest examples examined seis-
2000; Faught 2008: 676, 683), while research mic data gathered for oil and gas exploration
within the last 30 years has demonstrated that such as in the Gulf of Mexico. In Europe, seismic
coastal areas are extremely productive zones data of a similar origin have also been used in
with a wide variety of food resources available larger, regional scale landscape reconstructions
year round (Reitz 1982; Rietz and Reitz 1988). termed “Doggerland,” now-submerged within
Taken together, these findings strongly suggest the North Sea (Fitch et al. 2005; Gaffney
that coastlines were probably occupied virtually et al. 2007) (Fig. 2.6).
as soon as human groups entered the Americas, Harris et al. (2005, 2013); Baldwin
following the so-called “coastline” hypothesis et al. (2006) have used multibeam bathymetry
that colonizing groups from northeastern Siberia surveys, side-scan sonar mosaics, high-resolution
followed the now-submerged coastline during subbottom profiles, and ground-truth surveys
entry instead of the so-called Ice-Free Corridor from 250 m to the modern tidewater region to
between the Laurentide and Cordilleran ice characterize the well-preserved but scattered
sheets (Erlandson et al. 2011). remnants of a submerged paleolandscape. By
Fladmark (1979) well prior to the period of coupling the data from sediment cores (Garrison
the general acceptance of a “Pre-Clovis” occupa- et al. 2008, 2012a, b; Chowns et al. 2008; Pavich
tion of the Americas observed, “A wide range of et al. 2010; and earlier studies), with these other
data suggests that a mid-continental corridor was methods, a drowned coastal plain can be
not an encouraging area for human occupation, if reimagined and related to Paleo-Indian cultures
even basically inhabitable, during the climax and who exploited that landform (Russell et al. 2009)
initial retreat of the Woodfordian ice.” In his (Fig. 2.8).
1970 report on the archaeology of the Queen Shallow features such as Pleistocene river
Charlotte Islands, now Haida Gwaii, he noted terraces buried by Holocene estuarine sediments
that “An interesting possibility is presented by were examined in the Gulf of Mexico using sedi-
the presence of cultural remains on the islands at ment coring methods. Cores extracted at specific
least 8,000 years old, and the geological seismic targets were examined for geochemical
22 2 The Geomorphological and Geological Context
Fig. 2.8 Paleochannels of the “Transect River,” Georgia (Stubbs et al. 2007; Harris et al. 2013). Inset, upper
Bight, Atlantic Ocean, offshore South Carolina (see inset, right, shows incision of the paleochannel into Pliocene
lower left), as imaged using multibeam sonar data lithology
and/or sedimentological markers for human 2.4.4 Mountain and Glacial Landforms
activities such as charcoal, bone, burnt shell,
and lithic debitage, and elevated Mn, Zn, and When Louis Agassiz established glacial theory
inorganic phosphate (Pearson et al. 1982, 1986, for good and all with his 1840 book, Etudes sur
2008, 2014; Stright 1986a, b, 1995). les Glaciers, archaeology, as well as geology,
In the southeastern United States, models adopted a powerful explanatory tool for
have been predicated on sea-level position in landforms over much of the northern hemisphere
tandem with regional geohydrology, and (1940, 1967). Geomorphic evidence of former
locations of lithic resources have been employed ice ages are often dramatic, notably erosional
successfully in the Big Bend of Florida (Dunbar features such as sculpted mountain terrains of
et al. 1989; Anuskiewicz and Dunbar 1993; cirques, arètes, horns, and hanging valleys.
Faught 2004a, b). In Europe, Benjamin (2010) Depositional features, such as moraines, while
proposes a generalized, stepwise methodology less picturesque, mark the limits of advances
for underwater research known as the “Danish and regressions of the ice sheets. In special
Model” that is extremely effective, with over an cases like the Salisbury Plain, the great stones
80 % success rate in locating underwater sites in of Avebury and Stonehenge likely originated as
Denmark where it was developed. This methodi- erratics carried by the movement of the
cal approach, or variants of it, has been well Finnoscandic ice sheet. It is their linkage to cli-
received due to its great adaptability to regional mate that makes the glaciers and landforms
or local contexts and conditions (Benjamin derived from them important to human prehis-
2010:258). tory. Like the volcano and river, the glacier has
2.4 Geomorphic Setting 23
shaped landscapes, started new soils, and, there- what led to these cold periods or their duration
fore, created new ecologies over 30 % of the was only be answered in the mid-twentieth cen-
Earth’s land surface. tury by the general sequence of glaciations which
The development of glacial theory, in the was established in Europe and America by the
mid-nineteenth century, paralleled that of unifor- start of the twentieth century by Albrecht Penck
mitarianism theory and that of the antiquity of the in Germany and T.C. Chamberlin in the US
Earth. Its impact on archaeological thinking then Midwest (Penck and Bruckner 1909). While
and now cannot be underestimated. What every presented as confirmation of the uniformitarian-
school child learns as the Ice Age was not pat- ism principle (Tarbuck and Lutgens 1984), it was
ently obvious to the geologists of the past century. perceived, at that time as anything but. Lyell’s
Prior to the development of glacial theory, glacial postulated uniformity of the Earth’s processes
features-moraines, outwash deposits, kettle lakes, from the beginning to “today” (1833, 1840) had
and erratics were simply the result of catastrophic no room for glacial theory (Hsű 1995). To make
floods aka Noachian. Lyell was more realistic room for recent (Pleistocene) glaciations,
about fluvial processes and suggested that Agassiz, with the help of Lyell’s mentor,
icebergs during the Noachian flood dispersed William Buckland, took Lyell to glacial
rock and sediment across the Earth’s surface. If moraines within two miles of his home. Glacial
this had been true, Lyell should have wondered theory, and “Ice Ages,” was accepted by the
why the bulk of these glacial landscapes only British, and Agassiz carried his message to
occurred in the northern hemisphere. America visiting at Harvard for some time.
Alpine farmers and mountain guides knew Glacial theory has immediacy for archaeology
what Lyell did not by way of daily experience. that stems from its description of an Earth, in the
Glaciers, even in their reduced modern forms, most important period of humanity’s develop-
advance and retreat, subject to climatic variation, ment, the Pleistocene, so unlike that of the modern
pushing rocks, sediments, and trees before them era. For the European archaeologists, no reading
and then leaving this as debris when they subse- of fossil sites or material culture could be made
quently melt. Ignatz Yenetz, a Swiss Civil Engi- without an eye toward how they fit into the ebb
neer, listened closely to a mountain guide, Jean- and flow of glaciations. For Americanists, the
Pierre Perraudin, and published, in 1821, a paper great continent-wide ice sheets presented a barrier
on the theory of glacial transport of exotic or to colonization of North and South America.
erratic boulders (also called “foundlings” beyond Human settlement of the Americas, by migration
the existing margins of Alpine glaciers (Hsű from Asia, had to wait for the right convergence of
1995)). In 1829, he went further to propose an natural opportunity and human necessity. This, as
Ice Age wherein glaciers covered nearly all of generally believed, came in the terminal Pleisto-
Switzerland as well as most of Europe. Most cene sometime after 20,000 years ago.
geologists doubted such a theory with the excep- The most dramatic archaeological discovery
tion of Jean de Charpenthier and his skeptical in the last decade of the twentieth century came
protegé, Louis Agassiz, Professor of Geology at at the Tyrolean glacier, on the Alpine border of
the University of Neuchâtel. Because the scien- Austria and Italy, with the discovery of the famed
tific method works best when used to falsify a “Iceman” mummy (Spindler 1994). Found at an
hypothesis or theory, Charpenthier and Agassiz altitude of 3,000 m, this intact prehistoric man,
set out to gather data to do just that. Their work and his accoutrements, reminded archaeology of
did just the opposite. In 1840, Agassiz published the importance of glacial landforms to human
his seminal work on glacial theory (supra). society as well as their potential for study. The
Implicit in Agassiz’s newly developed theory sacrificial mummies of the high Andes, at even
was the variability of the Earth’s climate-cold higher altitudes—6,100 m—are a testament to
periods leading to glacial advances—warm the importance of alpine regions to ancient
periods leading to their retreat. The question of cultures (Carey 1999).
24 2 The Geomorphological and Geological Context
Mountain landscapes, while can host glaciers, Rhône, itself, its course through the gorges
can be, and very often, unstable landforms in being blocked, not finding any exit or course
and of themselves. One recent example of to flow, until breaking free and creating great
geoarchaeological study is a tsunami of 563 devastation. After that, 30 monks came to
AD—Lake Geneva (SUI/FR). the location where the town (Tauredunum)
In 563 AD, the mountain above the town of was overwhelmed and searched the earth
Tauredunum collapses in a huge “landslide”/ (deposits) the mountain had brought there,
debris flow, burying the town and “running out” finding (only) bronze and iron.”
across the valley of the Rhone river just above
where it enters the Lake Geneva. Two contem- Finding the geoarchaeological evidence for
porary accounts exist for tsunami of 563 AD: this Medieval disaster fell to Katrina Kremer,
doctoral student at the University of Geneva,
(a) Bishop Marius of Avenches: “This year a who first conducted a sonar/echo sounder
great mountain at Tauredunum, in the dio- “pinger” survey in the fall of 2010 and then
cese of Valais, collapsed suddenly and took 10 m sediment cores into the lake sediments
destroyed the town and the nearby villages at 300 m water depths (Fig. 2.9).
and at the same time, their inhabitants. The Shown above, from a 2012 article (Kremer
landslide also moved the length of the lake, et al. 2012), in Fig. 2.9, and the cartoon,
60 miles long and 20 miles wide, flooding Fig. 2.9a, Kremer mapped, cored, and sampled
both shores, and destroying very old a huge sand deposit 15 km long and 7 km wide;
villages along with people and animals. 250 million cubic meters of sediment, 25 m
The lake demolished, at the same time, thick, was ejected into the lake, creating a giant
many churches and those that served them. wave or tsunami. Wood recovered in the cores,
Finally, the (wave?) struck the bridge at dated by radiocarbon, placed the deposit in AD
Geneva, the mills and its people entering 563. Kremer confirmed Gregory of Tours’
into the town killing many inhabitants.” account which clearly stresses the blockage of
(b) Bishop Gregory of Tours: “A great event the Rhone river and a subsequent inundation
occurred at the town of Tauredunum. This caused by the “rapid lowering” (se répandit
town is near/above the Rhône river. After impétuositié plus bas) of the accumulated water
not having heard for 60 days and more, so behind the landslide deposits, which subse-
loud the deaf could hear, the mountain, split quently failed. The tsunami was not the result
finally, from the other nearby mountain, and of a direct debris flow into the lake but a later,
crashed into the river, carrying along in the secondary discharge of a catastrophic flood of
landslide the people, the churches with their water and sediment into the lake, creating the
valuables which were in the buildings; the “bulge” of water necessary for a tsunami.
two banks (of the river) were obstructed. The In modeling studies of the event (2012),
water rose in the rear (of the blockage), the Kremer notes: “We have not accounted for how
place constricted, both shores of the valley, the subaerial rockfall actually initiated failure of
in whose throat the river ran. Having the delta, or the transformation of the subsequent
inundated the larger portion of the valley, it subaqueous landslide into a mass flow, for which
covered and destroyed that found on its we have no observational data.” Further, “. . ..it is
banks. The waters that had accumulated sud- important to recognize that our results are still
denly dropped, drowning the people, strongly dependent of several key variables that
destroying their homes and the beasts of are uncertain, particularly the slide volume, and
burden perished; violently flooding all that the slide velocity. The slide volume used in
was found on both shores of the lake unto simulations is a minimum of that actually
Geneva. The mass of water spread as afore- measured and could potentially be even larger,
mentioned and passed over the walls. The that would generate even larger wave heights.
2.4 Geomorphic Setting 25
The slide velocity could potentially be smaller of intense archaeological study in the twenty-first
than our used estimate, for example, due to inter- century—“ice patches”—in North America and
action with the water column resulting in loss of Europe, most notably Scandinavia and the Alps
momentum. Reducing the slide velocity from (Hafner 2012; Reckin 2013).
46 to 23 km/h decreased the maximum wave
height observed in Geneva from 8 to 3 m.”
More recently (2014, 2015), Kremer et al. have 2.4.5 Ice Patches
proposed earthquake-triggered mass movements
and tsunami as an alternative explanation for the With the onset of twenty-first-century melting,
observed occupation gap between 1872 and 1608 alpine areas, once glaciated, are yielding archae-
BC for Bronze Age settlements on Lake Geneva. ological evidence of prehistoric use (Reckin
Less dramatic, perhaps another important 2013). Prehistoric finds from four Swiss sites
aspect of glacial landscapes, has been the subject dating from the Neolithic period, the Bronze
26 2 The Geomorphological and Geological Context
Age, and the Iron Age have been recovered from et al. 2009), ice patch hunting focused on caribou
small ice patches (Schnidejoch, Lötschenpass, that sought out—and still do today—these
Tisenjoch, and Gemsbichl/Rieserferner). The features to escape biting insects. By “yarding
Schnidejoch, at an altitude of 2,756 m a.s.l., is a up” in the convenient ice patches, hunters were
pass in the Wildhorn region of the western aware of this behavior and used it to take game.
Bernese Alps (Fig. 2.10). It has yielded some of Evidence of this hunting behavior—two dart
the earliest evidence of Neolithic human activity shafts are from the Northwest Territories and
at high altitude in the Alps. The abundant assem- date from 2,310 to 2,410 cal BP and three other
blage of finds contains a number of unique artifacts from the Yukon include a dart shaft
artifacts, mainly from organic materials like (2,350–2,210 cal BP), a walking stick fragment
leather, wood, bark, and fibers. The site clearly (2,280–2,100 cal BP), and an antler point
proves access to high-mountain areas as early as (2,755–2,727 cal BP)—have been recovered.
the 5th millennium BC, and the chronological Bow-and-arrow technology dating between
distribution of the finds indicates that the approximately 800 and 150 cal BP has been
Schnidejoch pass was used mainly during found, including two complete arrows and two
periods when glaciers were in retreat (Hafner distal arrow shaft fragments, along with a very
2012). rare item: a partial willow bow dating to
In addition to the Neolithic finds, an Early 465–317 cal BP. Researchers also found
Bronze Age (EBA) round-headed pin was found modified feathers from a large bird, presumably
as well as an Iron Age coin together with signifi- used as fletching, in direct association with one
cant numbers of iron nails from Roman era shoe of the arrows. Lithic materials including a large
soles. biface and a projectile point were also located
In Scandinavia and the Yukon of North (Andrews, et al. 2012).
America, prehistoric and early historic finds High mountains were often difficult
have been found near ice patches (Reckin landforms for humans. Quoting the Swiss writer,
2013). In Norway and the North American Arc- Charles-Ferdinand Ramuz (1983), “Les
tic, animals and their hunters were actively seek- Montagnes, ils sont des milliers et vous? Vous
ing ice; ice patches with finds come in a wide etes seul.” (The mountains are thousands and
variety of forms. In the Yukon (Andrews you? You are alone.) While Ramuz is writing
2.4 Geomorphic Setting 27
primarily about Swiss mountain peasant attitudes In the Italian portion of the Southern Alps,
of the eighteenth and nineteenth centuries, he geoarchaeological studies in Trentino region
portrays the very real culturally based wariness have used stratigraphic and geomorphological
of mountain terrains. Still, archaeologists have methods to characterize landscape evolution of
demonstrated early peoples armed with stone the Trentino alpine region and its surroundings
technologies and hunting skills exploited high- from the Last Glacial Maximum (LGM) to the
mountain areas even if they did so seasonally Middle Holocene, approximately between 22,000
(Benedict 1985). In many areas of the world, and 4,000 years cal BP. The oldest evidence of
mountains are the integral portion of the land- the late glacial human occupation along the
scape. Archaeologists, working in these areas, southern margin of the Alps is recorded in the
have demonstrated that reconstruction of montane valleys. One of the key sites is Riparo
regional prehistory cannot be successfully Tagliente, in Valpantena (Verona, 250 m a.s.l.:
achieved without consideration of the processes Bisi et al. 1983; Bartolomei et al. 1985; Fontana
by which local populations adapted to mountain- et al. 2002; Table 2). This site was occupied from
ous ecosystems. Bender and Wright (1988) fur- the early late glacial, with dates ranging from
ther note that an archaeological disregard of 13,430 180 14c BP (15,360–16,548 cal BP)
mountains probably derives from our own cultur- to 12,040 170 14c BP (13,448–14,469 cal BP).
ally embedded notions of mountains as inacces- The site of Riparo Dalmeri (Dalmeri
sible and marginal (cf. Ramuz). Archaeologists, et al. 2005) with an earliest date of
nor geoarchaeologists for that matter, cannot a 12,900–13,303 cal BP shows clear evidence of
priori decide that mountains functioned as mar- the environmental situation during the
ginal environments in prehistory (Bender and Lateglacial Interstadial. The rock-shelter is
Wright, supra). located along a N-oriented wall at ca. 1,250 m
Research in alpine areas have conclusively a.s.l. Micromorphological studies have identified
demonstrated that prehistoric hunters and anthropogenic processes recorded in an
gatherers seasonally scheduled occupations of Epigravettian paleosurface (EDF stratigraphic
mountainous areas in order to procure the wide complex) that were related to the implementation
variety of resources available there (Bender of different activities: the preparation of the
1983; Wright et al. 1980). Local annual or even occupation surfaces by means of the accumula-
decadal scale variations in climatic conditions tion of silty sediment that was collected from
might curtail or prohibit occupation in any loess deposits off the site, the accumulation of
given year; the important factor is that the fine organic waste, tool production, trampling,
mountains, in general, were another stop on the and the remobilization of organic debris
round of annual movements made by Late Paleo- (Angelucci and Basetti 2009).
lithic and Mesolithic hunting and gathering In the Bighorn Mountains of the American
bands. The mountains thus become intrinsic, west, rock-shelters, specifically, 48BH1827
rather than marginal, to procurement strategies. (Two Moon Shelter) and 48BH1065
The foregoing example of prehistoric exploita- (BA Cave), have been the subject of
tion of ice patches more than illustrates this fact. geoarchaeological studies (Finley et al. 2005).
The geographer Carl Sauer defined a cultural Two Moon Shelter bears stratified Paleo-Indian
landscape which is one that has been “. . . fash- deposits that include a Folsom projectile point
ioned from a natural landscape by a cultural fragment, a 10,060 60 BP. radiocarbon date,
group. Culture is the agent, the natural are the and an undated Paleo-Indian component posi-
medium, the cultural landscape is the result” tioned stratigraphically below the Folsom occu-
(Sauer 1925). Like other natural landscapes, pation. BA Cave is a well-stratified and well-
mountains were the medium for cultures that dated archaeological deposit, yielding cultural
utilized them. occupations spanning the last 4,000 years.
28 2 The Geomorphological and Geological Context
and small (T. Nicholas Dixon, Personal Commu- for study. Certainly geoarchaeology has much to
nication 2012). Much like the prehistoric contribute to their study as well.
settlements in Alpine lakes, in Scotland and A recent example of geoarchaeology’s contri-
Ireland, prehistoric peoples utilized the lochs bution to prehistoric use of a lacustrine environ-
for resources and settlement (Dixon 2004) from ment is the Paleolithic site of Schöningen
the Neolithic into the Medieval Periods. A (Thieme 1997; Stahlschmidt et al. 2015). The
unique aspect of this human use was the creation original excavators of this important Middle
of pile-dwellings known as crannogs (Munro Pleistocene site proposed that hominin activity,
1882; Morrison 1985; Fredengren 2002; Dixon likely that of H. heidelbergensis, included hunt-
1983, 2004). Their importance of crannogs to ing and butchery and occurred on a dry lake
prehistoric archaeology is uncontested, but they shore followed by a rapid sedimentation of
are understudied. One of their obvious values is organic deposits that embedded and preserved
the enhanced preservation of organic remains not the artifacts. Recent geoarchaeological analysis
seen on most terrestrial sites. Likewise, these challenges this model. Evidence supports a dif-
lacustrine sites are underappreciated as their ferent scenario where the sediments of
overall importance in prehistoric settlement Schöningen 13 II-4 aka “spear horizon” were
systems. Unlike the shoreline villages of the deposited in a constantly submerged area of a
Neolithic and Bronze Ages in Alpine Europe, paleolake. In one suggested depositional sce-
crannogs were family-based structures built nario, cultural activity occurred on a shallow
upon artificial islands of stone and clay (Dixon frozen lake surface and during thaws and warm
2004). The very difference in the social origin of seasons of both remnants—butchery tools and
the crannog and that of larger settlements begs the remains of the butchered simply fell to the
30 2 The Geomorphological and Geological Context
bottom—following the geological concept of parabolic, longitudinal, and linear. When active,
dropstones, while in another the materials are these features were not likely to have been the
relocated by geogenic processes (Stahlschmidt locus of much human settlement, but after the
et al. 2015). establishment of a vegetation cover, they have
While Olduvai Gorge is used as an example of occupied by both pastoralists and agriculturalists.
the geological stratigraphic section, it could as Geoarchaeological studies of artifacts and buried
easily be an exemplar for geoarchaeological stud- surfaces in aeolian deposits can provide signifi-
ies of lacustrine paleoenvironments of the Pleisto- cant information for the archaeologist (Ivester
cene. The Olduvai Basin in northern Tanzania is a et al. 2001; Leigh 1998).
Plio-Pleistocene sedimentary basin containing a Highway construction in Northwest Missouri
succession of fluvial and lacustrine deposits that exposed a stratified archaeological site that was
are largely derived from volcaniclastic material found to contain a range of lithic materials
(Hay 1976, 1990). These well-known fossiliferous extending into the Paleo-Indian Period (Reagan
deposits contain proxy records of the evolution, et al. 1978). The excavations carried out in the
behavior, and paleoecology of early hominins mid-1970s were characterized by the extensive
such as Homo habilis and Zinjanthropus boisei use of geoarchaeological techniques to describe
(Leakey 1971; Tobias 1991). Lowermost Bed II the deposits. The site, now destroyed, was called
(LMBII) is 1.75–1.85 myr old based on ages of the Shriver site and was located in the northwest-
the basalt “lithological floor.” The Olduvai Land- ern prairie section of Missouri on a plain
scape Paleoanthropology Project (OLAPP) has characterized by loess and glacial drift deposits
sought to understand synchronic, basinwide overlying shale and limestone bedrock (Dort
patterns of land use by the Oldowan hominins. 1978). Its discovery and its distinctive lithic
Paleoenvironmental reconstructions (Hay 1976, assemblage raised the possibility of it being a
1996; Bonnefille 1984; Cerling and Hay 1986; so-called “Pre-Clovis” site. This assignation
Sikes 1994; Hay and Kyser 2001; Deocampo and was based on the artifactual stratification wherein
Ashley 1999; Ashley and Driese 2000; Deocampo a Folsom period occupation (ca. 11,000 BP) was
et al. 2002) have provided a context for interpreting superposed on a deeper (~40 cm) assemblage of
associated archaeological finds (Blumenschine bifacial and unifacial flint artifacts containing no
and Masao 1991) and test aspects of recently pro- lanceolate projectile points (Reagan, supra).
posed hominid land-use models (Peters and Because of the unusual nature of the archaeolog-
Blumenschine 1995, 1996; Blumenschine and ical assemblage, the excavators conducted exten-
Peters 1998). As noted in Chap. 3, Hans Reck sive geoarchaeological studies to include
and later Hay distinguished these beds within the geological/geochemical, soil/sediment, pollen,
Olduvai section based upon their color, sedimen- and geochronological procedures. The author
tological texture, and biostratigraphy. was involved in the geochronological aspect of
the study utilizing thermoluminescence (TL) to
investigate flints suspected of being heat-treated
2.4.7 Loessic and Glacial Landscapes: (Reagan, supra).
Midwestern United States From a lithostratigraphic perspective, Dort
reduced the 13 units to a section of four geologi-
In the Midwestern United States are landforms cal units which he called: (i) Unit 1, the Bignell
that dramatically display the interplay of wind- loess, 8,000–13,000 BP; (ii) Unit 2, Peoria Loess,
born deposition of both sand and silt (loess). 13,000–18,000 BP; (iii) other glacial and ero-
These are the sand hill regions of the state of sional materials; and (iv) Upper Pennsylvanian
Nebraska along with the great loess/sand prairies bedrock (Reagan, supra). He placed the three
of Nebraska, Kansas, and the Missouri River cultural stratigraphic units into the upper two
Valley (Fig. 2.13). Most identifiable of aeolian geological units. The older of the culture strati-
landform are dunes—barchan, transverse, graphic units, “Pre-Clovis,” was located on the
2.4 Geomorphic Setting 31
Fig. 2.13 Map by Bettis et al. (2003) showing loess distribution and thickness in the Great Plains of the United States
sub-loess (Peoria) erosional surface implying 215 cm. Dort identified an erosional surface and
an antiquity of at least 18,000 years. Soil chemi- probable paleosol at this location as well. No
cal trends, particularly the phosphorus and archaeological significance was attached to this
potassium concentrations, showed a correlative lower geomorphic surface, but its paleoclimatic
discontinuity at this stratigraphic location relevance is obvious.
(65–75 cm). A similar break in the geochemical The most well-described post-LGM paleosol
signatures was seen deeper in the section at for the Midwestern United States area is the
32 2 The Geomorphological and Geological Context
so-called Brady Soil. Peoria Loess deposition in buried mollisol which has the pH profile increasing
the central Great Plains appears to have occurred with depth together with high silt (63–76 %)
between approximately 20,000 and 10,500 BP values typical of loesses. The observed clay ratio
(Martin 1993) (Fig. 2.14). The Brady Paleosol (0.3) in the mollisol’s Ap horizon increases to a
is identified as carbon-rich, organic layer across value of 1.4 in the Bt2 horizon (supra). Argillic
most of Kansas and Nebraska. Formation of the horizons in mollisols have fine-to-coarse clay
Brady soil initiated between 15,500 and ratios ranging from 1.0 to 1.5 (Wascher
13,500 cal year BP, during a time period of et al. 1960). Likewise, in well-drained examples,
much slower dust deposition (0.1–0.2 mkyr1), the clay mineral alteration is minimal. Follmer
which allowed for pedogenesis and the accumu- noted some properties, the presence of incipient
lation of SOM (Marin-Spiotta et al. 2014). E horizon, in the mollisol that indicated the possi-
Increasing rates of loess deposition over time, bility of polygenesis or overprinting caused by the
estimated at 0.72–0.80 mkyr1, buried the presence of a later forest cover (supra). The C
Brady soil approximately 10,500–9,000 years horizon is the Henry Formation. Follmer does not
ago. specifically discuss the archaeological materials
The work of Follmer (1982) at the central Illi- found at the Rhoads site, but they are later
nois archaeological Rhoads site identified a Peoria (Archaic Period) than those excavated at the
Loess deposit on the till plain of the Illinoian Paleo-Indian Shriver site.
(penultimate) glaciation just south of the morainic Balco and Rovey II (2010) have used cosmo-
margin of the later Wisconsin glaciation. At the genic isotopic dating methods and magnetostra-
Rhoads site, the Peoria Loess caps sand and gravel tigraphy to assess the chronology of the major
outwash deposits termed the Henry formation, Pleistocene ice advances in North America. The
whose aggradation peak was about 17,000 first two of these advances were found to corre-
BP. Follmer gives the Peoria Loess a wider time late well with the newly proposed Pleistocene—
range than Dort—12,600–23,000 years—based on Pliocene boundary of 2.58 Ma (~2.4 Ma) and the
radiocarbon dates for its base, near St. Louis, of “mid-Pleistocene transition” at 1.3 Ma. The ini-
23,110 280, 23, 930 280 BP (McKay 1979). tial advance reached 39o N latitude or what is
On the Peoria Loess was identified a paleudal or today the Missouri River Trench in central
2.4 Geomorphic Setting 33
Missouri (Fig. 2.6). Lithological evidence for the complex fluvial history in a now hyperarid and
five advances lay in individual glacial tills. In uninhabited region (supra). Well-defined
dating the tills, the authors of this study were in networks of broad alluvial valleys, braided
fact dating underlying paleosols which had streams together with bedrock-controlled
formed from the overlying tills. The oldest channels, appear in the radar images and have
paleosols were named the Atlanta and Moberly been confirmed on the ground by archaeologists.
Formations and were magnetically reversed, Along these “radar rivers” have been found evi-
making them older than the Brunhes-Matuyama dence of some of the earliest inhabitants of north-
Boundary (~780 Ka). The younger tills were east Africa and northwest China (Wendorf n.d.;
magnetically normal, indicating ages less than Holcomb 1996). Allogenic streams exist in many
that of the Brunhes-Matuyama event. These tills arid lands—the Nile in Ethiopia and Egypt, the
were the Fulton, Columbia, and Macon Jordan in the valley and hills of the Dead Sea, the
Formations. All predated MIS 6 (~150 Ka). The Truckee ending in the Nevadan desert at Pyramid
Columbia is till dated to before this time Lake, and the Colorado of Grand Canyon to the
(0.22 0.16 Ma), whereas the Macon Forma- Gulf of California. These fluvial systems can be
tion was not well constrained, suggesting only sensitive indicators of paleoclimate because of
that it was younger, but uncertainties in the cho- their aggradation and erosion due to rainfall out-
sen cosmogenic method (26Al/10Be) prevented side the bulk of their drainages (Hassan 1988).
reliable dating of the final till (supra).
Just as nearshore continental shelves were one The Sahara is the largest of the world’s hot
coastal plain, drylands and deserts were often deserts (the polar regions are deserts, too, and
verdant savannahs and forests. Drylands form larger). C.B.M. McBurney, writing in 1960,
35 % of the Earth’s land surface (Oviatt stated, “The central fact of the North African
et al. 1997). Within these drylands are true environment is the Sahara (p.62).” McBurney
deserts (16 %). Water plays an important role in went on to say, “. . ..to many the name conjures
shaping dryland topography but a more signifi- up a vision of vast area covered almost entirely
cant factor is the wind. The reason the wind is with rolling sand dunes and scattered here and
important is self-evident from an inspection of there with oases of almost incredible fertility.” It
the term “dry” land. is, as he points, the largest single tract of aridity
Dryland landforms created by water vary in the world spanning Africa from the Red Sea to
from arroyos (“wadis” in Old World parlance) the Atlantic. That said, natural vegetation,
to eroded mesas and buttes. Playas form in though rare, is not totally absent and takes the
deserts where precipitation is insufficient to form of widely spaced clumps of desert shrub
maintain permanent lakes. Where lakes do exist and, toward the desert’s margins, clumps of
in dryland areas such as the Great Salt Lake bunch grass extending over perhaps 60 % of the
(USA), the Dead Sea (Israel/Jordan), and Pyra- Sahara’s vast area (supra, 64). The southern mar-
mid Lake (USA), snow melt and other runoff gin is a zone of steppe and savannah some 400+
feed the basin from outside the immediate area km wide grading into tropical forest. The north is
of the lake itself. Ancient fluvial systems or steppe as well but narrower. The western half is
paleo-drainages have been revealed in the shal- mountainous—the Atlas Range—with conifer-
low subsurface of the eastern Sahara in the driest ous scrub and forest due to higher rainfall.
region of southern Egypt and northern Sudan In the central Sahara lie two important, in
(McCauley et al. 1982). Space shuttle-based prehistory, highland areas—the Hoggar and
radar provided us with evidence of a long and Tibesti massifs. A third, lesser massif—the
34 2 The Geomorphological and Geological Context
Air—lies southeast of the Hoggar. Peaks in the during the last 3,000 years of hyperaridity, rain-
Hoggar often exceed 2,500 m and two, in the fall has been measured only in millimeters a year,
Tibesti, are 3,000 and 4,000 m. These heights so the deficit must be made up by the aquifer. In
are equal to many well-known peaks in the the prehistoric Green Sahara era, an ancient lake,
Alps such as Schilthorn and Jungfrau. In prehis- the Mega-Chad, 50 or 100 times—an order of
tory, these heights are thought to have influenced magnitude—more extensive than the present-day
climate and cultures across the heart of the Lake Yoan, may have existed. The Green Sahara,
Sahara (Williams 1984b). Nonetheless, vast known as the African Humid Period, lasted
dune fields do exist that give the Sahara its roughly from 11,000 to 5,000 years ago. A
well-deserved reputation for inhospitality to all North African savannah—now the parched
but the hardiest. Sahara—existed for elephants, giraffe, hippos,
Nubian Sandstone Aquifer System underlies antelopes, and aurochs that once made their
much of the eastern Sahara. This is the world’s homes there.
largest fossil water aquifer, and it spreads In a 2008 research paper, geoarchaeologist
roughly 2,000,000 km2 (772,000 sq. mi.) beneath Stefan Kröpelin challenged the hypothesis that
Chad, Sudan, Egypt, and Libya to a maximum the Sahara underwent rapid desertification in the
depth of 4,000 m (12,8000 ). The Lakes of Holocene. Advanced by P.B. deMenocal (1995,
Ounianga, 18 interconnected, freshwater, saline, 2000), the North Africa dried from savannah to
and hypersaline lakes (Fig. 2.15), located more desert over the course of only a few centuries.
than 800 km (500 mi) from the nearest other lake, DeMenocal et al. used the record of a marine
Lake Chad, are supplied from below by this sediment core of Late Pleistocene-Holocene ter-
aquifer. Sahelanthropus tchadensis, dated to rigenous (aeolian) sediment at ODP Site 658C,
over 6 m.y., was discovered in 2001 and 2002 off Cap Blanc, Mauritania, to document very
in the Chadian desert by Michel Brunet abrupt, large-scale changes in subtropical North
et al. (2002) nearby. As the result of a hydrologi- African climate. This terrigenous record,
cal system, all but 1 of the 11 lakes of Ounianga according to deMenocal, exhibited a well-
Serir are fresh. defined period of low sediment influx between
The intense Saharan sun drives the evapora- 14.8 and 5.5 cal. ka BP associated with the Afri-
tion at nearby Lake Yoan, lowering the water can Humid Period, when the Sahara was nearly
level by 6 m (190 ) a year. Now, and presumably completely vegetated and supported numerous
perennial lakes and an arid interval corresponding How did climate and tectonic change interact
to the Younger Dryas Chronozone. Using new during critical intervals of human evolution? To
data, from Saharan lake sediments, Kröpelin answer this fundamental question, recently,
asserted that it may have been a far longer, 2012–2013, scientific drilling teams have
much more gradual process of desertification, extracted long cores from five high-priority
one taking not centuries but millennia. areas in Ethiopia (Northern Awash River and
One biomineralogical piece of evidence for Chew Bahir areas) and Kenya (West Turkana,
ancient lakes is diatomite. Diatomite is alight Tugen Hills, and Southern Kenya Rift/Lake
sediment made up of the microscopic skeletal Magadi) where highly resolved, continuous
remains of diatoms, single-celled plants that lacustrine paleoclimate records can be collected
have sunk to the bottom of lakes and oceans. through important time intervals in the same
When the water of a lake recedes, diatomaceous basins that contain fossils and artifacts (Pennisi
earth can often be found on the walls of the 2013) (Fig. 2.16).
sandstone escarpments that surround the The extraction of high-resolution (centennial-
Ounianga Kebir and Serir basins. Sampled, the millennial scale) sediment cores allow acquisi-
elevation of deposits noted and carbon dated, the tion of datable, geochemical, paleoecological,
approximate depth and the extent of the Chadian and sedimentological records. These proxy data
“paleolakes” can be postulated. from the paleolake sediments include tephra,
In 2010, Kröpelin and Martin Melles of the pollen, phytoliths, macrobotanical remains,
Quaternary and Paleoclimatology Group at the diatoms, algae, macro- and micro-invertebrate
University of Köln directed the recovery of a and vertebrate remains, as well as any
16 m (52½0 ) sediment core form Lake Yoan, in artifacts—whole or fragmentary—fashioned by
pursuit of layers from the Holocene Era. The hominins.
laminated sediments have yielded a continuous, The HSPDP seeks, much like the Sahara lakes
10,940-year continental record of climate and study, to use lake sediment records, for continen-
environmental change for the south-central tal sites, to address paleoenvironment. Where
Sahara. Kröpelin et al. summarized, in 2008, the Saharan research focuses on the Late
that the Lake Yoa(n) record supports archaeolog- Pleistocene-early Holocene climatic variation,
ical and geological data from the eastern Sahara the Rift’s paleolake study delves more deeply
as well as palynological data from the West Afri- into the period of hominin evolution, the Plio-
can Sahel that the record of Saharan dust deposi- Pleistocene. With the recalibration of the base
tion in the tropical Atlantic Ocean is not date for the Pleistocene at 2.588 m.y., more
representative for landscape history throughout hominin genera, such as Homo erectus/ergaster
dry northern Africa. The dispute based on two and habilis, are now exclusively within this
geoarchaeologically oriented sediment studies geological era. Australopithecus species and
points out the disparity that can accrue between pre-Australo genera such as Orrorin,
even the best of data sets. Ardipithecus, and Sahelanthropus are firmly
In another, recent, large-scale geoarchaeological rooted within the Pliocene and late Miocene.
drilling project, the Hominin Sites and Paleolakes The Rift’s study addresses what is termed the
Drilling Project (HSPDP) has begun the study of variability selection hypothesis (Conroy and
six ancient lakebeds in the African Rift (Pennisi Pontzer 2012). This hypothesis attempts to wide-
2013) (Fig. 2.15). In the Baringo Basin, the project spread Plio-Pleistocene climatic and associated
has drilled to a depth of 228 m, extracting sediment environmental change to important events in
cores. This study, like that of the Lakes of hominin evolution (Potts 1998). HSPDP data
Ounianga research, seeks to examine the synchro- are hoped to be able to directly identify increased
nicity of deep sea cores’ findings with that of the environmental variability, allowing evaluation in
African continent. regard to hominin adaptations.
36 2 The Geomorphological and Geological Context
spring. For archaeology, these sources of water Chauvet Cave, located along the Ardeche River,
have concentrated both fauna and human a tributary of the Rhône, lies on the south flank of
cultures, forming deposits of both within and the Massif Central and dates to the same period
around the spring. Where the water has aban- as Cosquer.
doned the subterranean feeder conduits of the
ancient springs, caverns and caves now exist.
Collapses occur over time that form traps for 2.4.11 Combe Grenal
animals and humans. In Spain, collapsed lime-
stone caves have produced some of the most As noted in the introductory chapter, the term
spectacular evidence of early humans on the “Paleolithic” was a British invention, but the
continent of Europe. The collection of sites is French applied it to their extensive variety of
known as Atapuerca that lies within the northern prehistoric sites. One such site is Combe-Grenal.
sierra of Spain. The caves, known since 1976, The excavation and significance of Combe-
have, since the beginning of serious excavations Grenal is most closely associated with Francois
in 1990s, produced over 1,600 human bones Bordes. Francois Bordes was the leading French
ranging in age from greater than 780,000 to Paleolithic archaeologist for most of the mid-part
127,000 years ago. This chronology has been of the twentieth century. Bordes was encouraged
derived from work in what is termed “the by Peyrony to excavate there (Dibble
Gran Dolina” or Big Sinkhole (Renfrew and et al. 2009a, b). At Combe-Grenal, Bordes and
Bahn 1996, 2000, 2004). his students, from 1953 to 1965, revealed a
The nearby site Sima de los Huesos or “Pit of sequence of almost 13 m of rich archaeological
Bones” has yielded the bulk of the large collec- deposits, apparently spanning the period from the
tion of human remains found to date and final stages of the penultimate glaciation (MIS 6)
revolutionized our thinking of the colonization through to almost the end of the Mousterian
of Europe by early humans. Indeed, in Europe succession, from 125,000 BP to 40,000 BP
and elsewhere, some of our earliest fossil humans (Fig. 2.17) (Bordes 1972). They excavated
and their material culture has originated in caves. 64 stratigraphic levels, and using these data,
The first of these was Neanderthal, discovered in Bordes refined the Middle Paleolithic stone tool
1856, in its eponymous valley. A continent typology used today by most workers in this
away, Homo erectus known as “Peking Man” period (Dibble et al. 2009a, b).
was found in the debris of the “Cave of the Bordes was trained as a geologist. As
Dragons”—Zhoukoutien. discussed in the introductory chapter, into the
In 1990 and, shortly thereafter, in 1994, two mid-twentieth century, French prehistorians
dramatic cave art discoveries were made in continued to hue to a “paleontological” paradigm
France. These solution features, in massive for conceptualizing the stratigraphy of their
limestones, south of the Massif Central, were, excavations (Fig. 2.17). Strata were viewed
respectively, Cosquer Cave and Chauvet Cave. biostratigraphically but material finds—tool
Both contain some of the oldest Upper Paleo- types ( fossile directeurs)—the “biota,”
lithic art ever discovered—29 to 35,000 years separating antecedent and subsequent units
(Clottes and Courtin 1996; Clottes 2001). Both (Sackett 1999). This approach to stratigraphy,
are located outside the heartland of Paleolithic Bordes discarded at Combe-Grenal. Bordes was
cave art, the Loire River valley and northern quick to recognize the fossile directeur approach
Spain. Cosquer Cave is unique, by virtue of its had two implicit assumptions: the first was the
discovery below the surface of the Mediterranean conflation of the Paleolithic record with that of a
near Marseilles. The cave entrance was found paleontological record—a one-to-one correlation
30 m below the sea surface by scuba divers. between archaeological levels and “natural”
Its entry, by ancient artists, occurred sometime stratigraphic units—and the second was the
during the last glaciation (Würm/Weichsel). excavated material record, tool traditions,
38 2 The Geomorphological and Geological Context
Fig. 2.17 Combe-Grenal stratigraphy—Mousterian photograph, from Bordes (1968), above. Levels 56–64 are
levels 24–54 are shown in photo and inset. The rear portion shown in the elevation section, below, which corresponds
of the inset fence diagram (B) is correlated with the to the far left of the fence diagram (Bordes 1972)
2.4 Geomorphic Setting 39
features, etc., which would reflect a specific Paleolithic research over the last half century
block of time in the archaeological record (supra).
(Sackett, supra). In short, major episodes of Pech de l’Azé IV is another of a complex of
depositional history were reflective of similar four Lower and Middle Paleolithic sites located
episodes of cultural history. in the Perigord region of southwest France.
The Bordesian approach, as it has been Bordes did spend extensive efforts at this site
termed, used well-defined artifact assemblages (Bordes 1972). Bordes discovered and first tested
segregated into “occupational horizons” and the the site in the spring of 1952 (Bordes 1954) and
minimal sedimentological units that were then excavated there continuously from 1970 to
discernable within these. Bordes viewed the rel- 1977. It and Combe-Grenal were two of the more
ative frequency of tool types, ensemble, with important examples of Bordes’ methodology—
their paleoenvironmental contexts as critical to the “Bordesian approach”—and his lifelong
developing a true chronostratigraphic description attempt to bring order to the Middle-to-Upper
of a site. One glance at his stratigraphic section Paleolithic in France. Goldberg, in 1979, and
for Combe-Grenal will confirm this. Combining then later (Goldberg and Sherwood 2006) did
the definition of polymorphic tool assemblages groundbreaking micromorphological studies of
with simple statistical measures, Bordes was able the deposits at Pech de l’Azé IV (Fig. 2.18). At
to wring greater complexity out of the Paleolithic this Middle Paleolithic cave, well-rounded
record. This said, Combe-Grenal was one of pebbles recovered during Bordes’ original
Bordes’ first applications of new proveniencing excavations were initially thought to be hammer-
methods, and it required managing these stone artifact. However, they, now, appear to be
methods over a very large-scale excavation. fluvially transported Pleistocene endokarstic
Because of this, the Combe-Grenal collection deposits that significantly predate the occupation
has some serious problems, especially in terms of the cave (Goldberg and Sherwood, supra).
of the stratigraphic integrity of the assemblages Bordes did not excavate Fontéchevade
(Dibble et al. 2009a, b). This is troublesome (Charente) cave, but perhaps he should have
because of the long sequence and also the rich- given the recent geoarchaeological reassessment
ness of its lithic and faunal assemblages at of the site formation processes and taphonomic
Combe-Grenal. The site has played a central factors at play there (Dibble et al. 2006; Chase
role in many of the dominant issues in French et al. 2009). The Tayacian, as an archaeological
Paleolithic culture, was first recognized by the documented diagenetic and mineralogical pro-
French archaeologist Denis Peyrony at the site of cesses and their ramifications for correctly
La Micoque (Peyrony 1938), located in the interpreting anthrogenic deposits (Goldberg and
Dordogne in SW France. Not long afterwards, Sherwood 2006.
excavations at another site 80 km to the north- Along the coast of South Africa are numerous
west, in the Charente, yielded an even larger Paleolithic cave sites where geoarchaeological
Tayacian (Henri-Martin 1957). It was for this studies have made salient contributions. Klasies
reason, this latter site, Fontéchevade, ultimately, River Mouth cave has produced skeletal evi-
become the reference site for the Tayacian (Dib- dence of anatomically modern humans (AMH)
ble et al. 2006). as early as 90,000 years BP in what is termed the
Fontéchevade illustrates the importance of Middle Stone Age (MSA) (Ambrose and
revisiting and reevaluating earlier excavations Lorenz 1990). At Die Kelders Cave east of
with new techniques and methodologies. Chase Cape Town, MSA deposits have been shown to
et al. (2009) and Dibble et al. (2006) present postdate a last interglacial (OIS 5) high sea level
comprehensive reviews, based primarily on that overlies earlier deposits (Grine et al. 1991).
geoarchaeology, of the sedimentological context, Farther east Blombos and Sibudu Caves have
as well as the reality of the Tayacian as a Paleo- produced evidence of MSA stone and bone
lithic stone industry. When the site was origi- tools in association with early fire (Backwell
nally excavated, the association of bones and et al. 2008; Henshilwood et al. 2001; Schmidt
stone tools in a cave was uncritically accepted et al. 2012). The South African caves, in general,
as evidence of human agency in their accumula- are important because of the demonstrated
tion. Re-excavation and reanalysis in the 2000s signatures of modern human behavior in the use
have led to the conclusions that Tayacian of tool, ornamentation, and control of intentional
assemblages at Fontéchevade are primarily the fire (Klein 2000; Shimelmitz et al. 2014).
result of natural formation processes. These pro- With regard to early fire and hominins, results
cesses probably introduced some modified from micromorphology and FTIR refute many of
artifacts into the site and clearly produced the commonly held notions regarding the inten-
pseudo-artifacts that were originally interpreted tional use of fire by humans at Zhoukoudian
as artifacts. It is this combination of damaged and Cave (Goldberg et al. 2009; Goldberg and
pseudo-artifacts that became the basis for the Sherwood 2006). A similar type of study was
assemblages known as Tayacian (supra). The conducted at Kebara Cave, where numerous
authors concluded that the use of the term combustion features are also preserved. As at
Tayacian should be dropped. In this regard, it Tabun, higher concentrations of phytoliths
could join the Osteodontokeratic “culture” (Dart occurred in micromorphological samples from
1957) as an example of an industry that simply within the cave than in those from outside. The
isn’t. results indicate that human transport of fuel was
Beyond Europe, most notably the above the major source of phytoliths into the cave
examples from southwestern France, cave sites (Goldberg and Sherwood, supra).
on all continents have been extensively studied
by geologists. The study of caves is, perhaps, one
of the most mature aspects of modern 2.4.12 Volcanic Landforms
geoarchaeology. One of the most dramatic
advances in the realm of cave sediment studies Not every geomorphologist considers this type of
involves diagenesis and mineralogical research landform within the scope of basic geomorphic
and their implications for understanding site for- settings. This is somewhat surprising given the
mation processes, human use of caves, and dat- prevalence of volcanism and its impacts on
ing of cave sediments. Their systematic study at humanity over time. Islands are almost always
Kebara and Hayonim Caves during the 1990s volcanic landforms. Continental terrains are
2.4 Geomorphic Setting 41
Akrotiri. No Late Minoan 1B ceramics have been the result of fault movements, both alter
found there, only earlier Late Minoan 1A period landscapes—natural and cultural. Amos Nur,
wares (ca. 1500 BC). Stanford geophysicist, has investigated
Based on this discrepancy, many earthquakes in the Holy Land (Nur and Ron
archaeologists see no direct connection between 1997). Earthquakes are the second consequence
the Thera eruption and Cretan problems caused of the tectonism—volcanoes being the other.
by tsunamis and ash falls. The recent publication Indeed, where there is volcanism, there will be
of geochemical data from the Greenland ice sheet earthquakes, but the opposite is not necessarily
cores (Fiedel et al. 1995) indicate a sharp so. In the collision of continental plates, volca-
increase in volcanically derived concentrations nism or magmatic arcs are not present or occur
of NO3 and SO42 in the atmosphere in the only early on in the process. The collision need
interval between 1646 and 1642 BC. Coupled not be “head on,” a convergent boundary, but a
with dendrochronological data for the same “side-swipe” type of collision, called a transform
period, 1628–1626 BC, a major volcanic erup- fault boundary. The boundary between the
tion occurred, but was it Thera? The evidence Pacific and North American plates is a transform
argues against a fifteenth-century BC eruption boundary as in that between the Mediterranean
and suggests an early mid-seventeenth century and Arabian Plates. Both are the seismically
BC for the Theran eruption (Bruins et al. 2008). active zones particularly in California and the
Recent geoarchaeological studies by Bruins Jordan-Dead Sea Transform fault. Along the
et al. (2008) have produced definitive evidence Dead Sea-Sea of Galilee axis, Nur has identified
for a tsunami or tsunamis associated with the a 14 m strike-slip movement in the past
Santorini eruption as shown in Fig. 2.19. 2,000 years. The observed motion of the fault
accounts for only 3–4 m of this amount. Why
the discrepancy? Nur suggests the occurrence of
2.5 Earthquakes: Volcanic or magnitude 8.0 or greater (Richter scale) event
Otherwise (s) in the past.
Using the literary sources, histories, and the
While they can be a direct result of volcanism, Bible, Nur has accounts of major earthquakes in
earthquakes, whether associated with volcanic 370 AD, 31 BC, and 756 BC. Judea, half of the
eruptions, or, as more generally the case, simply dual monarchy of Israel, and later the name of the
2.6 Mapping 43
Roman province, experienced a devastating world, this is where the value of GIS is most
earthquake mentioned in Josephus as the same apparent. Once the geographic information is in
time as the Battle of Actium (31 BC). The digital form, GIS programs can be used to make a
370 AD quake destroyed the Roman city of base geomorphic map (the primary surface in
Beth Shean and is mentioned by Ammianus GIS parlance) and then as series of subsequent
Marcellinus (Nur and Ron, supra, 55). This maps (secondary surfaces) showing elevation
event was recorded in Cyprus, 360 km to the data, stream locations, soil types, landform
southwest. Zachariah describes a major earth- types, and landform units such as alluvial fans,
quake, along with the classic strike-and-dip colluvial deposits, terraces, etc. By breaking up
movement, at Jerusalem in 756 BC. The stron- the geomorphic data into multiple displays, one
gest candidate for earthquake destruction is can avoid the problem of complicated and
ancient Jericho where “the walls come tumbling difficult-to-interpret maps. In the United States
down.” Jericho is no stranger to earthquakes, and many other developed countries, it is possi-
being struck in July 11, 1927 by a major event ble to obtain geographic and geological data
that destroyed major portions of Jerusalem, kill- encoded into computer-compatible form. Again,
ing hundreds. in the United States, a primary source would be
the US Geological Survey (USGS). Digital ter-
rain maps are available from that agency, while
2.6 Mapping coastal maps are available from the National
Oceanic and Atmospheric Administration
Identification of particular landform is typically (NOAA). Digitized topographic maps now exist
done by the use of (a) planimetric maps, at a scale commonly used in archaeology—
(b) aerial or satellite imagery, and (c) ground 1:24,000—that of the 7.5 min quadrangle map.
reconnaissance. The objective is to map the prin- Many countries have similar maps available. The
cipal geomorphic landform, from remotely GIS base maps of Mexico, for example, are
sensed data onto maps of scales appropriate to exemplary.
the archaeological questions being asked. Broad Much of the discussion involving geomorphic
geomorphic features, at local and regional scales, mapping is appropriate to that of geological
can be deduced from aerial/satellite images. In mapping. The use of aerial and other remotely
regions with extensive vegetative cover, conven- sensed data is important to the mapping of sur-
tional visible spectrum photographs are not as face rock units. The geological map thus shows
effective for evaluating landforms as those the distribution of rock units as they appear on
using infrared and microwave regions of the the surface of the Earth. Like the geomorphic
electromagnetic spectrum. These latter types of map, the data is overlain on existing maps at a
imaging can aid in landform classification by scale chosen by the investigator. The two types
differing levels and types of vegetative cover, of maps are similar, but the geological map uses
surface hydrology, and, with newer types of a suite of symbols that are commonly agreed
high-resolution imaging spectrometers, mineral- upon by geologists. Not only does the map
ogy and rock types can be examined. Ground- show rock types, but it also shows elevation,
level studies include walkover surveys and sub- strike, and dip of the geological structure. Strike
surface studies using both hand and mechanical or line of strike is the direction or trend of a
means. formation relative to north or south. Dip is the
From these images and ground investigations, angle between the horizontal and the tilt of the
the geomorphic map should describe formation. On geological maps, these appear as
(a) morphology, (b) landform, (c) drainage t-shaped symbols ({) where long lines indicate
patterns, (d) surficial deposits, and (e) tectonic strike and short lines indicate dip. A number can
features together with geomorphic/geological be shown by the symbol to indicate the angle of
processes active in the mapped area. In today’s dip (e.g., 25 ). As all maps must be oriented to the
44 2 The Geomorphological and Geological Context
Fig. 2.20 Block diagram, with strata and folding Allard and Whitney, Environmental Geology Lab Man-
illustrated (a) and geological map (b) further illustrating ual, Wm. C. Brown, Fig. 4 (1994))
synclinal, anticlinal folding, strike-dip directions (From
The profile is indicated on the geological map as Contacts of rock units with a dip greater than
a straight line such as “AB.” On the profile, the the stream’s slope or gradient “V” down-
horizontal maintains the scale of the surface map, stream, while those with a dip less than the
but the vertical scale is more often than not gradient, “V” upstream.
exaggerated to several times than that of the 15. Vertical beds do not “V” or migrate with
horizontal scale. The vertical exaggeration is a erosion.
ratio of the horizontal scale divided by the verti- 16. Contacts migrate down-dip with erosion.
cal scale such as a scale of a topographic map of 17. Fault blocks erode according to their up- or
1:24,000 (2,000 ft to the inch) divided by a scale downthrown aspect—upthrown eroding
of 200 ft to the inch yielding a ratio of 2000/20 or faster than downthrown fault blocks.
a 10 vertical exaggeration. 18. Contacts between horizontal rock units are
Simple rules to follow involving topographic parallel to the topographic contours along
and geological maps include: those contacts.
19. The top of a map is always north.
1. All points on any given contour have the
same elevation.
2. Contours of different elevation never inter-
sect each other. 2.7 Map Scale
3. Contour lines never split.
4. Contour line spacing—close versus wide— Generally, geomorphology, in the service of
indicates steep versus gentle slopes; cliffs archaeology, is not practiced at the global scale.
are indicated by closely spaced or seemingly We are concerned, principally, with topography
coincident lines. and its control of surface hydrology and past
5. Contour lines close on themselves, either human ecosystems. Scale is important in the
within or without the confines of a map. conduct of geomorphic and geological mapping.
6. A contour that closes on itself within a map In the remote sensing of topography, from aerial-
indicates a hill. and space-based platforms, the National Aero-
7. A contour that closes on itself, with nautics and Space Administration (NASA) has
hachures, indicates a depression—the recognized three scales of interest: global scale,
hachures point inward. 1 km horizontal, 10 m vertical resolution; inter-
8. Contour lines curve up or “inward”— mediate scale, 100 m horizontal, 1 m vertical
pointing “up” a valley. The lines cross resolution; and local scale, 10 m horizontal,
streams at right angles. 0.1 m vertical resolution. These scales apply to
9. Bold or darker contour lines reflect simple both visual and multispectral imaging.
multiples of one another. Some maps indi- Their usefulness in geomorphic mapping is
cate a multiple of 5, 25, etc. This is termed fairly obvious. When mapping we refer to high
the contour interval (Fig. 2.20). resolution as small scale. In terms of map scale,
10. Anticlines have their oldest beds or rock this nomenclature is confusing to many. “Large-
units in the center. scale” maps of 1:150,000 to over 1:1,000,000 are
11. Synclines have their youngest beds in the “low resolution.” High resolution, at the local
center. scale, is represented by ratios of 1:20,000 or
12. Anticlines incline (“plunge”) toward the smaller. Observations made at different scales
closed end of a geological structure. are useful depending, of course, on the types of
13. Synclines incline toward the open end of the questions being asked. One must be careful, as
geological structure. Stein cautions (1993), in geoarchaeology, to
14. Monoclinal folds incline in only direction. address scale from the human perspective. This
Terraces act as monoclines. is to say that in archaeology, landscape
46 2 The Geomorphological and Geological Context
reconstructions must be focussed on their rele- thermal infrared band which discriminates
vance to human cultures, their processes, and between land and water; band 7 is the near-
consequent stability or change over time. In this infrared spectral band which penetrates haze,
regard, geoarchaeology is differentiated from tra- emphasizing water and boundaries in landform.
ditional geomorphology and other geosciences Landsat 3 did not have bands 5–7. These were
by its use of earth science methods to make incorporated into Landsat 4. It did have a Multi-
interpretations about human groups interacting Spectral Scanner (MSS).
with landscape, climate, vegetation, and hydrol- Landsat 4 was the first satellite in the Landsat
ogy (supra). In mapping archaeology onto topog- program to incorporate the Thematic Mapper
raphy, it is done more often at local or (TM) sensor. The Landsat 4 TM sensor is able
intermediate scales. to gather seven bands of data as opposed to the
four bands of data collected from the previous
Multispectral Scanner (MSS). In addition to hav-
2.8 Data Sources for Mapping ing three more bands of data to work with,
scientists are able to view the TM data at
If one starts with satellite imagery such as that of a much higher resolution than with MSS. Bands
Landsat—land + satellite—(hereafter “Landsat”), 1–5 and 7 each have a spatial resolution of
3/4, then the scales of this format varied from 30 m, while the MSS is only offered in 79 m
1:250,000 to 1:1,000,000. At the larger scale, the and 82 m resolutions. Band 6 (which is a thermal
images are 185 km on a side with data on several infrared band) has only a maximum spatial reso-
spectral bands that are available upon request. The lution of 120 m. The present-day Landsat
most commonly used bands for geomorphic 8 provides nine bands of spectral data (including
mapping are the visible and infrared bands 4 to panochromatic), seven of which are ETM
7 with composites available. Band 4 is the green (Enhanced Thematic Mapper) bands, with an
spectral band and is good for delineating areas of image resolution or pixel size of 30 m
water in coastal areas; band 5 is the red band and (Fig. 2.21). The panochromatic images have
is good for the vegetation mapping; band 6 is the 15 m pixel resolution. This is an improvement
Fig. 2.21 The first Landsat 8 image. Fort Collins, Colorado (Courtesy NASA/USGS)
2.8 Data Sources for Mapping 47
of original Landsat models whose resolution was Again this is due to the scale of interest. Features
60 m. Landsat 8 has two long wavelength infra- of geomorphic interest are not necessarily those
red bands (10, 11) with 100 m resolution. of archaeological interest, and this must be con-
Commercial satellite imaging by the IKONOS stantly kept in mind when selecting remote sens-
and SPOT satellite services, launched in the ing data for mapping studies. Archaeological
1990s, regularly produces 1 m pixel visual band sites, themselves, are rarely detected from satel-
images. The original image cost was about lite images (McMorrow 1995), so site scale stud-
$1,000/negative, but digitization has driven ies should rely on the advantages of aerial images
those costs down significantly. This availability of lower scale, higher resolution.
of high-resolution, online imagery has been a Some cautionary notes on using remote sens-
boon to archaeo-geomorphic mapping efforts. ing imagery as a substitute for planimetric maps
The High Resolution Infrared Spectrometer should be made here. When using these media
(HRIS) on Landsat 8 has a continuous sampling either to create a geomorphic/geological map or
range from 0.4 to 2.5 μm region with a capability augment a planimetric map, there are inherent
of 10 nm spectral sampling intervals, thus problems both in spatial perspective and eleva-
obviating the “band” restrictions of lower spatial tion. If an image has not been acquired at the
resolution systems such as Landsat MSS and TM truly vertical, then the image lacks spatial fidelity
as well as the French SPOT systems. The contin- across its height and breadth. The only point on
uous spectral capability of the HRIS gives the the image of spatial accuracy is directly at the
researcher the ability to assess sediments, rock nadir or point directly below the lens. All other
types, and minerals in exposed terrain (EOS areas of the image are spatially distorted with
1987:2–3). For example, the spectral reflectance respect to their true positions. That is to say, the
of sedimentary rocks, which constitute about ground distance between geomorphic features is
75 % of the Earth’s surface (Pettijohn 1975), not in a true proportion with the photo distance
varies to a degree that important facies such as between those features no matter what scale is
calcite, which absorbs in the short wavelength used. Additionally, the height of features is
infrared, can be readily identified along with distorted such that relief is exaggerated except
limestones, shales, and sandstones. Using in the flattest of terrains.
Landsat ETM bands 4, 5, and 7, Carr and Turner When photomosaics are made from a collec-
(1996) have demonstrated different spectral tion of vertical images, the same problems still
profiles for rock, soil, and weathered bedrock in ensue. Only the area around the nadir or principal
western Montana. point will have reliable spatial relationships.
Both aerial photographs and multispectral Those toward the edges of the images are the
data commonly had scales of 1:80,000 down to most distorted. This distortion can be removed
1:2,000. In practice, these can be co-registered by the process of rectification where all points on
with satellite data at comparable scales or simply the image plane are corrected to the vertical.
used singularly. Aerial images are of three Vertical exaggeration is harder to remove and
types—vertical, oblique, and mosaic. The most depends a great deal on the focal length of the
commonly used are the vertical images which lens making the image. Longer focal length lens
when co-registered with adjacent images form produces less vertical exaggeration as a rule.
the mosaic type. Both are used in geomorphic When both image distortion—spatial and verti-
mapping depending upon the scale of interest. cal—have been removed, the image is known as
Oblique aerial photographs provide wide-angle, an orthophotograph or ortho-image. Mosaics
perspective view of terrain and assist in deter- made of these are truly picture maps and can
mining low-relief features in relatively flat ter- have contour lines overprinted on them. When
rain. In rough terrain, the value of oblique images these mosaics are overlain on planemetric maps,
is reduced. For the detection of archaeological the best of both worlds is achieved in the creation
features, the aerial image is still unsurpassed. of the orthophotoquad map.
48 2 The Geomorphological and Geological Context
Fig. 2.22 Three views of a historic slave cabin, view is a photograph of the cabin with the LiDAR unit
Wormsloe Plantation, Savannah, Georgia, USA. The shown (LiDAR and photo images courtesy Geospatial
upper two views illustrate LiDAR views, and the lower Mapping Center, the University of Georgia)
Luhmann et al. (2013) provide an overview of the scanning would make photogrammetry obsolete
diversity of close-range photogrammetry and 3D in archaeological studies. However, digital
imaging available. image matching and image-based modeling, as
illustrated in Figs. 2.20 and 2.21, have become
alternatives to laser scanners. The use of photo-
2.11 Drones grammetry in conjunction with unmanned aerial
vehicles (aka “drones”) offers effective low-cost
The utilization of unmanned, powered aircraft tools for the generation of 3D models and ortho-
has flourished in the early twenty-first-century images using image-based modeling techniques
beginning, first, with military uses. These without the use of laser scanners. This new flexi-
vehicles are either remotely piloted or autono- bility and access to both open-access and propri-
mous (Figs. 2.23 and 2.24). etary software make the drone a useful tool for
As Fernández-Hernandez et al. (2015) have the imaging and modeling of complex archaeo-
pointed out, even in the early years of the logical sites. Using techniques taken for DEM
twenty-first century, it was thought that laser methodology and presentation formats such as
50 2 The Geomorphological and Geological Context
“hillshade,” photographs taken by low-cost commonly downloaded from Google Earth. Dig-
drones offer a rich and broader utility for the ital photographic images of the area of an archae-
larger geoarchaeological community as a whole ological site can be reconciled to planimetric
when compared to the LiDAR and other more maps of that same location through the use of a
costly and equipment-intensive approaches recent creation termed the Geo.pdf (Fig. 2.25).
(cf. discussion on SfM). The first concerns were of scale and geodetic
position. These two parameters often differ sig-
nificantly, in pre-digital, “Google Earth” days
2.12 Making the Map: ArcGIS such that they had to be ratioed where the two
to Google Earth formats were in a realistic numerical proportion.
Another concern was when the maps and the
In the digital age, a geomorphic map or geologi- images were made, e.g., the date of their produc-
cal map can be produced with media most tion. Photograph and other imagery differ
2.12 Making the Map: ArcGIS to Google Earth 51
Fig. 2.24 A small, commercial drone (eBee by is the result of this particular flight (Photographs cour-
SenseFly) being preflight programmed for a photo- tesy of Chet Walker, shown programming the eBee
graphic survey. The photomosaic shown on the right drone)
Fig. 2.25 A Geo.pdf with the capability for embedding geographic coordinate information. The red circles are
location of selected test locations across the survey area (Image courtesy of ARI, Tallahassee, Florida)
significantly from maps in their dates. A map is, handheld receivers, one can quickly map the
therefore, a synthetic creation that generalizes geomorphic and geological features.
the temporal frame with that of the spatial or Mobile phone applications have also been
geodetic. Working with digitally based media developed for as GPS, database management,
such as the Geo.pdf (Fig. 2.25) allowed us to and GIS use. Examples of such applications are
utilize another recently developed of the space ArcheoSurvey (http://www.icarehb.com/index.
age—Global Positioning Satellites or GPS—for php/field-methods-and-techniques-mz) and
location and creating reference points within the Polaris Navigation GPS (http://www.appsapk.
map frame (red dots in Fig. 2.25). Using com/polaris-navigation-gps/).
52 2 The Geomorphological and Geological Context
2.13 Other Types of Maps when core data is available, a profile representa-
tion is done with the stratigraphic data overlain at
Paleogeographic—These maps are typically specific sounding. When doing an isopach map,
regional or broader in scale, showing the distri- the upper surface is used to portray the strati-
bution of ancient land and sea. In Europe and graphic unit. Isopach maps are very useful in
North America, the most common paleogeo- determining the shape, direction, and depth of
graphic maps are, perhaps, those showing the basin-like features and buried channels.
extent of the Pleistocene ice sheets relative to Lithofacies—A lithofacies is defined as that
unglaciated terrain. Another commonly seen rep- aspect or attribute of a sedimentary unit that is a
resentation is past sea levels and coastlines in the direct consequence of a particular depositional
Pleistocene. Unlike paelogeographic maps from environment or process. An obvious example is a
more ancient epochs, which rely on the plotting fluvially deposited unit wherein the grain shape,
of rock units that are time synchronous, paleo- mineralogy, surface texture, size, etc., of the
geographic maps of archaeological interest are sediment reflect stream transport. Another way
based on more geologically recent mappable sur- to visualize a lithofacies map is to think of it as
ficial features such as moraines and strandlines. an isopach map without contouring. Sometimes
Isopach—These maps are used to illustrate archaeologists will use a variant of the lithofacies
the thickness of particular strata. Unlike profile map in showing the association of archaeological
illustrations, the stratigraphic unit is mapped and sites with specific landforms or soils. In the latter
has contoured some selected interval. The ice case, Kuper et al. (1977) correlate Bandkeramik
sheet thicknesses illustrate a typical isopach rep- (LBK) sites with loessic soils in northwestern
resentation. Isopach maps generally are done for Germany, west of the Rhine River valley. The
buried strata and, hence, are based on core data. lithofacies map is a qualitative representation of
The use of isopach maps is infrequent in the surficial and subsurface strata known from
presentation of archaeological data. As a rule, isolated soundings (Fig. 2.26). One can assume
the distribution of some strata will not be demonstrated, then the lithofacies mapping of
uniform or continuous. This is true for most the unit, based on pedological/sedimentological
intra-site mapping and limits the applicability features, assists in bounding the site for a spe-
of the technique. Where soundings are of suffi- cific occupational period. This method works
cient density, the use of lithofacies maps has very well in shallow (<1 m) depth sites that
merit. Where a clear association of archaeolog- can be quickly sampled with hand coring equip-
ical material, with a stratigraphic unit, is ment (see Chap. 4).
Sediments, Soils, and Stratigraphy
in Archaeological Geology 3
discuss several of these techniques in Chap. 4. Sediments and soils result from the chemical
Nonetheless much information can be gained in and mechanical weathering of rocks and their
the field. The description of a sediment or soil minerals. The breakdown of the lithic material
profile is typically done in the field as many and its subsequent redeposition is part of what
elements of the fundamental nature of those Stein (1988) terms the “history of a sediment.” A
deposits would be lost even with the most careful sediment’s history is a function of four factors:
of sampling for later laboratory description. (1) source, (2) transport, (3) depositional envi-
Beyond the macromorphological information ronment, and (4) postdepositional environment.
obtained from profile studies, the collection of A study of the physical and chemical properties
subsamples for later study is essential. How one of a sediment or soil can evaluate the nature of
goes about this involves standardized and well- these factors. By using the principle of uniformi-
known tools and procedures taught at college- tarianism (Hutton 1788)—the soil-forming pro-
level courses of soil science, sedimentology, cesses active today are those of the past—and
and geomorphology. Still it is important to reit- those of sedimentation, one can compare a sedi-
erate the description of the use of these tools and ment or soil of a known history and infer the
techniques as this generally omitted by journal processes responsible for the properties and
editors as too tutorial in nature. characteristics of those under study. In archaeo-
logical geological studies of sediments and soils,
the processes involved are generally both natural
3.2 A Brief Review of Sediments and anthropogenic (Butzer 1982). Again, by
and Soils examining archaeological sediments, and com-
paring them to reference examples from other
Geologists usually define soil as a layered mixture well-studied sites, one can infer the specific pro-
of mineral and organic components that are phys- cesses involved in their formation (Schiffer
ical and or compositionally different from an 1987). From the standpoint of geomorphology,
original, unweathered parent material (Smith there are two basic processes—erosion and depo-
and Pun 2006). To agriculturally trained soil sition—which determine the location and variety
scientists, sediments differ from soils in the of sediment and soil:
capacity of the latter to support plant growth.
As we shall see in the following chapter, a
Many definitions of these materials focus on the sediment’s source can be evaluated by examining
organic content of a soil as compared to that of a its textural makeup – grain-size, grain morphology
sediment. Soil ultimately originated in a rock and surface features, and composition (mineral-
ogy). These parameters give insights into the trans-
substrate referred to as bedrock. Clastic sediment
port history of the sediment with fluvial sediments
is a solid fragmental material that originates from demonstrating a well-known rounding due to water
weathering of the bedrock and is transported or transport. Aeolian sediments can be recognized by
deposited by air, water, or ice. The unconsolidated grain shape and by the grain surface “polish” or
glossiness. Size gives clues to the transport mech-
portion of the Earth’s surface that is not soil is the
anism – large, poorly rounded gravels are good
regolith. The regolith is weathered rock and/or indicators of glacial transport in terrains of the
debris that overlies solid bedrock. In many places, northern hemisphere. Small grained sediments are
such as the Piedmont of the Appalachian found in arid environments such as deserts and
drylands as well as fan and fluvial sediments. In
Mountains, it forms a several-meter-deep cover
the Great Basin of the western United States fine-
referred to as saprolite. Soils form on over an grained sediments are common in large slope-wash
extended period of time. Except in the most colluvial fans (Nelson 1992).) Clays from these
exceptional cases, soils require thousands of fans were often used by prehistoric potters
(Speakman et al. 2011).
years to form in most regions of the world such
as the formation of Bt horizons in the Appalachian Depositional features of sediments are deter-
Mountains of the southeastern United States in mined from samples either in situ or recovered en
less than 4,000 years (Layzell et al. 2012). bloc. The structures, of these deposits, include
3.2 A Brief Review of Sediments and Soils 57
the orientation of bedding planes and laminae of recognize that its influence on geomorphology is
various grain sizes and textures. These deposi- complex, the study of climate, in archaeological
tional features are observed in profiles and cores. contexts, begins with the soil and its role as a
The last phase of a sediment’s history is that of proxy for paleoclimate.
postdeposition. In archaeological contexts, zona- In the absence of biologic effects, subaerial
tion develops either due to soil formation or weathering would have essentially involved the
cultural activities such as building, disposal of reaction of rocks with the ambient atmosphere.
materials, and the simple act of living which Subaerially weathered soils sometimes dry out.
produces surfaces that can be identified by their As they dry, desiccation cracks may form on the
micro- and macro-characteristics (Gè et al. 1993; top portion of the profile. If these cracks are filled
Courty et al. 1989; Goldberg and Berna 2010). by sediment and are later consolidated and
Soils: From the perspective of archaeology, compacted, they provide a clear testament to
soils and buried soils—paleosols—perhaps the subaerial origin of the soil.
more so than sediments per se, provide clearly Soils that form in place on a homogeneous
delineated markers of past landscapes and the substrate such as an igneous or high-grade meta-
factors responsible for their formation (Valentine morphic rock tend to exhibit unidirectional
and Dalrymple 1976; Mack et al. 1993: Johnson changes in texture, mineralogy, and bulk chemi-
1998). Archaeological cultures exploited soils cal composition from the unweathered parent
particularly after the advent of plant and animal rock to the top of the soil profile (Holland and
domestication. Beyond being the important sub- Zbinden 1988). At their base, such soils typically
strate for the “agricultural revolution” (Childe grade smoothly into the parent material such as
1951), soils, as paleosols, serve as stratigraphic the ultisol example. The top of the mature soil
horizons as well as proxies for temporal/cultural generally retains few, if any, of the parent rock’s
periods in the archaeological record. It is more textural or mineralogical features. There is usu-
and more common to read of a past cultural ally a continuum of intermediate stages of
facies associated with a particular paleosol, e.g., decomposition of the original minerals and
a paleolithic cultural association with a loess- or textures. As the original minerals of the igneous
tuff-derived soil, and the association of the or metamorphic substrate break down, they are
Bandkeramik culture with light, well-drained replaced by soil minerals. In a mature ultisol,
alluvial soils. These early Neolithic sites are kaolinite, gibbsite, and amorphous silica often
found along the Rhine and Danube drainages— dominate the mineralogy near the top of the
specifically on gravel river terraces overlooking soil. Smectite and vermiculite are common in
medium-sized drainages in areas of loessic soils the lower portion of the profile. Soils often
(Fig. 2.25) (Howell 1987). develop on sedimentary rocks. Most sedimentary
As Dokuchaev (1899) correctly observed, rocks are vertically heterogeneous. Soils that
soils are the result of in situ formative factors. develop on flat-lying clastic sediments and
These factors have been arranged into the acro- other heterogeneous substrates tend not to
nym CLORPT first introduced by Hans Jenny develop textural, mineralogical, and chemical
(1941). Jenny includes the same five state profiles that distinguish them from other clastic
factors—(1) climate, (2) relief or topography, sediments. It is important to recognize that not
(3) organic(s), (4) parent rock, and (5) time as all, if indeed, many, soils are the result of
Dokuchaev—but related them into a quantitative in-place weathering. Surficial processes such as
equation: s ¼ f (cl, o, r, p, t,. .). In the particular colluviation, erosion, redeposition, etc. all con-
case of granite, a common soil formed under tribute to the polygenetic origins of soils (Driese
forests is the ultisol. Using the parameters of et al. 2011).
the CLORPT acronym, climatic geomorphology Soils are described by the use of pedostrati-
is an area of study that has direct relevance to graphic nomenclature. This is in contrast to the
archaeological inquiry. While it is important to nomenclature of lithostratigraphy which follows
58 3 Sediments, Soils, and Stratigraphy in Archaeological Geology
the NACSM code (see below). One must con- within the Hamara were described as “subunits,”
sider both in many descriptions of profiles as the still maintaining a valid priority in sequence
former “overprints” the latter in all cases. Waters terms. The subunits are separated by the use of
(1992) discusses this in detail, noting that soil-sequence boundaries as just described. This
because a paleosol is superimposed onto a usage of sequence-stratigraphic terminology
lithostratigraphic unit (alluvial deposit, dune, differs from its more common application to
ash deposit, etc.), it is always younger than the marine sequences where “sequences” are made
unit on which it develops. Likewise, because the up of parasequences separated by erosional
soil-forming processes alter original particle surfaces. In the marine context, these reflect
sizes and create new pedologic structures, the basin facies changes, whereas in a soil-sequence
original stratigraphic features such as contacts setting, the soils form on the “erosional” surface
are often obscured or otherwise made difficult (s). To use sequence-stratigraphic nomenclature
to interpret (supra). Soil horizons have no exclusively would require that terms like “forma-
relationship to the geological deposition in the tion” be dropped. In a lithostratigraphic context,
lithostratigraphic units on which they occur. The the contacts are the boundaries or erosional
description of soil horizons and sub-horizons will surfaces. Later in this chapter, we shall discuss
be discussed in the next paragraphs. These are the role of the erosional surface for developing
typically done in the field, but sample blocks can allostratigraphic sequences. Again, it must be
and are described in a laboratory setting. Cer- plain that one must take care in the use of these
tainly this is true for “deep” core samples (>1+ nomenclature systems and be very clear in
m) obtained using devices like the Giddings-type describing their use in a particular study.
and other mechanical coring devices Horizonation: A solum or the upper part of
(cf. Chap. 5). the soil horizons—A and B—of a buried soil,
Gvirtzman and Weider (2001) present an termed a paleosol, like a sediment, can give us
excellent discussion of a combined field and lab- information on the five factors that produced
oratory description of a 53 ka eastern Mediterra- it. Paleosols are the grist of most soil studies in
nean soil-sequence stratigraphy. In a section with archaeological geology. Buried soils are charac-
at least six paleosols, these researchers have used teristic of the mid-latitudes and are rare in the
a combination of descriptive protocols, which tropics and arctic. Russian scientists such as
can be used as a model for similar studies. In Dokuchaev and Sibirtsev first described soils as
their study, pedostratigraphic, lithostratigraphic, consisting of zones (supra). The American C. F.
and sequence-stratigraphic nomenclature are Marbut elaborated the Russian scheme giving
combined in full description of the soil sequence. names to differing soil types. Today we continue
For pedostratigraphy, the soil sequence is the use of names for specific types of soils, but
described from the top down, while the strati- the term zone, to distinguish soil profile
graphic sequence is described from the bottom divisions, has been replaced with soil horizon
up (supra). Moreover these researchers use the nomenclature.
terminology, and methodology, of modern The generalized soil profile (Fig. 3.1) consists
sequence stratigraphy as applied to paleosol of the “master” horizons: O, A, B, E, C, and
units such that the sequence boundary (cf. this R. Their formation, over millennia, occurs
chapter) is a surface between the top of an older through the process of horizonation. O horizons
buried soil or sediment and the base of a younger are those layers above the mineral surface and
overlying soil or sediment. consist of decomposed organic material such as
Following the standard practice in lithostra- leaf litter and the like. It, together with the A
tigraphic description, the paleosols were consid- horizon, is also termed the “topsoil.” The A hori-
ered “lower” in stratigraphic hierarchy than zon is the topmost mineral horizon located just
“member” and were described as say a “Hamara below the surface. These horizons generally have
Member” of the “Hefer Formation.” Paleosols a high organic content and have lost iron,
3.2 A Brief Review of Sediments and Soils 59
aluminum, and clays, resulting in a concentration rock or parent material. In undisturbed soils, the
of siliceous material. The E horizon is now gen- R horizon lies conformably with the superposed
erally recognized as a separate horizon although sediments and soils above it.
it is still common to see it considered, by some The relationship of artifacts to soil horizons is
soil scientists, as a leached A or B and even a central to any archaeological geology of a site.
“transitional zone” between the A and B but As reiterated in the upcoming discussion,
having no specific horizon name. E horizons are there is no sufficient phenomenological relation-
those of maximum leaching or eluviation of soil ship between artifacts, their occurrence on sites,
minerals, most notably iron, alumina, and clays. and soils per se. Cremeens and Hart (1995)
The E horizon is bleached or lighter colored provide a good review of this important relation-
in appearance compared to that of adjacent ship in their consideration of chronostratigraphy
horizons. The B horizon is the illuvial layer and pedostratigraphy relative to the archaeolog-
where the translocated mineral complexes from ical context. In that paper, the authors note the
the A to E are concentrated. Depending upon difficulty of using the North American Code of
precipitation, a B horizon will vary in the amount Stratigraphic Nomenclature (NACSN) pedostra-
of redeposited minerals as well as development tigraphic term of “geosol,” which stipulates that
in profile thickness. B horizons are mistakenly a paleosol must be overlain by a lithostra-
referred to as the “subsoil,” by definition, making tigraphic unit—a condition rarely met by Holo-
the O and A the topsoil no matter their composi- cene soils (supra, 15). Likewise, no subdivisions
tion and thickness. The C horizon is sometimes of a geosol are admitted which is a problem for
termed the regolith, but this term, as implied archaeological description to say the least. Adja-
above, is better reserved for unconsolidated cent soil horizons—A, E, B, etc.—are spatially
material overlying rock (Brady 1990). The C discrete but not temporally so. In this they differ,
horizon may appear as rock but it has undergone fundamentally, from the lithostratigraphic
pedogenic processes. Saprolytic soils are good description of sediments. In even Holocene
examples of this with deeply weathered C contexts, paleosols can be of three types—
horizons several meters thick in some regions. (1) relict or a surface, never buried paleosol;
The R horizon is unaltered, consolidated country (2) exhumed or a buried paleosol now subaerially
60 3 Sediments, Soils, and Stratigraphy in Archaeological Geology
7th Approximation or Soil Taxonomy. This sys- the soil is characteristic of a subgroup, it is
tem was developed by soil scientists of the US described a “typic,” and with the addition of
Department of Agriculture and those of many textural designators “loamy,” “sandy,” etc., then
other countries and was introduced in 1965, in a particular soil could be described as a loamy,
the United States, and has been adapted, to vary- typic agriaquoll. The final level—series—is the
ing degrees, by over 45 other countries. In this least informative as the series name departs
system, the A and B horizons become epipedons from the logical taxonomic pattern using, simply,
or surface horizons, and those horizons below a name such as “Brookston,” “Westland,”
the B are subsurface horizons. There are six “Fayette,” etc. to designate the soil. A buried
categories in the classification system arranged soil or paleosol is indicated by the prefix paleo-
in a descending order of scale—order, suborder, to the great group designation such as a buried
great group, subgroup, family, and series. The aquoll (a wet mollisol) termed a paleoudoll.
most inclusive category is that of order. There In fluvial contexts, multiple paleosol sequences
are only 12 soil orders but there are around are very possible (see “Allostratigraphy”
16,800 soil series recognized in the United States (Sect. 7.1)).
alone. The 12 soil orders in the American soil taxo-
The soil taxonomic classification system was nomic classification system are:
developed to describe and map soils found on the
surface of the Earth today. As Fig. 3.2 illustrates, 1. Entisols: soils without any distinctive layers
this is not the exclusive soil classification or profile development.
scheme. The American system, the FAO, and 2. Inceptisols: soils with poorly developed
the French schemes are the most commonly layers or weak B horizon, e.g., mineral trans-
used (Collinson, supra). The American system location is not present or is poorly advanced.
relies on the organic content of the near-surface 3. Mollisols: soils with a dark A horizon or
layer and the chemical characteristics of the epipedon and that are base rich and have
deeper horizons. The FAO scheme, somewhat strong B horizons, typical of grasslands.
simpler, recognizes basic soil types, predicated 4. Alfisols: soils with a well-developed argillic
on maturity of the soil type and climate. The or natric (high sodium (Na)) B horizons and
French system relies less on climate criteria and are well watered forming under deciduous
more on soil-forming processes. forests as a rule; E horizon is usually present.
Soil taxonomic nomenclature allows a quick 5. Ultisols: soils with well-developed argillic B
and thorough description of the properties of a horizons, but low in base minerals (e.g., acid
soil. The names of the classification units are soils) typical of soils formed under native
simple combinations of syllables that are derived pine forests in humid areas such as the
from Latin or Greek root terms, each of which American South; E horizons can be present.
conveys some key aspect of the nature of the soil 6. Oxisols: soils typical of the tropics with
such as the Latin root aridus for “dry” appears in deep, highly weathered B horizons that are
the order name Aridisol. The Latin root mollis, very reddish in appearance.
meaning “soft,” forms the order term Mollisol. 7. Vertisols: soils that are clay rich but have
The suffix sol is the Latin for “soil” so a mollisol no B horizons and are characterized by an
is a “soft soil” and likewise an aridisol is a “dry annual “shrink-swell” cycle producing large,
(land) soil.” As one descends the naming system, deep cracks in their profiles.
a wet, soft soil is described by the suborder term 8. Aridisols: “dry soils” characterized by ochric
aquoll which is the conjunction of “aqu(a)” and or pale profiles due to lack of organic matter;
“(m)oll.” Note the higher taxonomic designator found in dry areas of the world.
“(m)oll” appears last in the sequence. Continuing 9. Spodosols: soils with acidic B horizons rich
the description of the soil the level of the great in iron/aluminum oxides; A horizons are
group, a clay-rich, wet mollisol is a agriaquoll. If highly leached.
62 3 Sediments, Soils, and Stratigraphy in Archaeological Geology
10. Histosols: soils characterized by high Acrisols: clay rich and is associated with
organic matter (>20 %) originating in bogs, humid, tropical climates (ultisols—all orders)
marshes, and swamps; no B horizons. Alisols: poorly drained soils with a dense subsur-
11. Andisols: soils of volcanic origin with face clay layer (vertisols)
weakly developed or no real profile; Andosols: volcanic soils, containing glass and
dominated by silicate mineral—no clays— amorphous colloidal materials (andisols)
and with humic epipedon; previously Anthrosols: formed or heavily modified by long-
included with inceptisols. term human activity (various orders)
12. Gelisols: soils that have permafrost and many Arenosols: an entisol consisting of unconsoli-
are cryoturbated (frost heaving, solifluction, dated sand deposits (entisols)
etc.). These soils consist of minerals or Calcisols: a soil with a substantial secondary
organic soil materials or both. They com- accumulation of lime (aridisols)
monly have layers of gelic materials and histic Cambisols: horizonation is weak; young soil
(high organic %) or ochric (pale) epipedons. (inceptisols)
Chernozems: black-colored soil containing a
The Food and Agriculture Organization high percentage of humus (boreal mollisols)
(FAO) developed a “World Soil Classification Ferralsols: soils containing at all depths <10 %
System.” weatherable minerals (oxisols)
In the revised FAO system, there are Fluvisols: a genetically young soil in alluvial
28 “World Classes” formed by 106 “Soil Units” deposits (entisols)
(FAO 1988). Gleysols: wetland soils (hydric soil) that
USDA Soil Taxonomy equivalents in develop a characteristic gleyic color
parentheses: (inceptisols)
3.4 The Soil Chronosequence 63
Greyzems: boreal or wetland soils (USDA equiv- same soil type such as an ultisol with only a
alent—mollisols; gelic or aqualls) variation in the horizonation of the down slope
Gypsisols: soils with substantial secondary accu- examples. At the top and upper slope, the
mulation of gypsum (aridisols) horizons may be thicker in comparison with
Histosols: a soil consisting primarily of organic those at mid-slope where erosion has reduced
materials (histisols) the thickness. At the base of the slope the soil,
Kastanozems: rich in humus, formed from early there could have deep horizons similar to those of
maturing native grasslands (mollisols) the top but, in contrast, could have a much differ-
Leptosols: soil over hard rock or highly calcare- ent character due to more minerals moving down-
ous material; lithosols (no USDA equivalent) slope. In many cases, the lower slope soil could be
Lixisols: soil developed under intensive tropical another type altogether such as an inceptisol or
weathering (alfisols) entisol. Slopes without forested cover will develop
Luvisols: clay-rich soils in humid-subhumid for- soil types consistent with edaphic conditions. A
ested areas (ultisols) south-facing slope, well watered, could produce a
Nitisols: deep, red, well-drained soil >30 % clay parkland or upland prairie mollisol.
content; blocky structure (alfisols/ultisols) Bushnell (1943) links the concept of the
Phaeozems: dark soil; high base content, but catena to that of a catenary wherein the
without a calcareous soil horizon (mollisols) differences observed at points along a catenary
Planosols: light-colored, coarse-textured, surface such as a valley slope result from environmental
horizon; clay subsoil (alfisols/mollisols) forces at work along it. He stresses topography as
Plinthosols: iron-rich soils characterized by the a controlling variable. Parent material is another
presence of plinthite (oxisols) key factor.
Podzols: derive from either quartz-rich sands and Bushnell’s catenas are made up of a series of
sandstones (spodsols) types made up of profiles that are characterized
Podzoluvisols: A and E horizons leached of as to number, thickness, arrangement, color, tex-
organic material and soluble minerals ture, structure, composition, etc.—all the
(spodsols) categories discussed in the following section. In
Regosols: very weakly developed mineral soil in the ultisol example, Bushnell would call this a
unconsolidated materials (entisols) “simple catena” wherein the singular soil series
Solonchaks: pale or gray soils found in arid to are homologous in all features except for those
subhumid, poorly drained areas (aidisols/ due to variation in drainage. “Series” is used
mollisols) strictly in the taxonomic sense, wherein a spe-
Solonetz: soils with a so-called natric horizon, in cific soil is so designated.
the upper 100 cm of the profile (alfisols)
Vertisols: a soil in which there is a high content
of expansive clay (see alisol)
3.4 The Soil Chronosequence
Table 3.1 Designations of master soil horizons and subordinate symbols for soils (Adapted from Olson 1981)
Master horizons Subordinate symbols
01 Organic undecomposed horizon b Buried horizon
02 Organic decomposed horizon ca Calcium in horizon
A1 Organic accumulation in mineral soil horizon cs Gypsum in horizon
A2 Leached, eluviated horizon cn Concretions in
horizon
A3 Transition to B horizon f Frozen horizon
AB Transition to B horizon; like A in upper part g Gleyed horizon
A and B A2 w/ less than 50 % occupied w/ spots of B h Humus in horizon
AC Transition horizon; not dominated by A or C ir Iron-rich horizon
B and A B w/ less than 50 % occupied w/ spots of A2 m Cemented horizon
B B horizon w/ accumulation of clays, iron, cations p Plowed horizon
Humus; residual concentration of clays; coatings (cutans) sa Salt-rich horizon
Or alterations in original material forming clay and structure si Silica-cemented
horizon
B1 Transition horizon more like B than A t Clay-rich horizon (Bt)
B2 Maximum expression of B horizon (clay rich) x Fragipan horizon
B3 Transitional horizon to C or R
II, III, IV Lithological discontinuities
C Altered parent material from which A and B horizons are presumed
to have formed
A’2, B’2 Second soil sequence in bisequel soil
R Consolidated or competent bedrock
a variation from gray to black, pale red to very Recording colors using the Munsell system
dusky red, reddish brown to dark reddish brown, allows for a relative standardization of the
and light red to dark red. “5YR” differs in hue reporting of soil/sediment color but it is not an
from white to black, pinkish white to dark reddish infallible tool. Too often the beginning student is
brown, and reddish yellow to yellowish red. not instructed properly in the use of the color
There are ten hues in the Munsell system—the chart and what the three parameters signify.
two already mentioned along with 5R, 7.5R, Light conditions at the time of the measurement
10Y, 7.5YR, 10YR, 2.5Y, 5Y, and gley. On can vary significantly in the field. Measurements
each page, the color chips are arranged biaxially made in the shadows of an excavation trench will
according to value (vertical axis) and chroma differ from those made just outside of the trench.
(horizontal axis). Value refers to the relative Direct sunlight is generally avoided and many
lightness (darkness) of the color, while chroma use indirect or reflected light. Colors read in the
designates the relative purity of the color (red, morning and evening, aside from being qualita-
red-orange; yellow-red, etc.) and its spectral tively darker, will tend to appear more red, e.g.,
strength increasing in numerical value with 10YR is less red than 2.5 YR. Moist and dry
decreasing grayness. Figure 3.2 illustrates the readings are taken of the sample. The simplest
relationships among the three variables of procedure is to take a small sample of the mate-
Munsell color. An example of a Munsell color rial on the end of a trowel and hold it behind the
descriptor for a sediment or soil could be “5YR2/ appropriate page of the color chart notebook.
1.” The descriptor reads: a hue of 5YR, a value of Color matches are seldom exact and the reader
2 and a chroma of 1. This color is black. How- must make the best judgment possible perhaps
ever, a one-unit shift in the chroma to 5YR2/ indicating the quality (poor to good) of the color
2 makes this color dark reddish brown. match. A few archaeologists still eschew the use
66 3 Sediments, Soils, and Stratigraphy in Archaeological Geology
of the Munsell chart, preferring to simply desig- names, showing values and chromas for each
nate the color as “brownish red,” “light tan,” etc. color name (Kelly and Judd 1976).
While his/her system may be readily intelligible Texture: This parameter, also known as
to them individually, it lacks that quality for granulometry, along with color, is the most
others. While two workers may disagree on salient of a sediment or soil. Texture is size and
whether a horizon is 10YR8/3 or 10YR7/4, the proportion of the particles that make up a deposit.
Munsell color designation is still “very pale The four basic categories of size are gravel, sand,
brown” which in another more unstandardized silt, and clay. In the United States, these size
description could be “tan,” “light brown,” or categories are divided as follows: <0.002 mm,
even “buff colored”! Figure 3.2 illustrates the clay; 0.002–0.05 mm, silt; 0.05–2 mm, sand; and
three components of a Munsell color designation. >2.0 mm, gravel. The International Society of
Recently, Ferguson (2014) has examined the Soil Science scheme differs in the size range
use of the Munsell color chart in archaeology. He for silts and sands: 0.002–0.02 mm, silt, and
notes that archaeologists have limited their color 0.02–2.0 mm, sand (cf. Chap. 5). Likewise,
descriptions to those of the Munsell Soil Color other countries vary somewhat in their size
Chart. While giving a fuller discussion of the categories so it is important to note which size
variety of Munsell color charts—Plant Tissue, classification scheme is reported (Fig. 3.1).
Bead Color, and Rock Color charts—he Another size scale still in use in the United States
concluded that, given the familiarity and length is the phi scale (Φ). This classification scheme
of use of color names in the Soil Color Chart, it ranges from 8 Φ (gravel) to + 8 Φ (clay).
would be counterproductive to replace the sys- Texture or particle size analysis is done with
tem (supra). The point of Ferguson’s review is sieves to mechanically separate the gravel and
not to question a relatively standardized use of sand grains into finer and finer divisions. Silt and
colors and color names in the description of clay sizes and amounts are determined by their
archaeological materials, but rather to suggest a settling rates in water.
broader “palette” of recognized colors and color A sandy soil consists of at least 70 % sand and
names for use in archaeology. His point is well 15 % or less clay. A silty soil contains at least
taken as the Soil Color Chart is basically appli- 80 % silt and 12 % or less clay. Clay soils must
cable to just that—soil. Not all archaeological contain 35 % or more clay. In the field, a rough
materials—lithic, ceramic, or organic—fall com- approximation is done by “feel” or examining the
fortably within the range of soil colors. In fact, texture by manipulating a sample of the material
only recently have the “tropical soil colors” between the fingers—sands are gritty to the
pages been added to the Soil Color Chart as an touch, silts are less so, and clays display a char-
extra cost option—now downloadable—mainly acteristic plasticity and stickiness when wet. This
for archaeologists since oxisols do not exist in latter parameter is known as consistence and is
continental North America nor Europe. In Asia, used to describe soils (see below). Visually, sand
the tropics, South America, and portions of particles are readily apparent to the eye. These
Africa, yes—but for descriptive purposes of are described in terms of “rounding” and
earthenwares, in the Americas, these two pages “sorting” relative to grain assemblages (Fig. 3.3).
expand the color palette as Ferguson has Silt, in its finer particles, and clay cannot be
discussed. Those archaeologists who prefer not seen without an electron microscope.
to use the Munsell Soil Color Chart for descrip- Texture or particle size is typically
tive purposes might prefer the use of a broader represented, graphically, in ternary diagrams
color name system as seen in the other Munsell wherein the apices are 100 % sand-clay-silt
charts as well as other color naming systems such (Fig. 3.4).
as the Inter-Society Color Council on Soil Color- Structure: Aggregates or peds of soil, separated
National Bureau of Standards (ISCC-NBS) sys- by planes of weakness, have four principal types:
tem which provides a full range of Munsell (1) spheroidal, (2) platelike or platy, (3) prismatic,
3.5 Describing Archaeological Sediments and Soils in Profile 67
Fig. 3.3 Above, sand grains, roundness, and sphericity (Modified from Powers 1953), below, sorting of sand grains
(Modified from Compton 1962, Manual of Field Geology)
100 100
a 10
b 10
90 90
20 20
80 80
pe
pe
rce
rce
30 30
nt
70 CLAY 70
nt
silt
silt
CLAY
40 40
(2–
(2–
60 60
µ)m
)m
50
60
µ
<2
<2
50
µ)m
50
µ)m
50 50
y(
y(
SILTY
cla
cla
CLAY
SANDY 60 SILTY 60
nt
nt
40 CLAY 40 SANDY
rce
rce
CLAY
SILTY CLAY CLAY
pe
pe
CLAY LOAM 70
30 LOAM 70 30
SANDY CLAY SILTY CLAY
LOAM SANDY CLAY CLAY LOAM LOAM
80 LOAM 80
20 LOAM 20 LOAM
SANDY LOAM SILT LOAM 90
90 SANDY SILT
10 10 SANDY LOAM SILT
LOAM LOAM
LOAMY SILT LOAMY
SAND SAND 100 SAND SAND 100
100 90 80 70 60 50 40 30 20 10 100 90 80 70 60 50 40 30 20 10
Percent sand (50m–2 mm) Percent sand (60m–2 mm)
Fig. 3.4 Example ternary diagram plots for, left, the United States and, right, Great Britain and Wales
and (4) blocky. Categories 1 and 2 most often aspect of peds is their size. Like texture, there is
occur in A horizons, while prismatic and blocky a relative scale for the size of peds in a horizon
peds are generally found in B horizons. A key from very fine (<1 mm) to very coarse (>10 mm)
68 3 Sediments, Soils, and Stratigraphy in Archaeological Geology
with spheroidal and platy structures. The class of dominate in alkaline sediments and soils. These
spheroidal structures is subdivided into granular chemical species replace the aluminum and
and crumb. Most sediment grains are not perfectly hydrogen ions available for reactions. The chem-
round so they will most likely fall into one or ical nature of a sediment or soil has a direct
the other of the two subclasses. Blocky structures bearing on the diagenetic effects on archaeolog-
vary in size from very fine (<5 mm) to coarse ical materials such as bone, wood, or other
(20–50 mm). Prismatic structures vary from organic artifacts. For instance, bone preservation
<10 mm to 50–100 mm. As a rule, the age of the is significantly reduced in acidic soils. Precipita-
soil influences the development of structure with tion, the ultimate source of water—hence hydro-
older soils having more well-developed or strong gen and hydroxyl (OH-) ions—in sediments and
peds, and, conversely, young soils have soils, varies and mediates their acidity. Where
weak peds. soil moisture is low, then one should expect a
Consistence: This property of soils is low acidity as well. Ultisols, for example, formed
measured under three conditions—dry, moist, in semitropical and temperate regions should be
and wet. It describes a soil’s resistance to and indeed are acidic in nature.
mechanical stresses and manipulation. Most dry Stoniness: This category was developed by
soils have little coherence and readily fall apart. British workers. The principal parameters looked
Those that have not have been cemented by for are quantity or abundance, lithology, size,
carbonates, iron/aluminum oxides, and silica and shape. A common way of reporting stoniness
minerals other than the clays. Plinthite is an is as percentage of volume. This, in itself, is
example of the cementation of sediments by somewhat misleading as most determinations of
iron that was translocated by groundwater. percentage are done from a profile rather than a
Calcium carbonates and gypsum (CaSO4 2H2O) true volume. If one extracted a volume of soil or
produce cemented petrocalcic and petrogypsic sediment, it is easy to see that the size of the lithic
horizons and are so-named in the master horizon materials has a significant influence on the mea-
nomenclature. This type of cementation is seen surement which is to say that larger stones will
in aridisols. Generally, soil, when moist, has a require larger volumes. A straightforward scale
coherence that varies from loose to extremely for a vertical section’s percentage of rocks is
firm. Wet soil has a consistence that varies from slight stony (<7 %), stony (7–30 %), and very
nonsticky to very plastic as one would expect stony (>30 %) (Hodgson 1978). Again, large
that the more plastic the material, the higher the areas of a soil profile should be used to make
clay content. this determination.
pH or Reactibility: Chemical solutions can As pointed out in Chap. 1, Darwin was the
provide indications of the acidity or alkalinity first to remark on what we call bioturbation and
of a sediment or soil. Differential weathering of its importance to the formation of the upper soil.
minerals translocates cations such as Ca2+, Mg2+, If not offset by what is termed “floralturbation”
K+, H+, Na+, NH4+, and Al3+, creating a great (Leigh 2001; Thoms 1995), e.g., root growth,
variety in the geochemistry of sediments and tree throws, animal burrows, and “stump burns”
soils. The most common chemical parameter (the latter in forest fires), soil biota will bring
tested for in soils is the presence of the hydrogen fine-grained sediments to the surface. This loos-
ion commonly expressed as pH. The acidic ening of sediments, gravity and the infiltration of
(pH <7) or basic (pH >7) character of a sedi- water to allow larger clasts – stones/cobbles – as
ment or soil typically depends on the concentra- well as artifacts – to settle downward in the upper
tion of hydrogen (H+) and aluminum (Al3+) ions soil just as Darwin observed (1896). “Stone
present. The exchange of cations and the relative lines” form at the base of this upper biomantle
amount of base formation is dependent on (Johnson 1990).
pH. In low pH (acidic) situations, cation In the Ozark Mountains of Missouri, USA,
exchange is reduced. Base-forming cations Henry R. Schoolcraft remarked in 1818 on the
3.5 Describing Archaeological Sediments and Soils in Profile 69
general stoniness of the landscape. Schroeder to black—color such as the typical mollisol.
(1967) describes three types of stoniness in the Organic horizons can be evidence of anthropic
eastern Ozark Mountains: (1) stone-free; (2) mod- deposition of organic debris in cultural middens.
erately stony, and (3) extremely stony. The last Mode: More usually used to describe the
category describes a soil mass and surface com- nature or distribution of minerals in a rock, it is
posed of 50–90 % rock fragments, mostly cherts, less commonly used in describing sediments and
that can reach a thickness of 7–15 m (supra). soils. In the context of paleosols, the preservation
Organic Matter: For the soil scientist, this of primary minerals is directly linked to time and
component defines the soil from simple sedi- diagenesis. When we refer to “mature” beach
ment. In the description of master soil horizons, sands, we infer that only the most resistant
it is the key parameter in determining the O minerals, e.g., quartz, have survived to make up
horizon. It is a somewhat transitory element of the textural/mineralogic assemblage. The com-
soils in that its residence time rarely exceeds a mon silicate minerals ranging from quartz,
few hundred years unless it is depositional through the feldspars, to olivine respond very
(anaerobic) environments that preserve it— differently to weathering with the latter species
inundated deposits such as wetlands and subma- the first to disappear, while zircon, structurally
rine landforms. In these environments, microbial similar to olivine, persists longer in the soil
and biochemical activity is suppressed or absent. (Ritter et al. 1995). By and large, the heavy
Organic matter has a great deal to do with soil minerals can be used to gauge the exposure of
moisture. Dark, organic soils tend to indicate the paleosol to normal meteoritic waters,
greater water retention, whereas soils with lesser percolating fluids such as soil acids. Certainly
amounts of organic matter allow water penetra- their presence or absence is a barometer of
tion to deeper depths. The amount of organic the “history” of that paleosol; therefore, their
matter in soils is relatively low, being on the mode should be noted just as we measure the
order of 6 % or less in topsoils and even less in nature of the secondary minerals—clays, hydrous
the subsoil (Brady 1990). Organic matter is a rich oxides—gibbsite, hematite, goethite, etc.
source of ions from the breakdown of plant and Boundaries: Transitions between strata and
animal matter into organic complexes. horizons are characterized as to their distinctness.
Outside of the field setting, organic matter is In describing a soil, its mineralogy, texture, color,
categorized as humus—raw, mild, intimate, or and chemistry all contribute to the determination
mechanically incorporated varieties (Clarke and of horizons. In archaeological settings, these
Beckett 1971). In the Soil Taxonomy, soils attributes, plus those of cultural origin—anthro-
containing appreciable quantities of organic mat- pogenic—help in the delineation of stratigraphic
ter are described as slightly humose, humose, differences. Where archaeological deposits occur
very humose, and organic soil (supra, 46). It is as buried paleosols, one must be aware of the
difficult to assess these categories in the soil likelihood of overprinting by subsequent soil-
horizon. To the touch, organic matter can make forming processes. Likewise many of the changes
a soil feel like silt, but the texture is different—a observed in archaeological sediments may not
silt smears evenly, while an organic soil sample be stratigraphic in nature. This is to say that not
will fragment or fray. every solum in a site profile is necessarily
Histosols are soils rich in organic matter important to its stratigraphic description. Archae-
(>20 %). Peats, by definition, are histosols but ologically interesting levels, of like chronostra-
are more closely classified by British workers tigraphy, may vary significantly in textural
into three classes—pseudo-fibrous, fibrous, and color and chemical characteristics. In general,
amorphous (supra, 72–73). Organic matter that is stratigraphic differences are denoted by contacts,
incorporated into the soil mass is termed intimate which in turn are most usually determined
humus and can be dispersed throughout the A by changes in color and texture, together with
and B horizons, giving these a darker—brown inclusions—anthropogenic or otherwise.
70 3 Sediments, Soils, and Stratigraphy in Archaeological Geology
Micromorphological features such as lamellae These contacts are generally defined on the
may indicate archaeologically interesting strati- basis of lithostratigraphy where breaks in the
graphic relationships, and then they may not color and textural quality of the sediments are
(Anderson and Schulderein 1985). obvious (Fig. 3.5). In geological sections, one
Using strictly pedostratigraphic terminology, is always cognizant of temporal gaps in a depo-
the vertical boundaries between horizons are sitional sequence which are designated as
described as either: conformities or unconformities. These are the
boundaries between adjacent strata. Figure 3.6
(a) Abrupt: if less than 3 cm wide illustrates pedogenic contact terminology
(b) Clear: if 3–5 cm wide described below. Conformities, in a geological
(c) Gradual: if 5–10 cm wide sense, have little temporal breaks in the deposi-
(d) Diffuse: if more than 10 cm wide tional record, whereas unconformities represent
temporal hiatuses where deposition has halted
The example in Fig. 3.5 shows a spodosol and even been eroded (disconformities). Con-
with clear bounding between horizons. formable contacts can be described by all of the
3.5 Describing Archaeological Sediments and Soils in Profile 71
Fig. 3.6 Disconformable (allo)contact between the Central Builders member of the Wyoming Formation and the
coarse gravel in the cutbank of Cayuta Creek in Sayre, Pennsylvania, at river km 452 (Thieme 2003)
terms listed above. Unconformities are more archaeological stratigraphy. Much of this is
likely to be described as abrupt due to significant attributed to floral bioturbation, but this may be
changes in the subsequent sediments. In the hori- overstating its influence on site stratigraphy.
zontal dimension, lateral variation in strata is These effects are not generally so extensive as
described somewhat differently than in the case to obliterate the archaeological stratigraphy.
of their vertical relationships. These are: While Thoms and Leigh (supra) have studied
haploidization in sandy soils, their arguments
1. Abrupt: the boundary between adjacent units could be extended to upland ultisols where forests
is distinct. can produce haploidization. A common soil cate-
2. Pinch-out: one unit thins progressively to gory in the Appalachians is the “typic hapluadult”
extinction; not uncommon in archaeological or clay-rich, haploidized ultisol.
deposits. Goldberg (1995), following Stein, reduces the
3. Interfingered: the adjacent units split into checklist for soils to the following:
smaller divisions that interdigitate with each
other. 1. Color (moist and dry) using the Munsell color
4. Gradual: adjacent units blend into one another notation
without abrupt lithological changes 2. Lithological composition (e.g., detrital
vs. chemical_
Haploidization: In contrast to sharp or 3. Geological vs. anthropogenic components
clear boundaries between the stratigraphic 4. Texture (e.g., gravel, sand, etc.) and the mor-
components of a solum, haploidization describes phology of the particles
what some term as “regressive pedogenesis” 5. Internal organization, such as bedding
(Johnson and Watson-Stegner 1990). The E, and 6. Consistence (e.g., loose, riable, firm, hard)
sometimes upper B soil horizons, can be substan- 7. Voids and porosity (types and amounts)
tially disrupted. Some geoarchaeologists (Thoms 8. Boundaries between units (e.g., abrupt, grad-
1995, 2007; Leigh 2001) have commented on soil ual, etc.)
haploidization as it impinges on cultural/
72 3 Sediments, Soils, and Stratigraphy in Archaeological Geology
3.6 The Geological Stratigraphic For the early part of humanity’s own story, the
Section rock record was the only reliable means of
assessing that antiquity with any assuredness.
The mapping of geological sections and Following the protocols of stratigraphy, early
structures has been a traditional capstone tech- antiquarians and later archaeologists were able
nique taught to almost all earth science students. to deduce precedence, succession, and simulta-
By understanding the horizontal and vertical neity of fossils and ancient tools found within the
relationships of geological strata across space, members of a formation. Necessarily, the pri-
the extent and nature of depositional and ero- mary relation was that simply the oldest strata
sional sequences are realized. The principal were at the bottom of the section—Smith’s prin-
differences in geological and geomorphological ciple in its most simplistic expression of the Law
mapping are the scale and the nature of what is of Superposition. As mentioned previously, Sir
being mapped. Scale is one thing while land- John Evans and Joseph Prestwich’s visit to
scape and lithology are quite another. Both use Boucher de Perthes’ excavations in the Somme
the same basic protocols on different scales of River terraces provided the geological frame-
lithostratigraphy. Both scales have relevance for work for assigning the true antiquity to the
archaeological inquiry. For instance, the location latter’s claims for the relationships between
of resources such as toolstone or metal ores will ancient fauna and tools within the gravels.
generally signal the likelihood of nearby habita- The relative age of a lithostratigraphic
tion and/or extraction sites. Conversely the pres- formation’s bed or member (a bed being a sub-
ence of these materials in the archaeological unit of a member) can be determined by super-
context requires the identification of the source position and the Principle of Inclusions which
location. Either way the mapping of the geology holds that inclusions or fragments in a rock unit
of an area is required. are older than the surrounding unit itself. For
instance, in the case of lava or tephra deposits,
those inclusions, geological or cultural, are, by
definition, older than the volcanic matrix. In
3.7 Nomenclature the case of volcanic flows or ash falls, such as
those of Pompeii and Ceren, cultural debris was
Formations make up geological sections that entrained or enclosed in the deposits and
in turn are composed of rock strata or beds provides what are termed a terminus post
organized into members which, unless they are quem—that is, the deposit cannot be older than
of igneous origin such as basalt or granite, were the inclusions. Before the advent of chronometric
laid down according to the principle of original dating techniques, archaeology relied on this
horizontality which presumes a depositional principle of stratigraphy without specifically
history of a uniform lenticular nature. Intrusive stating it. In East Africa, the finds of early
features—dikes, sills, etc.—are the result of vol- hominids have come from sedimentary
canic processes which, in turn, are the result of sequences of ancient lakebeds such as Olduvai
the tectonic activity due to the restless nature of Gorge (Fig. 3.7).
the continental plates. Structural features within Hans Reck, a member of the Geological Sur-
sections such as faults, syn-and-anti-clines, folds, vey of German East Africa, and later Richard
and the like are indicative of Earth seismicity as L. Hay (1976) untangled these sequences for
well. Stratigraphic relationships such as confor- the Leakeys—Mary and Louis—enabling the lat-
mity and the lack thereof express the broad ter to more confidently assign the Pleistocene
patterns of the rocks in the Earth’s crust. A geol- ages to finds such as Zinjanthropus (now classi-
ogist reads the geological section as a series of fied as Australopithecus) and Homo habilis
pages of the Earth’s history with all the twists (Fagan 1994). The Olduvai sequence is a model
and turns of that record imprinted therein. of the use of stratigraphic principles with the
3.7 Nomenclature 73
straightforward terminology of Bed I, Bed II, forms—macro and micro—to help assign a
Bed III, and Bed IV. chronostratigraphic sequence to a section.
A Bed V, relatively thin and recent, was Lithostratigraphic units are defined by
identified at the top of the Olduvai section physical attributes of rocks where similarity in
being what is called the end member as well. lithology implies a geographic, and genetic,
Reck distinguished these beds within the Olduvai association in the units. A lithostratigraphic cor-
section based upon their color, sedimentological relation does not necessarily imply a temporal
texture, and biostratigraphy. The latter proce- equivalence. At Olduvai, biozones based on fos-
dure relies on the identification of fossil sil genera can provide a rough temporal control.
74 3 Sediments, Soils, and Stratigraphy in Archaeological Geology
(supra). This includes the significant amount of Pleistocene outwash gravels. While a few
sediments eroded after historic land and forest hundred kilometers north of those rivers in the
clearances began in the Colonial Period includ- Piedmont study, the Susquehanna is a major
ing, perhaps, an earlier increase due to late pre- Appalachian draining river, matching or exceed-
historic maize agriculture. In the following two ing the scale of the Savannah River. It intersects
examples, we shall examine how geoarchaeology the more narrow northward extent of the Pied-
provides data to examine stratigraphy as well as mont in Pennsylvania on its way to the
landform history. The first example is from Chesapeake Bay. Unlike the more southerly
Pennsylvania, USA, and the second from the Savannah, the Susquehanna drained the
Piedmont of North Georgia. Laurentide Ice Front.
The alluvial deposits of the North Branch of Thieme (2003) describes an Early Archaic
the Susquehanna River represent an archive of component archaeological site on the Central
environmental change as well as a repository of Builders member in the upper 20 cm of a buried
artifacts and cultural features made by prehis- soil (3AB horizon) with a hearth containing
toric people (Thieme and Schuldenrein 1998; wood charcoal dated to 9165 +210/205 BP
Thieme 2006). While many local factors affected (A-10053), which calibrates to 11,070–9,699
how frequently the river flooded and when it BP at two sigma. We must not expect this date
stored sediment within the valley, stratified to be that of the unit itself; while the contact
archaeological sites exhibit remarkably consis- represents a chronological discontinuity, the
tent discontinuities that bound discrete packages gap between the outwash gravel and the Central
seen in both culturally sterile alluvium and Builders’ finer-grained sediments is not well
archaeological site profiles. These include some constrained. It is reasonable to assume the depo-
Paleoindian as well as Early Archaic sites sition of the finer-grained materials began in the
(Thieme, supra). early Holocene, sometime before the establish-
Thieme (2003) proposed an allostratigraphic ment of the archaeological occupation. What the
unit, the Wyoming Valley formation, for the Central Builders unit does provide is clear cor-
alluvial deposits which underlie the first terrace roboration for Reusser et al. (supra) with regard
in the North Branch of the Susquehanna River to the long-term storage of eroded materials.
Valley (Fig. 3.6). He correlated this formation These materials have been stable surface for the
throughout the valley from Binghamton, millennia needed for soils to form.
New York, downstream to Harrisburg,
Pennsylvania. The lower bounding surface is a
contact with outwash or ice-contact stratified 3.7.2 Sequence Stratigraphy
drift at the base of the alluvial terrace. Four
members are distinguished within the Wyoming In modern geology, the nomenclature of stratig-
Valley formation on the basis of buried soils raphy has seen a new terminology introduced
which formed on former terrace surfaces. under the rubric of “sequence” stratigraphy to
The members were traced through 23 strati- describe basin edge sea-level rise and fall. Here
graphic sections in the 250 km study area on the term formation is replaced by a new term that
the basis of field observations, thin-section of sequence. Sequence stratigraphy recognizes
photomicrographs, and laboratory analyses of that sedimentary rock units, adjacent to basins,
grain size, soil chemistry, clay mineralogy, and have generally resulted from sea-level change in
magnetic susceptibility. A total of 139 radiocar- transgression or regression. In the former, the
bon dates constrained the age of bounding shoreline moves landward, and in the latter, it
surfaces within an allostratigraphic framework. moves seaward. A vertical representation of
In Fig. 3.6, two sediment (storage) units are these processes shows different facies super-
exposed, one a member of the Wyoming Forma- posed according to the particular depositional
tion (Central Builders) and the other the late environment. For example, a transgression
76 3 Sediments, Soils, and Stratigraphy in Archaeological Geology
of nearshore sands (sandstones) underlies et al. 1999). These dramatic shifts in sea level,
mid-shelf facies (shales) which are, in turn, during regressions, opened corridors and “land
overly deep sea muds (limestones) in the section. bridges” between continents such as Asia and
The sequence of transgression, highstand, regres- North America, the Bering Strait land bridge,
sion, and lowstand strata, as typically seen in and between Europe and the British Isles,
seismic sections, is designated as tracts. Doggerland (Fig. 2.6); http://instaar.colorado.
A system tract is made up of parasequences, edu/QGISL/bering_land_bridge/). Both humans
which, in turn, are made up of sets of facies like and other biota used these connections for colo-
those just described (Reading and Levell 1996). nization purposes. In the lithostratigraphy of
Erosional surfaces separate parasequences. A coastal areas, we see this recorded in the sedi-
regression or abrupt basinward shift in sedimen- mentary sequences for those periods.
tary facies exposes a depositional sequence to Lericolais et al. (2003); Törnquist et al. (2003)
subaerial weathering and creates what traditional use sequence stratigraphy to elucidate the
stratigraphic nomenclature would term an late Pleistocene sedimentary record for the
unconformity. In a sequence-stratigraphic Channel River and the Rhine-Meuse delta (the
description of a depositional system, the Netherlands).
“formations” are replaced by “sequences” with By subdividing the sedimentary deposits into
gaps or unconformities interpreted as flooding unconformity bounded sequences, the timing of
(ravinement) intervals of a significant temporal sea levels in the late Pleistocene can be exam-
duration. ined. Lericolais (supra) identify a lowstand his-
As we have discussed in the context of the tory for the Channel River at MIS stages 22, 16,
coastal landforms and prehistoric Doggerland, 6, and 2 (LGM). Törnquist (supra) date the for-
sea level has played a significant role in the mation of the last sequence boundary using five,
archaeology of the Pleistocene, alternately over 35 m in length, sediment cores, of the
exposing or flooding vast areas of continental Rhine-Meuse delta, to shortly after 80 ka or
margins. Worldwide or eustatic sea-level change, roughly MIS 5a or a falling stage of sea level,
in the Pleistocene, has been driven by multiple thereafter (MIS 5/4) with subaerial erosion and
periods where large volumes of the oceans have sediment bypass. The subsequent lowstand for
been sequestered or released during glacials, MIS 4 was either not evident in their sediment
interglacials, and more transient Heinrich and data or was not as pronounced as that of the MIS
Dansgaard-Oeschger (D-O) events (Bond 5/4 interval.
Techniques for Archaeological Sediments
and Soils 4
4.1 Sampling Sediments and Soils: hand, but in deeper sites, mechanical excavation
Monoliths to Sediment Grabs is required. At the profile face, one can assess
many of the primary parameters used in a
Undisturbed Versus Disturbed Sampling—Pro- description of a sediment or soil—color, textural
file Samples, Soil Monoliths, and Solid Cores: changes, contacts, etc. The principal drawback in
Undisturbed sampling of an archaeological sedi- simple hand excavation is one of time. A longi-
ment can be as straightforward as the description tudinal study of an excavation profile such as at
of an exposed profile in the field. It can also mean an ongoing, relatively long-term archaeological
the recovery of a representative fraction of those excavation is the most appropriate way to gain an
sediments for studies to be performed in a labo- adequate field description of that profile. Such is
ratory rather than in a field setting. Disturbed the case in many more famous studies such as
samples are those taken from individual horizons cave sites such as Abri Pataud (Farrand 1975;
or strata in which structure and morphology Stein and Farrand 1998), Combe Grenal (Bordes
information is sacrificed. The sense of the term 1972), Tabun (Jelinek et al. 1973), and Rogers
“sample” used in this discussion is not one com- Shelter (Wood and Wood and McMillan 1975) to
monly associated with statistical evaluations but name but some more well-known examples.
simply the acquisition of a portion of the sedi- Mechanical excavation or exposure of a soil/
ment or soil for analytical purposes. Sampling sediment profile is the most commonly used
(statistical) procedures can, in many cases, be method in geomorphology today. The most com-
used to assure the representativeness of the field mon mechanical means is the “backhoe”—a trac-
or laboratory fraction of the sediment or soil tor or tracked hoe-type excavator capable of
being examined. This issue will be addressed in digging to depths of 7 m with lengthy trench
the following section. In this section, we shall exposures. If one is interested in investigating
examine a variety of techniques commonly used fluvial valley, this type of excavator can expose
to acquire data on archaeologically interesting entire terrace and flood plain systems within
sediments. it. Unlike discontinuous sampling, as typical of
Profile Exposures—The simplest method of coring studies, the continuous exposure, by use
examining a profile or section is to find an out- of the mechanical hoe, provides a more synthetic
crop or exposure. Failing this most researchers view of the depositional stratigraphy—in both
create their own by excavating one. This can be vertical and horizontal dimensions.
done by either hand or mechanical methods. Tra- Long-term studies of sediment profiles are the
ditionally shallow profile exposures are dug by exception rather than the rule in today’s
archaeology. Researchers are more often than not readings of the profile face are below this level.
required to get the information on an excavated The result is the same—a representation of the
exposure in a few days or less. Working under profile face to scale. Where feasible, a photo-
such time constraints, the field description of the graph of the profile should be taken to assist in
exposure is important but so is the recovery of a the interpretation of the profile after the excava-
representative sample of those sediments for tion has been closed. Color photography is pre-
more thorough study in the laboratory. Still the ferred over black and white so as to record the
field exposure provides the most faithful picture important parameter of soil or sediment color.
of the exposure in terms of scale and setting. It is Photography of a profile face is not an easy
critical that the profile face be properly prepared task. When they are available, a professional
before beginning its description. Simply photographer should perform this important
excavating the profile does not provide the best task. In some cases, as with an excavation trench,
view of the face. One must dress the profile face to the focal distance to the face is such that several
adequately bring out the features of the deposits. photographs must be taken to develop a compos-
The tool of choice for this task is the ite image—mosaic—of the profile. Lighting is
archaeologist’s friend—the trowel. If archaeology almost always difficult on a profile, and the best
has mastered one thing in stratigraphic studies, as results are obtained in complete shade rather than
first mandated by Sir Mortimer Wheeler, it is the in direct sunlight just as with the case of
meticulous care taken with the vertical profile. obtaining Munsell colors. Digital photography
The nature of a deposit is best seen when the has provided significant improvement, and ease,
profile face is cleaned and made uniformly even. of documenting field profiles.
After the face is adequately prepared, Profile Samples: Soil monoliths are small ver-
measurements must be taken. The establishment tical columnar sections of a profile. This technique
of a reference datum level is required. Most was developed by Russian soil scientists in the
researchers approach this step in one or two late nineteenth century and introduced to the rest
ways—(1) establish a surface datum level or of the world at the Chicago International Exhibi-
(2) establish a relative datum level on the profile tion in 1893 (Vanderford 1897). The monolith can
face. This writer has no preference in the selec- function as both a permanent record of the deposit
tion of either method. When applied with care, and temporary reference section from which
either technique works equally well. In this world measurements can be made. The profile can be
of “automatic” laser levels, the use of a surface reconstructed from a series of these smaller
datum is manifold easier than in the past when sections. This procedure is laborious and can be
workers used string levels to transits to control accomplished almost as well by the quicker
verticality in an excavation. Even with use of the method of coring. The advantage of the monolith
relative datum level at some time, the stratigra- is in its use in the laboratory in assessing, under
phy must be reconciled to the actual topographic more controlled conditions than those of the field,
setting or geomorphic surface. diagnostic parameters in detail and under more
Using the relative datum level technique, the convenient time constraints.
placement of the datum can be made at any point To take a monolith, a container is constructed
on the profile face as long as it—the datum line— for the monolith from either metal or wood. The
is level. The datum line is usually a simple string size of monoliths varies but commonly is about
level strung between two points on either end of 1 m in length, 10–20 cm wide, and a few
the profile face. From this level line, the stratig- (<10 cm) cm thick. Methods vary, in detail and
raphy of the profile can be measured up and objectives, but the basic method is to use a
down. The result is an accurate picture of the wooden or metal boxlike tray that is open on
profile to the scale that one has chosen. The one side. The monolith is excavated to the
surface datum level line is “zero,” and all dimensions of the box and cleared on all sides
4.2 One Method for Constructing a Soil Monolith 79
including the base of the section. Once this is 3. With two people in the pit holding the frame
accomplished, the box is placed over the mono- and one at the top of the pit, the person at the
lith and pressed firmly against it to assure a firm top of the pit begins shoveling down parallel
juncture between the container and the section. to and 4–500 away from the frame.
Cutting the monolith away from the profile face 4. As the shovel removes the vertical layer of
is perhaps the most difficult task requiring soil, the people in the pit holding the frame
patience and some skill with a sharp shovel or begin leaning the frame back as sections of the
trowel to uniformly disengage the section. Some sample are added to it. (In very sandy soils
workers simply press a metal frame into the during the dry season, thoroughly wet the soil
profile face and then excavate the monolith out overnight and remove small sections at a time
along with the box. Either way collects a rather into the frame.) This part may have a few
faithful representation of the profile being sam- failed attempts. Multiple samples can be
pled. Of course the exact nature of the deposit taken from the same pit.
will condition the ease of removing the monolith 5. Once the entire sample is collected, carry the
particularly in rocky sediments or archaeological frame and sample outside of the pit and trim
deposits with many cultural inclusions. Smaller the lip down to the frame edge.
monoliths for purposes of micromorphological 6. Add adhesive to presentation board and invert
studies can be taken using the Kubiena frame over extracted sample in frame. Very care-
(Kubiena 1953). These small metal boxes are, fully press frame into presentation board and
again less scrupulously but expeditiously, mim- invert till sample is transferred to presentation
icked by the use of domestic metal food board. Remove frame.
containers whose lids have been removed. 7. Carefully transport the sample. Clean face of
sample. Dry.
8. Add full strength Future Floor Wax and thor-
oughly saturate soil. Apply with a spray bot-
4.2 One Method for Constructing tle. Will dry clear.
a Soil Monolith 9. Add finishing touches to presentation board.
observed this in small diameter, rigid barrel hand Kullenberg corer, and the Ewing type. Figure 4.4
corers when using a 5 kg slide hammer in resis- illustrates the principal components of a Ewing-
tant deposits such as stiff muds or sands. If a type piston corer used, by the author, to recover
sample requires a driving rate in excess of riverine and marine sediments. A smaller, auxiliary
25 blows per foot, then one should be on guard corer, called a messenger corer, is added to a grav-
for sample disturbance. If the corer’s hammer is ity corer design whose barrel assembly has
quite heavy—say, 50 kg or so—then this is par- incorporated a piston coupled, by a cable, to the
ticularly true with regard to compaction of the messenger corer and the hoisting mechanism for
recovered core sample. both elements of the piston corer. As shown in the
illustration, the messenger corer is cantilevered off
Gravity (“Drop”) and Piston Corers These the larger gravity-piston corer such that it will
corers, as previously said, are more often used contact the sediments first, raising the cantilever
to core marine and lacustrine sediments. Both arm such that a cam device, in turn, releases the
types are raised and then released to rely on cable at the point of attachment on the hoisting
gravity for the force required to penetrate device along with the main corer. The heavier,
inundated or soft wetland sediments. In the main corer drops in free-fall mode, into the
contexts that they are deployed in, they are rarely sediments, while simultaneously the fixed cable
coring into soils with the exception of soils remains taut along with the piston. Thus, as the
developed on peat bog deposits such as paleo- core barrel falls deeper into the deposits, the piston
histosols. To aid in penetration of the sediments, moves up the core barrel drawing sediments into
these corers use heavy weight loads attached to the partial vacuum created by the rapid “rise” of the
the upper part of the coring barrel with as much piston up the barrel. These corers use plastic core
as a ton of weight added to corers of 2–3 m in liners to aid in creation of the vacuum and to
length. Needless to say, a corer of this weight is preserve the sample. Piston corers are sometimes
not recovered by hand. prone to problems such as foreshortening or
The piston corer is a gravity corer design that stretching of sedimentary units (Buckley et al.
uses the creation of a partial vacuum in the recov- 1994).
ery barrel to recover wet, unconsolidated
sediments. The piston corer works well in multi- Freeze Corers Hammer-driven freeze corers or
bedded deposits of silts and sands. Various types “cryogenic soil probes” are a fairly recent addi-
are used today such as the Livingstone corer, the tion to sediment sampling in archaeology
4.2 One Method for Constructing a Soil Monolith 83
(Fig. 3.8) They have been used to sample wet to relatively standardized field models (Hochuli
sediments for biological purposes as well as 1994; Garrison 1998). The principle of the freez-
those of archaeology (Grebothé et al. 1990; ing corer is simple—insert a closed-tip metal
Lassau and Riethmann 1988; Miskimmin tube into the earth, fill it with a cryogenic fluid,
et al. 1996). Early in the 1990s, European and such as nitrogen, and freeze the adjacent
North American workers quickly moved the sediments to the metal tube. Extraction of the
design of these corers forward from prototypes tube brings with it all the frozen sediments
84 4 Techniques for Archaeological Sediments and Soils
adhering to the core barrel. The diameters of the 4.3 Handling and Description
freezing corer barrel have varied with develop- of Cores: Some General
ment as has the freezing fluids used in these Considerations
designs. The present-day archaeological designs
have opted for 75 mm diameter steel barrels Depending on the type of core sample one has—
about the length of rotary and drive corers such auger, drill, etc.—some general observations
as the Giddings type, e.g., 1 m or so in length. should be made about the sample as quickly as
Those used in lacustrine settings are cylindrical possible, either in the field or immediately upon
or wedge-shaped containers of slurries of alcohol arrival at a laboratory. All samples allow the
and dry ice (Lotter et al. 1997). determination of the basic parameters of a sedi-
Figure 3.8 illustrated the design and use of a ment or soil—color, general texture, consistency,
typical freezing corer. The corer is hammered into general organic content, etc. Some things must
the sediments, and then a transfer hose is attached wait for more rigorous measures to be applied to
to valving on the top of the corer. Liquid nitrogen, the sample such as the quantitative determination
at a temperature of 197 C, is circulated through of size classes, total organic matter content,
the corer for a period of about 20 min. A mechan- macro- and microbotanical makeup, chemical
ical extraction assembly, composed of a tripod attributes, magnetic properties, etc. Nonetheless,
and lifting device, are attached to the frozen core a researcher must recognize that the freshly
sample and it is withdrawn. The description of the recovered sample contains information that can
recovered sample is described much the same as be readily assessed. These data, however qualita-
any sediment or soil sample—color, texture, tive, in some cases, provide the investigator with
structures, etc. Moisture content is important to firsthand information as to the general nature of
the efficient use of the freezing corer, but it is the sediment or soil. Additionally, these data are
surprising at the relatively small amount of mois- not to be replicated as the simple passage of time
ture needed for adequate freezing in most subtly alters the core sample through changes in
sediments (5–10 %). moisture content and chemical changes such as
oxidation and the corrosion of mineralogic or
Augers and Drills Undisturbed Sampling organic remains. Rapid storage of the core sam-
Techniques—Rotary augers and drills have a ple, in a cold room or freezer, can do much to
long history in soil and sediment sampling. ameliorate or retard these changes, but even in
Recently, two noted geoarchaeologists have these cases, workers typically record as much
discussed the relative merits of small-diameter data about the sample as possible before placing
corers (25 mm) versus larger-diameter (100 mm) the core in storage. If the core sample cannot be
soil augers (Stein 1986, 1991; Schuldenrein archived in such facilities, then it is imperative
1991). Both types are commonly used today, that the material be sampled and described as
and their use will continue for both practical quickly and as fully as possible.
(speed, costs) and scientific reasons. Rotary Rotary, Percussion/Drive, Box, and Piston
augers and drills recover disturbed samples in Cores: These devices can extract whole core
terms of pedologic structure and micromorphol- samples such that the structure of the peds and
ogy. If the samples are in soil horizons, the strat- the lithostratigraphy are generally preserved. The
igraphic integrity of the deposits are degraded or sample can be extruded from the core barrel, a
destroyed, but much information is retained for sample holder, or the subsample can be
both field and laboratory studies. Larger sample contained within a core tube liner made of a
sizes are routinely recovered using soil augers plastic material. The core sample can, in some
and mechanical drill systems. Mechanical dril- cases, be maintained in a type of container that
ling systems can recover sediments as effectively can be removed or detached to allow transport,
as comparable solid column corers. storage, and examination of the sample.
4.4 Standard Operating Procedure for Collection of Sediment Samples 85
Depending on the length and diameter of the estimates of the sedimentation rate and mixing
core sample, analysis and storage considerations depth for the GLNPO Lake Michigan Mass Bal-
can vary. In the case of small-diameter (25 mm/ ance Study.
1 in.), shortish (30 cm/12 in.) core samples,
handling and storage protocols are not very com- 2.0 Summary of Procedure
plex. In the case of long, larger diameter, 75 mm Before any box cores are taken, test grabs,
+ (3 in. +), cylindrical cores, handling, sampling, using a ponar, will be taken to determine the
and storage become a more serious issue. With suitability of the sediment for coring. If coring
the larger core samples, it is not uncommon to is possible, then the box corer will be deployed.
section or cut the sample into shorter, more man- Once the box coring is completed and box core is
ageable lengths such as 50 or 100 cm. Again, the back onboard the ship, then four 10 cm
core may, in the case where the liner or barrel is (ID) plastic tubes will be inserted by hand into
used for handling, be sampled and then archived the Master box core, thereby creating four
without too much disturbance. Cores that are not subcores (A–D). Each of the subcores will be
immediately placed in climate-controlled storage sectioned and these subsamples stored for future
such as cold rooms can alter, biologically and analysis.
chemically such that the peds and inclusions are
adulterated in terms of shape, size, etc. Textural 3.0 List of Equipment
and color differences are typically maintained.
The general nature of lithostratigraphic
relationships, in the core, can still to be seen, Item Quantity
but the absolute, metric nature of the Modified box corer (Soutar corer) 1
Box corer extraction rigging 1
relationships can be compromised.
Set of critical spare parts for box corer and 1
Whatever the core type, the infield and labo- extraction rigging
ratory description of the sediment section follows Hydraulic extruding stand for 400 diameter 1
a commonsense procedure in most cases. A subcores
standardized protocol, such as the following log Set of core sectioning gear 1
of the box sediment corer, shown in Fig. 4.6, is 125 ml polyethylene bottles/pre-labeled and As
commonly used. This example is used by the tared needed
Ponar grab sampler 2
Great Lakes Environmental Research Laboratory
Winch for Ponar deployment 1
and the Great Lakes Water Institute (Edgington
10 cm/400 diameter subcore butyrate tubes
and Robbins 1991). The categories used in the 12 vacuum-extractor caps 2
core description can vary and be easily Portable vacuum pumps with Tygon tubing 2
customized to the particular objectives of a proj-
ect. The categories shown in this example were
used in the description of lacustrine/marine box 4.0 Sampling Procedure
core samples, but they could as easily be used for 4.1 Test grabs, using a Ponar grab sampler, will
sediment cores for most any application. be taken to determine the suitability of the
sediment for coring. If three grabs return
without a sample, then the site will be
4.4 Standard Operating Procedure vacated. If the Ponar grabs are obtained but
for Collection of Sediment coring is not feasible, then surface samples
Samples from the grabs will be obtained. If coring is
possible, then box coring will be undertaken
as long as there appears to be a limited risk of
1.0 Scope and Application damage to the box core.
The application of this sampling procedure is for 4.2 Once the box core has been retrieved and
the collection of sediment cores, using a box is back on the ship’s deck, then the core
corer, for the analysis of radionuclides to provide is examined for acceptability. This
86 4 Techniques for Archaeological Sediments and Soils
Lake Michigan Mass Balance and EMAP Study Sediment Sampling Log
Station No:
Core No:
Date:
Time:
Latitude: Longitude:
1–2 31 - 32
2–3 32 - 33
3–4 33 - 34
4–5 34 - 35
5–6 35 - 36
6–7 36 - 37
7–8 37 - 38
8–9 38 - 39
9 – 10 39 - 40
10 - 11 40 - 41
28 - 29 59 - 60
Sectioned by Recorded by
Samples Checked by Received & Checked by
Fig. 4.8 (a) Above, shallow sediment corer; (b) right, a sediment grab deployed at Jekyll Creek, Atlantic Intracoastal
Waterway (AIWW), Georgia, USA
Complex 2
Complex 3
Complex 4
Complex 5
such as what I have called “the 5 Ps,” particle sedimentary particles are found in structural
size, point counting, palynology, phytolith, and materials—daub or brick—or ceramic artifacts,
phosphate procedures. As Julie Stein, Gall, and additional understanding of their sources, trade,
others pointed out, the study of sediments allows or other aspects of these materials can be studied.
us to deduce their “history” such as origin, trans- The study of those smallest of sediments—the
port, and deposition (Stein 1988). The specific clays—occupies a subdiscipline of its own and
study of a particle’s mineralogy (petrography of has proven quite pertinent to the study of archae-
sediment particles, particle size, and point ological ceramics. The mean size and percentage
counting) is discussed in the two following of sediments together with the calculation of
chapters. straightforward coefficients, such as (a) grain
Simply studying the morphology and variety size, (b) sorting, and (c) skewness, provide sig-
of sedimentary particles allows a rather reliable nificant information on transport, deposition, and
retrodiction of processes such as geological diagenetic processes. For instance, the nature of
source, climate, and diagenesis. If the cultural versus natural deposits in cave sediments
92 4 Techniques for Archaeological Sediments and Soils
terminology is used for other soil features— (pedocals), iron oxides (pedalfers), clays, and
horizons, contacts, mineral content, etc.—these organic matter all disperse well in ultrasound
countries have set up their own particle size baths. Still Mikhail and Briner (1978) insist that
classifications (Supra, 54). While this heterogene- a stepwise pretreatment of a sample with H2O2,
ity looks to be the case for the foreseeable future, weak acid wash, and sodium hypochlorite satu-
the use of the ternary diagram to represent the ration before ultrasonic treatment produces the
variety of particle size classes is relatively a stan- best results.
dard practice. Figure 5.1 shows the USDA particle Mechanical sieving is the first step in PSA.
size scheme (a) together with examples from Screen sieve sizes have long been standardized,
(b) Belgium, (c) France, (d) Germany, and the problems and limitations inherent to this
(e) Switzerland, and (f) England and Wales. method are well understood (Day 1965). Reliable
Typical PSA methods require the sediment to sieving requires the use of mechanical shakers
be broken down in to its individual particles by that are sets and forgets such that consistent
both chemical and physical means. This two-part results can be expected. Pansu et al. (2001) pro-
procedure is necessary in most sediments where vide a comprehensive review of grinding and
clay minerals comprise a significant portion. The sieving equipment in their text on soil analysis.
larger size particles (>2 mm) are sorted and If one does not use ultrasonic dispersion, sedi-
sized by the use of wire-mesh screen sieves in mentation techniques follow most sieving using
mechanical shakers (Fig. 4.9). Of course, the pipette or hydrometer methods. The settling of
sediment must be dry before either mechanical small particle grains such as the clay minerals
or chemical sorting is to be attempted. The ease follows Stokes’ law in the form:
of sorting or dispersion depends on the nature of
the sediments. Because of this fact, there is no v ¼ gðρs ρi ÞX2 =18η
one “standard” PSA technique.
Sediments rich in organics and clays are clas- where v (mm/s) is the settling velocity of the
tic and require substantial chemical pretreatment particle; ρs (kg/m3), the particle’s density; ρi
with agents such as sodium hexameta-phosphate (kg/m3), the liquids density; X (mm), the particle
(HMP), hydrogen peroxide, sodium hypochlo- size; and η (kg/s/m), the viscosity of the liquid.
rite, sodium hypobromite, and potassium per- g (9.8 m/s2) is the gravity. Stokes assumed
manganate. Acid treatments are generally to be particles to be spherical, an assumption that
avoided because these reagents, such as HCl, can does not affect the results too drastically given
destroy the lattice of clay minerals. HMP is the that many particles do not meet this criterion,
most commonly used dispersant chemical and is notably the clays. The diameter of the particle,
recommended in microbotanical separations of and hence its size, is obviously more critical than
pollen and phytoliths (Yaalon 1976; Rovner sphericity. To do PSA of the sediment fraction,
1996a). two methods or apparatus are generally used:
For small-size particle aggregates such as the (1) a pipette method and (2) a hydrometer
clays, ultrasound is used to cause dispersion. method. Both have variants and are described in
Ultrasonic baths operate on the transmission of detail in most works on PSA technique. Much
the high-frequency sound waves through the sed- like one’s choice of dispersal techniques, the
iment or soil suspension. Bubbles form and burst specific method is the one that most effectively
creating a “sonic cavitation” that disperses the accomplishes the goals of one’s analysis of a
most highly aggregated particles without damage specific type of archaeological sediment. All are
to the individual grains. Ultrasound can be used somewhat time consuming with typical times of
without chemical dispersants. Simple 20 h for clay dispersal (Rockwell 2000).
suspensions of distilled water are routinely Examples of each sedimentation method are
used. Sediments or soils rich in calcium presented below.
94 4 Techniques for Archaeological Sediments and Soils
Fine Fraction (Steps 8–11) remainder of the liquid remaining in the fleaker,
after the respective size samples have been with-
8. The fine fraction sample is dispersed with drawn, is rinsed into a 63 μm sieve. Any sand
calgon at a concentration of 2.1 g/l. recovered in the sieve is rinsed with deionized
9. The sample is placed in a 1,000 ml beaker water and placed in a container to be dried over-
and vigorously stirred. night as the other samples. The containers are
10. Pipette samples, with a standard (Lowy) then weighed to 0.0001 g and the fractions com-
pipette, are drawn at various times (up to pared to the particular particle size scheme used
8 h) at various withdrawal depths for a total in the procedure (U.S. Department of Agriculture
of seven withdrawals/samples. or GAO) (Fig. 4.1).
11. Each withdrawal is dried, weighed, and
analyzed at selected size division (e.g.,
4 φ–100 φ).
4.7.4 The Imhoff Cone Method
in the cone can be assessed because this interface standard parametric statistical estimators to be
is generally obvious, separating sand from clay- applied to the data they produce. These
silt fraction. estimators include mean, variance, and standard
In many respects, the use of the Imhoff cone deviation together with parameters such as skew,
mimics a settling column. Its principal sorting, etc. Some of these measures will be
advantages are its ease of use, portability, and discussed in some depth in Chap. 8.
speed. The Imhoff cone method cannot replicate
the settling column nor fleaker methods for exac- 4.7.4.2 Point Count Analysis (PCA)
titude in determining particle size fractions Point counting analysis is time-honored tech-
nique developed in sedimentary petrography for
4.7.4.1 Statistical Parameters and PSA the determination of the proportions of various
Particle size analysis and all of the other four minerals in a thin section of a rock specimen
techniques, presented in this chapter, require (Carver 1971). The assumption is that the results
4.7 Particle Size Analysis 97
of a point count will accurately reflect the per- of random processes at play in all populations.
centage of a particular component—feldspar, About PCA, much ink, and rightly so, has been
quartz, pyroxene, pyrite, etc., within the sam- spilled over the appropriate procedures to be
ple—and, to a larger degree, the percentage of used in arriving at reliable estimates of the
that mineral (or particle size) within the source constituents of rock or sediment aggregates as
from which the sample was taken (the Delesse counted from a thin section or facsimile thereof.
Relation). PCA as implied was developed by These discussions extend down to the grid type,
petrographers to assess the mineral content in size, and microscope stage to be used. The aim is
whole rocks using what is a sampling technique. the same—count enough “points” on the slide to
Shackley (1975) has applied point counting to estimate the target population correctly.
archaeological sediments. In PCA studies, much What is the sample size, n, that best estimates
discussion is given to the number of grains that grains smaller than a cobble and larger than a
should be counted. This is to be expected as PCA clay? Assuming that most samples are either rock
is a sampling, n, of a larger population, N, or sediment specimens with grains of sand size or
wherein common statistical estimators such as less, then the grain count will fall somewhere
average, mean, standard deviation, and variance between 100 and 1,000. Sample counts of
are used to characterize the relationship of the between 200 and 400 grains are fairly standard
sample to the population. Chapter 8 will discuss in studies of foraminifera, pollen, and sedimen-
statistical procedures commonly used in archae- tary rocks (Martin 1970; Bryant and Holloway
ological geology rather than embed that discus- 1983; Krumbein and Pettijohn 1938). Krumbein
sion in this topic. Without diverging too far from (1938) has graphically illustrated the estimation
this goal, it is, perhaps, appropriate to discuss the of probable error in varying sample sizes used in
relationship between particle size and that of the PCA (Fig. 4.3). According to that analysis, it can
sample size to be counted, n. It is almost a mantra be seen that the probable error stabilizes between
in statistics, that is, as one increases the sample 5 % and 15 % at about 300 grains. It is easy to see
size, n, the approximation of estimators for N, the why this sample count is so commonly used in
population, is more assured by the Law of Large pollen studies.
Numbers (cf. Chap. 8). In microbotanical (pollen, phytoliths) and
One cautionary side of this is that the result microfaunal (forams) studies, the sample is dis-
one obtains is uninformative as it represents esti- persed, in solution, across a counting slide which
mator values that are so “average” as to be of no can be gridded or can be covered by a glass
real value. This is to say that if one counts coverslip, appropriately divided for counting
enough of anything—mineral grains, pottery purposes. Such standardized items exist for
sherds, people, etc.—the statistical estimates of these particular analytical procedures. In geology
those large samples will be so homogenous as to the most commonly point-counted sample is the
unreflective of important subpopulation rock thin section. More often today, the
differences such as the difference in igneous sediments examined by PCA are in their section
rock types—basalt versus rhyolite, phases of pot- mounts as well (Goldberg 1999). Still, it is not
tery, and different cultural groups. This is a uncommon to see sediments dispersed, as evenly
conundrum present in all sampling studies— as possible, onto the gridded card or glass slide
what value of n is large enough to detect impor- covered with a mounting spray cement (Gagliano
tant population differences yet not so large as to et al. 1982).
mask the very differences we seek to detect and Most PCA is done using stereomicroscopes of
reliably estimate? Another way to express this relatively low-power (7X–30X) magnification.
problem is to cast it in terms of randomness Depending upon the specific goals of the PCA,
versus nonrandomness. Too large a sample, n, the microscope can be either petrographic or not.
allows for the suppression of nonrandom trends If mineralogical identification is important, then
or differences such that the results are reflective a petrographic capability is required. This would
98 4 Techniques for Archaeological Sediments and Soils
be the case in studies of archaeological stone packages at fee-service laboratories. Of these the
such as marbles, granites, or other building or organic content can be determined in most
artifactual rock. It would be useful in the identi- laboratories without too much difficulty. The
fication and characterization of temper found in mineral oxides are generally done with analytical
earthenwares. For instance, in a thick (100 μm) methods (XRF, etc.) that may or may not be
thin sections, one should readily differentiate the readily available in most labs. A discussion of
quartz and feldspars on the basis of bright these analytical methods is presented in Chap. 7.
second-order interference colors under crossed
polars (XPL). At standard thin section thickness, Total Organic Carbon (TOC) Total organic
30 μm, polarizing filters allow the full gamut of carbon is the sum of organic carbon in the soil.
mineralogical identification (cf. Chap. 6). When While new instrumental methods have been
examining slides for pollen and the smaller developed in recent years, most soil testing
phytoliths, polarized microscopy is not required laboratories routinely use one or the other the
and, in most cases, would impede the PCA. This following: (1) wet digestion and (2) colormetric
is because the transparency of the grains is (Soil and Plant Analysis Council, Inc 2000).
important to making a reliable identification The wet-oxidation digestion method uses
based on particle shape and texture (Rovner potassium dichromate (K2Cr2O7) with external
1996b). A raster-type microscope stage (X–Y heat (hot plate) and back titration to measure
direction) is used to move the appropriate grid the unreacted dichromate which serves as the
distance across the slide, counting grains at the proxy for the carbon content. Typically
grid intervals, until the selected grain sample 0.1–0.5 g. of soil is added to a 500 ml Erlenmeyer
count (n) is reached. along with 15 ml of dichromate reagent. The
As Van der Plas and Tobi (Van der Plas and mixture is then boiled for 30 min. After cooling,
Tobi 1965) have pointed out, in their discussion three drops of the indicator solution,
of the reliability of point counting results, it is n-phenylanthranilic acid, is added and the mix-
determined not only by the number of grains ture titrated against Mohr’s salt solution, ferrous
counted but on the distance between points as ammonium sulfate, until a color change from
well. Their point is that there is an obvious rela- violet to bright green is observed. The % organic
tionship between a sample’s grain size and the matter ¼ {[meq K2Cr2O7 – meq FeSO4 0.3]/g
point distance chosen for its modal analysis. For soil} 1.15. Here meq. is milliequivalents.
instance, it would be patently foolish to choose a The colormetric procedure uses the property
point counting distance of 0.2 mm if all or most of absorbance as discussed, in detail, below, in
of the grains were 2 mm in diameter. The grain/ reference to phosphorus determination. Here,
point sizes will vary, and therefore, the point 2.0 g of soil is placed in a test tube to which
counting protocol must be flexible to match ana- 20 ml of sodium dichromate solution is added.
lytical requirements of the specific case. Van der The reaction is exothermic, and after the mixture
Plas and Tobi (1965) stress that “the point dis- is cooled (40 min to 1 h), it is allowed to stand for
tance chosen should be larger than the largest 8 h. Aliquots of the clarified solution are then
grain fraction that is included in the analysis.” transferred to the spectrometer for absorbance
measurements at 645 nm wavelength (supra,
178). The values so obtained, when plotted in
4.7.5 Organic Content Determination comparison to standard curves, yield the organic
Methods content.
Other important parameters—TOC (total organic Loss on Ignition (LOI) This method has
carbon) and LOI (loss on ignition) along with become comparable in reporting to that done by
mineral oxides (FeO, MgO, etc.) together with the methods just discussed. It is equally effective
water content—are provided in most analytical for the analysis of soils containing low to very
4.7 Particle Size Analysis 99
high organic matter (OM) (supra). It has a sensi- straightforward manner of basic mineral determi-
tivity of 0.2–0.5 % organic matter. A sample of nation, of the introductory geology laboratory,
5–10 g soil weight (W) is placed in an ashing the use of hydrochloric acid is required. In this
vessel. The vessel is first placed in a drying oven more rigorous determination, the HCl release of
at 105 C for 4 h. Once cooled, the sample is CO2 gas is collected and measured by the use of
weighed to the nearest 0.01 g and then placed in a sealed flask and graduated column apparatus
muffle furnace at 400 C for 4 h. The sample is called the Chittick method (Singer and Janitsky
removed, cooled, and weighed again. To calcu- 1986). The evolved gas displaces a fluid (colored
late the % organic matter, one uses the formula: water) into the graduated column. This value is
divided by the original sample weight to deter-
%OM ¼ ½ðW105 W400 Þ 100=W105 mine the carbonate content generally reported as
percent (%) (supra).
phosphates will react with the calcium ion The method extracts total phosphorus, i.e., both
and with calcium carbonate. The next step organic and inorganic phosphorus compounds.
includes a conversion of the calcium phosphate The accuracy level of the method of the analysis
(Ca3 (PO4) 2) to insoluble compounds, such as ranges between 95 and 98 % recovery. All
hydroxy-, oxy-, carbonate-, and fluorapatite samples are dried overnight in an oven at a tem-
(insoluble apatite compounds are formed at pH perature of around 50 C. Samples consisting of
levels of above 7.0) compounds, the latter being very fine particle sizes are ground directly after
the most insoluble compound known. An exces- having been dried, while samples with coarser
sive amount of calcium carbonate (CaC03) particle sizes have to be screened. The choice of
produces very insoluble compounds. At a pH sieve size was made so that the sieved sample
level of between 6.0 and 7.0, phosphate fixation would have the same particle size as the ground
is at its minimum. one. A half gram of each sample is put into a
It is not within the scope of this book to fully graduated digestion tube, to which is added 2 ml
describe the extremely complex and incom- of perchloric acid (HClO4) and nitric acid
pletely investigated phosphorus cycle in (HNO3), respectively.
sediments. It is important to mention the poten- The tubes are then placed in an aluminum
tial sources of both anthropogenic and heating rack under a perchloric acid fume hood.
non-anthropogenic sources such as geology and The HNO3 is boiled off at a temperature of
soils. After mineral sources in sediments, and 170 C. After a stepwise increase to 225 C, the
soils, the bulk of phosphorus is from organic remaining HClO4 is left to boil for 1 h. The tubes
matter such as dead plants and animals that are checked regularly to prevent being boiled
decompose in the soil. Phosphorus is an impor- dry. After the digestion, the volume of each
tant energy source in organisms particularly as a tube is raised to 50 ml with distilled H2O, stirred,
component of the ATP (adenosine triphosphate) and left to rest for a period of at least 12 h. A
molecule. As a result, all plants and animals stock solution is made consisting of (a) 9.0 g
contain significant amounts of phosphorus in ammonium molybdate ((NH4) 6Mo7O24.4H2O)
their tissues which is incorporated into sediments and 0.2 g potassium antimony tartrate (K(SbO)
after their deaths. In addition, humans and C4H4O6.1/2H2O), which are mixed in 500 ml of
animals excrete large amounts of phosphorus as H2O) and (b) 65 ml sulfuric acid (H2SO4) and
both feces and urine. Plant and animal decay, 335 ml of H2O. Initially mixed separately, the
burials, refuse coupled with urine, and excrement (a) and (b) reagents are mixed together and vol-
increase the phosphorus content of soils above ume raised to 1,000 ml with H2O.
ambient levels. The accumulation of this phos- A primary standard solution, with a concen-
phorus in anthropogenic soils, if it can be fixed tration of 1,000 μg/g P, is made by dissolving
into insoluble forms, can have long residence 4.387 g potassium phosphate monobasic (KH2
times—millennia in many cases—and provide a PO4) in sufficient H2O to yield 1,000 ml. A
relatively reliable geochemical marker of archae- secondary standard solution, with a concentra-
ological interest. tion of 10 μg/g P, is made by adding 40 ml
HClO4 to 10 ml of the primary standard solution
and dilution with H2O to a volume of 1,000 ml.
4.8 Determination of Total Working standard solutions ranging from 1 to
Phosphorus by Perchloric 6 μg/g P are made from the secondary standard
Digestion solution. The color-developing solution, freshly
made for every batch of 100 samples, consists of
Information on this method is found in Eidt and 2.0 g ascorbic acid mixed with 200 ml of the
Woods (1974) and Woods (1977). The methodo- stock solution and raised to 1,000 ml with
logical procedure in the chemical analysis is H2O. Five milliliters of the color-developing
described through the steps noted in Fig. 4.4. solution is added to 1 ml of each of the working
4.9 Absolute Phosphate Analysis Versus Qualitative Color Tests 101
Fig. 4.14 Phosphate intensity plot for Great Zimbabwe using the colormetric method (Courtesy of Paul Sinclair)
that amount from the total phosphorus result, one structure of spatial patterns in natural and non-
can determine the organically bound phosphate natural layers using microscopic techniques.
which is a good indicator of cultural deposits of Goldberg (1995) has used resin impregnation
archaeological interest. The analysis of reactive of soil/sediment blocks as a precursor to produc-
phosphorus—the orthophosphate—can be done ing thin sections of the clastic materials for use in
using a field spectrophotometer. Orthophosphate micromorphology. Undisturbed sample soil/sed-
absorbs at the 890 nm wavelength, in the Hach iment blocks are taken from the field profile.
field spectrophotometer, and produces reliable These samples are then impregnated, in a vac-
measurements, in mg/l of PO43. Using the uum chamber, with epoxy resin. In this matrix,
same device, one can assess the total phosphorus after hardening, the sample can be treated like a
(PO4) using either the acid persulfate digestion rock sample and sawn to produce viewable thin
method or the ascorbic acid method (Hach water sections of standard dimensions. This procedure
analysis handbook, 2nd edn 1992). is finding increasing application in the
Colorimetry and spectrophotometry rely on geoarchaeological studies of site deposits
straightforward principles where the color of a (Courty, Goldberg, and Macphail 1989). At the
molecule in solution, such as phosphorus, thin section scale, undisturbed, oriented samples
depends on the wavelength of light it absorbs. are examined by the microscope—petrographic
When a sample solution is exposed to white light, or otherwise (SEM; CL) (allowing for observa-
certain wavelengths are absorbed, and the tion of composition in mineralogical terms, tex-
remaining are transmitted to the eye or a photom- ture, and fabric) the geometric relationships
eter. In our discussion of the determination of among constituents (supra).
total phosphorus by perchloric acid digestion, Courty describes soil micromorphology as the
the final measurement is to test absorbance in a integrated use of various microscopic techniques
light cell where the absorbance and concentra- to study the arrangement and nature of the
tion of the unknown is determined from an absor- components that comprise sediments and
bance versus concentration curve, for the soils (1992).
element of interest, in our case, P, constructed She, particularly, discusses the micromor-
by the use of standards. The absorbance, A, is phologic study of sediments and soils as an
generally defined as the log (Po/P) where Po ¼ essential component of environmental recon-
incident light intensity and P ¼ intensity after struction. Likewise, it helps identify the various
absorption. Using Beer’s law, A ¼ a∙ b ∙ c, where kinds of domestic and specialized activities that
a ¼ molar absorptivity (%), b ¼ path length are involved in the formation of living floors and
(μm), and c ¼ concentration (g/ml). We hold a other anthropogenic surfaces (supra). Microstra-
and b constant, and measure c concentration by tigraphic changes can reflect changes in deposi-
the spectrometer. tional processes.
Additionally, soil micromorphology has been
applied to the study of stone tools (Fladmark
1982). Microdebitage is defined as all stone flak-
4.11 Micromorphology: Describing ing residue less than 1 mm in maximum dimen-
Archaeological Sediments sion (Susino 2010). Lithic microdebitage is
and Soils with the Microscope produced during lithic tools and rock engraving
manufacture. For tools or rocks containing
Kubiëna (1938) first introduced the study of quartz, small particles persist as microwaste
undisturbed soil samples using microscopic initially on the ground surface but later as
techniques. He became the founder of soil micro- particles that are incorporated into sedimentary
morphology and published in 1938 his book deposits associated with the occupation site.
Micropedology. Soil micromorphology can be Experimental replication indicates that it is pro-
defined as follows: the in situ study of the duced in great quantities by stone tool
104 4 Techniques for Archaeological Sediments and Soils
manufacture and can permeate site matrices as a (1982) as totally removed from their original
permanent signature of past cultural activity. settings and, in many cases, reused for other
If microwaste is distinguished from naturally purposes. The most obvious example of this
occurring sediments, then microwaste and/or its would be the digging of a berm or terrace
surrounding sediment provides a mechanism for where fill is “robbed” from its original deposition
establishing lithic use in archaeological deposits. locale and redeposited in another.
Identification of microwaste is undertaken by Some skill in petrography is suggested by
comparing the shape of microwaste particles Courty (supra). This is illustrated by Angelucci’s
with those from surface sediments, taking partic- study of knapped lithic materials in thin section
ular note of angularity and irregular shapes, and (Angelucci 2010). In contrast to other types of
by analyzing quartz or other toolstone grain cultural materials, microdebitage is usually not
morphologies. On the basis of surface features weathered to any degree. From a micromorpho-
identified on experimental microwaste, particles logical standpoint, micromaterials, such as lithics,
identified as microwaste can be separated from fall into the category of “coarse” components. As
the sedimentary grains (Susino, supra). Scanning Angelucci points out, Courty et al. (1989) con-
electron microscopy (SEM) and light micros- sider lithic materials as a “mineralogic” compo-
copy are used to determine surface differences nent. For instance, “Flint is easily distinguished by
between pedogenic grains and anthropogenic its petrographic properties, which include low
material from archaeological deposits. birefringence and crytocrystallinity. . ..and is
It has been noted that microwaste may lie exceedingly hard to distinguish natural from
within or close to the age boundaries of the worked fragments. . .” (Courty et al. in Angelucci
surrounding strata/sediments but not necessarily 2010). This is a bit of understatement as flints or
where larger lithic material is found. Microwaste cherts are non-birefringent to the point of optical
is incorporated into sediment and may not be extinction in most petrographic settings. This
subjected to the same degree of movement as caveat, notwithstanding, several authors have
larger lithic waste and stone tools within the reported identification of various lithic artifacts
deposit. Indeed, Baker (1978) noted smaller in thin section (Angelucci, supra; Bergadà
artifacts from the surface are proportionately 1998), most notably chert or quartzite. The present
fewer (53.3 %) compared to the proportion of author has identified toolstone microdebitage
smaller artifacts within a total cultural deposit from siliceous sandstones and arenites (Garrison
(61.5 %). One possible reason for this, per et al. 2012a).
Baker, size effect, is that smaller artifacts might Figure 4.15 illustrates the utility of micromor-
tend to be trampled into the sediment or soil and phological study of Neolithic settlements. Micro-
larger artifacts are not resulting in an increased morphology was used extensively at the site of
amount of “micro” materials in comparison to Arbon-Bleiche 3, a lakeshore site on the
larger items—cores, grinding stones, etc.— Bodensee, Switzerland (Ismail-Meyer et al. 2013).
within a deposit.
Courty (1992) describes three types of cul-
tural deposits. The first or “primary” deposits 4.12 Palynology: A
result from utilization of an activity area (e.g., Micromorphological Study
flint knapping; food preparation). Ash layers are of Archaeological Pollen
primary cultural deposits. “Secondary” deposits
are primary deposits that have suffered Jean-Claude Gall (1983, 2012), in his book
modifications in their original settings. Examples Ancient Sedimentary environments and Habitats
of secondary deposits are “dumped” ashes of Living Organisms, has recognized the kinship
removed from a hearth area, shells consumed of archaeology and geology, in the fact that both
and dumped outside the eating area, etc. The face a “fossilized world.” If we are interested in
“tertiary” deposit were defined by Butzer the paleoenvironment of that world, then the only
4.12 Palynology: A Micromorphological Study of Archaeological Pollen 105
Fig. 4.15 The Neolithic site of Arbon-Bleiche main organic cultural layers divided by a sandy layer. (c)
3 demonstrating the use of micromorphology; (a) site The Arbon-Bleiche 3 thin sections of the column M 1030
map with the ground floors of the houses and with the (profile B) with the micromorphologically identified
eight phases of the village. The pilings of the houses are phases of installation, organic accumulations beneath
marked as black dots. The position of the profile section the house’s floor and inwash of sand from the hinterland
B and the profile photograph (c) are marked with white surrounding the village (Fig. 4.2 in Ismail-Meyer
arrows and highlighted in red. (b) The west profile et al. 2013, used with permission)
through house A showing the typical sequence with two
106 4 Techniques for Archaeological Sediments and Soils
recourse is “through the organisms and the 3. The morphological features of pollen and
sediments” (supra). In the case of the archaeolo- spores remain consistent within a species; dif-
gist, one must add cultural (artifactual) remains ferent species produce their own unique
as well. The study of archaeological sediments forms.
and what they contain as “fossils”—organic 4. Each pollen- or spore-producing plant is
remains such as floral and faunal materials, restricted in its distribution by ecological
artifacts and non-portable cultural features, and conditions such as moisture, temperature,
textural and chemical indices—can provide a and soil type.
great deal of evidence about a paleoenvironment 5. Most wind-blown pollen falls to the earth’s
within which a past human population together surface within a small radius, roughly
with plant/animal communities coexisted. 50–100 km from where it is dispersed.
Soil archives are rich. Plants and trees pro-
duce plenty of pollen, invisible to the naked eye As von Post observed, pollen is often produced
in soil layers. Plants can be recognized by their in significant quantities that survive, in sediments,
pollen, and when well preserved per layer, a list for long periods and have distinctive, often
of species can be determined (Kooistraa and species-specific forms and is distributed over sig-
Kooistra 2003). Fossil pollen grains and grass nificant areas, mostly by the wind as “pollen rain.”
spores are preserved in many soils and sediments The pollen of trees is termed arboreal or AP, that
that are not overly acidic. These elementary of shrubs and herbs, together with some grasses,
reproductive particles are produced in large non-arboreal (NAP). Bryant (1978) lists three
amounts by both trees and shrubs and the grasses. factors that influence the preservation of pollen
Some trees, like the pines, produce millions of grains in sediments and soils: (1) mechanical,
pollen grains annually. Other plants, by contrast, (2) chemical, and (3) biological. Mechanical dam-
are more meager in their output such as clover age occurs during dispersal and deposit ion gener-
(200 grains per anther). The grains themselves ally by crushing or abrasion of the grain.
are larger than clay particles (10–100+ μm) and Chemical corrosion of the exine is related to the
are amenable to optical microscopic study. Pol- pH of the depositional environment such that
len grains are tough customers being preserved sediments of 6.0 or higher alkaline degrades pol-
by a very resistant exine made of sporopollenin. len and alkaline soils that fix phosphates degrade
The exine defines the basic morphology of the pollen. Fungi and bacteria can breakdown the
pollen grain and is distinctive of most higher pollen. Susceptibility of pollen to corrosion results
plants. The palynologist inspects the grains for in the differential preservation of various species.
shape, size, surface texture, and apertures. As a Pine, although produced in large amounts, along
result of over a hundred years of taxonomic stud- with oak (Fig. 4.15), elm, and birch, can be over-
ies of pollen, beginning with Lagerheim and his represented in pollen spectra by a factor of
student, von Post (Bryant Jr 1989), in the early 4, whereas alder and beech (Fig. 4.16) are direct
1900s, we enjoy a broad and reliable repertoire of reflections, percentage-wise, of their occurrence
pollen identification keys (Faegri and Iverson in forest (Andersen 1986).
1975; Bryant, supra). Archaeologists, as with other scientists inter-
Von Post set forth five principles for pollen ested in past environments, must recognize the
studies which remain valid today: various factors that obscure recovered pollen
percentages as representational of vegetation
1. Many plants produce pollen or spores in great composition. Key factors are the biological pro-
quantities, which are dispersed by wind ductivity of the respective plants, dispersal
currents. modes and patterns, and grain survivability. For
2. Pollen and spores have very durable outer the purposes of archaeological geology, it is less
walls (exine) that can survive long periods important to this discussion to reprise the
of time. specialized discussions of varieties of pollen,
4.12 Palynology: A Micromorphological Study of Archaeological Pollen 107
Fig. 4.16 Typical triporate pollen grains: left, beech; right, oak
their identification, and the various methodologi- sediment/soil being sampled. Cores are taken in
cal approaches to reconciling pollen spectra to wetlands such as bogs, sinks, and shallow lakes
vegetational reality in the past than it is to exam- where sediments are conducive to pollen preser-
ine methods for the recovery and extraction of vation. Short, open barrel corers can simply be
pollen grains. pushed into soft sediments. Deep cores require
Pollen, itself, can and should be considered as a mechanical or hydraulic assists. In drier
sediment. It is an organic component of the sedi- sediments, the rotary, percussion, or drive corers
mentary matrix and sensu stricto a defining ele- are useful. After recovery, the sediment column
ment of “soil.” In paleosols, pollen is preserved is subsampled at selected intervals (ex. 10 cm).
subject to soil geochemistry. Within the peds of a If the sediment is in the form of a core, then
soil, the pollen grains are found with the silt-sized some care must be taken to note not only the
particles. As such, pollen grains are not recover- sampling interval but where that interval is in
able with the methods typically used to separate relation to the top of the core. Most investigators
the coarse sediment fraction. Pollen grains are stress that the sample be labeled, in terms of
separated by dispersal and digestion procedures. distance (cm, mm, etc.), from the top of the
Unlike the techniques used in the separation and core. Until just recently, the author was in com-
preservation of the clay, those used for pollen plete concurrence with this procedure. Having
recovery utilize more caustic reagents such potas- used geological coring, as a sediment sampling
sium hydroxide, hydrochloric acid, and the high method technique for some time, it now seems
reactive acid, hydrofluoric. Acquiring sediments that using the top of core, as the point of refer-
for pollen extraction and analysis can be done in ence, may not be as appropriate as previously
conjunction with the study and description of a thought. In situations of single cores, using the
soil/sediment profile. Similar to our example of top of the core as “zero” may have merit, but in
obtaining a soil monolith, a bloc of material is the case of multiple cores, across an uneven
removed by the use of a trowel or small shovel. topography, the stratigraphic relationship
Such a bloc or vertical sequence of blocks can be between cores, in an absolute sense, may be
returned to the laboratory for subsequent, system- difficult to determine without some measure of
atic removal of subsamples every few centimeters surface elevation, such that each core can be
as a general rule. placed in correct relationship to its neighbor.
Coring is a common means of retrieving con- One core must be a reference elevation datum
tinuous sediment columns. Of the various coring and the others placed in relation to it.
procedures described, the one most appropriate Where elevation data is lacking, it is
for the specific study depends in great part on the suggested that the measurement of “zero,” in
108 4 Techniques for Archaeological Sediments and Soils
the core, may be more useful, if taken from the Table 4.2 Sample preparation for pollen analysis
bottom or tip of the core. There is nothing arbi- (i) Boil sediment with 10 % NaOH or kOH to
trary about the bottom point of a core. In sam- remove soluble humic acids and to break the
pling wetland or submerged sediments, it is not sediment down
(ii) Sieve to remove coarse debris
uncommon to lose portions of upper sediments
(iii) Treat with cold 1 0 % HCl to remove carbonates
due to suspension/dispersion of light fractions or
(iv) Treat with either hot 48 % HF for a short time
simple unconsolidation of the sediment by the (up to 1 h) or cold 48 % HF for a long time (up to
coring device. In these cases, one does not have 24 h) to remove silicates (silt, clay, diatoms, etc.)
a true surface measurement that is coincident (v) Treat with hot acetolysis mixture (9 parts acetic
with the observed top of sediment in the core anhydride: 1 part concentrated H2SO4) to
hydrolyze cellulose
sample. By measuring from the core tip, some
(vi) After neutralization, stain the residue with
consistency is assured. In the case of varying safranin or basic fuchsin
surface topography, this procedure “normalizes” (vii) Mount the residue in a suitable medium with a
the disparity in strata by removing the offset in refractive index (1.55 which is that of pollen
altitude such that these strata will be observed at grains. An excellent medium is silicone oil
their same relative positions, in the core sample, (R. I. ¼ 1.4)
regardless of surface elevation. Courtesy George Brook, University of Georgia Geogra-
phy Department
Additional caution should be taken in the
removal of sediment whether from a core or
profile. Scrape the sampling site’s surface
Observed spike grainsðaÞ
removing the surface material with a spatula or
trowel that is cleaned between samples. Take Total spike grainsðbÞ
uniform samples of 0.5–1.0 cm3 (a few grams) Observed grains of taxon XðcÞ
¼
in size. A typical extraction procedure is shown Total particles of taxon XðdÞ
in Table 4.2. The sequence of various regents and
dispersals removes the sediment matrix where one simply solves for (d) total particles of
containing the pollen and spores. After the pollen taxon X. Of course, using a spike of Eucalyptus
grains and spores are extracted, stained, and pollen is precluded in areas where the species
mounted, a typical sample area, such as occurs naturally or has been introduced (e.g.,
22 22 mm, is called “strew” (Rich 1999). southern California). Shane (1992) suggests
As with point counting, the pollen grain count using 7–10 104 spike grains/ml such that by
results in a relative sample frequency. This sam- adding 0.5–1.0 ml of this spike to a 0.5 cm3
ple pollen frequency must be converted to abso- sediment, sample will yield an “ideal” 2 grains
lute pollen frequencies to compensate for of the pollen spike to the sample (Maher 1981).
disparities in pollen influx at different times In counting a spiked sample, one procedure is to
such as the difference between fluences of 1,000 use a hemocytometer, a thick, specialized slide
and 100,000 cm2 although both represent 90 per- with apertures (2) for introduction of aliquots
centile samples. Davis (1969) suggested a novel into two, separate grids. Once the sample aliquot
method to do this by amending or “spiking” the is placed in the hemocytometer, the grains along
samples with a tracer pollen type in known the parallel sides of those grid squares marked by
amounts. Using this method, the number of pollen “X” are counted and listed in pairs. A total of
grains of each pollen type can be ascertained 30–40 grid squares are counted. The volume/
relative to known ratio of the tracer species. square is about 0.1 mm3 so 10 squares equal
The spike procedure may use something like 1 ml by volume. One hopes to observe at least
exotic pollen grains like those of Eucalyptus. The 300 grains in a count of at least 5 squares to
concentration of any pollen taxon can then be assure representation statistics. If the counts,
measured in ratio-proportion to this “exotic” done by a palynology laboratory, show a paucity
spike by the simple relation: of pollen grains (~300 grains/sample), they will
4.13 Phytoliths for Archaeology 109
information. Phytoliths are mineral deposits (cal- the identification of plant taxonomy. Phytolith
cium, silica) that form in and between plant cells populations are complex and stochastic—
(Mulholland and Rapp 1992). Of the two mineral- suffering from multiplicity of shapes, subtle and
ogic varieties of phytoliths—calcium and silica or not so subtle morphological variation, and dupli-
“opal”—the latter has formed the bulk of most cation (redundancy) of basic forms among taxa
modern phytolith studies. While both calcium (Rovner 1996b). In this form of systematics,
and opal phleboliths exist as either amorphous differences between phytoliths are ignored in
forms or cell morphology (“cystoliths”), the opal favor of their similarities. Phytoliths are grouped
phytoliths exist longer in sedimentary contexts. rather than differentiated into smaller taxonomic
Fossil opal phytoliths have been reported in sedi- categories such as genus and species. Further-
mentary rock millions of year old (Jones 1964). more, most measurements that are taken are
Bryant (1974) has reported both calcium and opal length and width since they are the easiest to
phytoliths in ancient coprolytes, but the former are measure manually (Rovner 1996b). Opal
not frequent in sediments. Bukry (1979) has phytoliths are produced by angiosperms,
reported opal phytoliths preserved in deep ocean gymnosperms, and pteridophytes (Piperno
sediments. 1988). They are produced by both
Christian Gottfried Ehrenberg began in 1836 monocotyledons and dicotyledons. Plant families
the systematic study of phytoliths or producing opal phytoliths include both Poaceae
phytolitharia which he published in 1845, and Gramineae grasses, Cyperaceae (sedges),
10 years after the first published work on Ulmaceae (elm), Fabaceae or Leguminosae
phytoliths by another German scientist named (beans), Cucurbitaceae (squashes), and
Struve (1835). His subsequent, extensive collec- Asteraceae or Compositae (sunflower)
tion and study of phytoliths from Europe, Africa, (Mulholland and Rapp 1992). Still phytolith pro-
Asia, and America led to Ehrenberg’s duction is not universal, and even when plants do
Mikrogeologie (1854). Ehrenberg’s lead inspired so, the phytoliths are amorphous and are not
other German researchers to continue phytolith distinctive.
studies in sediments and expanded observations The immense variety in shape stems both
of phytolith sources (Grob 1896). From the from intraplant taxonomic differences and sim-
beginning, the link between phytolith studies ple cellular differences between different parts of
and that of paleoenvironments, a key interest of the plant from a specific taxa. Additionally,
modern archaeology, was articulated by plants produce vast amounts of these cell casts
Ehrenberg and those who came after him. as they die and decompose in the soil. It should
Increasingly more common, the phytolith studies be noted that the two major differences exist
of archaeological sediments have yet to reach the between phytoliths and pollen besides long-
level of acceptance as palynological studies. This term preservation: (1) phytoliths are less taxo-
situation is rapidly changing, and the use of phy- nomic specific than pollen, and (2) they are more
tolith studies has proven to be of diverse benefit likely to be deposited in situ rather than broad-
to both archaeology and geology (Twiss 2001). cast over large areas like many forms of pollen.
When phytoliths can be reliably identified, they
make up stable components of archaeological
4.14 Phytolith Identification sediments (Pearsall and Trimball 1984; Pearsall
and Morphology 1989).
The size and shape of phytoliths vary
Traditionally, the identification of phytoliths has depending on the plant in which they are depos-
been based on typologies. The most typical ited and the area of deposition within the plant.
shapes found have been given significance for Monosilic acid is carried into the tissues of the
4.15 Phytolith Extraction and Counting 111
plant in groundwater and is usually deposited in siliceous residue (supra). Most of the residue
stems, leaves, and inflorescences. Eventually the used in a phytolith sample is composed of the
silica is precipitated forming opaline silica (SiO2 relatively nondiagnostic epidermal cells.
.nH2O) in the shape of the area that contains Fragments of the epidermis of leaves, stems,
it. These areas lie within or between cells. This and husks (inflorescence bracts—hair cells,
forms the cystalith or morphocast of the cell. papillae, etc.) offer today’s worker improved
Upon decay of this plant, the phytoliths become chances for identification success.
a component of the soil which can then be studied In terms of agriculture, many European
to determine the past floral assemblages of the grasses fall into the festucoid category, while
immediate area as Ehrenberg had foreshadowed. maize contains panicoid lobate shapes. Rice
Guntz and Grob (1896), more than Ehrenberg, contains a type of phytolith known as bulliforms,
identified and taxonomically classified more phy- while parts of other cultigens such as the rind of
tolith varieties than their predecessor. Guntz, squash, the leaf of bean, and the sunflower as
alone, studied 130 species of grass in attempt to well as maize form unique shapes that were
link cell morphology of leaves to the area’s cli- identified by Bozarth (1986, 1993). Squash, for
mate in which they grew (Powers 1992). example, forms spheroid phytoliths covered with
The grass family is a monocotyledon taxon contiguous concavities. Weed species that thrive
that produces an abundance of phytoliths and is in areas of agricultural abandonment often con-
also a good indicator of climatic changes. These tain chloridoid short cells. The identification of
phytoliths have been subdivided into general phytoliths from these species remains important
long and short cell categories. Distinctive grass to the study of archaeology. Trees and shrubs
short cells have been further subdivided into also produce phytoliths. The shapes vary greatly
festucoid, panicoid, and chloridoid classes and need further study to identify their taxa and
(Twiss et al. 1969). Festucoids include grasses origin. Grasses are largely unidentifiable below
that prefer cool and moist conditions and include family level.
Festuceae, Hordeae, Aeneae, and Agrostideae.
Their shapes range from trapezoid, rectangular,
elliptical, and acicular to crescent, crenate, and 4.15 Phytolith Extraction
oblong. Chloridoid grasses grow under drier and and Counting
warmer conditions. Their shapes are less diverse
being a basic saddle shape. Chloridoid grasses The technique of phytolith extraction set forth by
occur in Chlorideae, Ergrosteae, and Rovner (1996a) was used on the soil samples
Sporoboleae. Panicoids include the other grass collected from the site. It represents a relatively
tribes of Andropogoneae, Paniceae, Maydeae, simple but labor intensive and time-consuming
Isachneae, and Oryzeae which are located in procedure which is necessary to separate
warm, moist environments. Their short cells con- phytoliths from the other components of the soil
tain the most distinct shapes such as bilobates, (Table 4.4). Approximately thirty grams of soils
cross bodies, and crenate shapes. The grass short are necessary for processing using this
cells and their morphology are illustrated and procedure.
discussed in detail by Brown (1984). Twiss has Once the phytoliths have been successfully
pointed out that for grass phytolith classification, extracted, one proceeds to identify and count
it is the costal short cells that are the most diag- as many recognizable forms as possible at
nostic (2001). Unfortunately, these cells com- family or subfamily taxonomic levels. Most
prise only a small fraction (~5 %) of the total researchers prior to the 1990s relied on light
112 4 Techniques for Archaeological Sediments and Soils
Because the SEM and confocal systems focus optical procedures. Russ and Rovner (1989) have
on micron-submicron scales, the investigator suggested the use of computer-assisted image
does not examine as many phytoliths during a analysis to achieve reliable, less subjective phy-
scan. The identifications are more confidently tolith identification as well as more rapid assess-
made, but the overall number of individual ment of total numbers of phytoliths per sample.
“grains” counted is minuscule compared to the
Geophysical Techniques for Archaeology
5
Professionals, in the past decade, have formed a minerals, basalt, gabbro, diorite, and magnetite,
professional organization focused exclusively on are better than the sedimentary or metamorphic
the use of geophysics in archaeology. rocks. Table 5.1 lists resistivity values of com-
mon sediments, rocks, and minerals. Of the
sediments, clays are the best conductors, and
5.2 The International Society clay-rich soils have lower resistance to electrical
for Archaeological Prospection flow than, say, quartzitic or carbonate types.
(ISAP) The difference in the resistance or resistivity,
as it most commonly called, as measured by
The inaugural meeting of the Society was held on galvanometers or ohm/voltmeters, is used to
September 13, 2003, during the fifth Interna- detect and characterized buried features of an
tional Conference on Archaeological Prospection archaeological nature. The fundamental physical
in Cracow, Poland. “The object of the Society relation involved in resistivity is Ohm’s law.
shall be to advance the education of the public in
R ¼ V=I
archaeology (including the man-made landscape
and the built-environment) through the promo- In Ohm’s law, R is the resistance (measured in
tion of high standards of research, application ohm Ω), V is the voltage (measured in volt V ),
and communication in the field of archaeological and I the current (measured in ampere A). One
prospection and related studies. The Society’s ampere is equal to one coulomb of (electron)
scope shall be international, both in activities charge moving in 1 s through a potential of 1 V.
and membership” (Armin Schmidt, Personal For a current to flow, there must be a difference
Communication 2015). in the voltage potential, also termed bias. On the
microscopic level, Ohm’s law can be written, in
vectorial form, as
5.3 Electrical Methods: Resistivity
E ¼ σj
Resistivity methods have “pride of place” in
archaeological geophysics by virtue of being E is the electric field, σ is conductivity, and j is
the first geophysical method used by the current density.
archaeologists (Aitken 1974). These early Resistivity and resistance are not totally syn-
efforts, after World War II, consisted of much onymous terms. Resistivity is specific resistance,
trial and error, with multiple, galvanic electrodes expressed as ρ in the unit of ohm-meter Ωm. It is
used as a rule. The first applications were what the resistance to current flow, over some dis-
we will call “profiling” studies in that the tance, and is proportional to the area. In resistiv-
electrodes—simple steel rods in most cases— ity survey we measure the apparent resistivity,
are advanced over the site at a fixed interval ρa, which is the “true” resistance across a nonho-
between the probes, Wenner and Schlumberger mogeneous media like the earth. The apparent
methods (supra). A rough rule of thumb, still resistivity is expressed with a geometric correc-
followed today, holds that the electrode separa- tion factor that is particular to a particular
tion is equivalent to the profiling depth or that a electrode spacing or array. The geometric factor
1 m electrode separation will detect buried for the Wenner array, the most commonly used
features at 1 m depth in the site. array, is 2πa where a is the electrode spacing and
Electrical resistivity or resistance survey 2π considers the half-space volume over which
methods measure electrical flow through soils the current flows. With this in mind, we rewrite
or sediments. Most earth materials conduct Ohm’s law, for the Wenner array as
currents, poorly at best, but vary nonetheless, ρa ¼ 2π a V=I
according to mineralogic makeup and water con-
tent. Rocks are poor conductors. Some of the A material with significant resistance to current
metallic or igneous varieties, such as the sulfide flow is an insulator, while one that allows current
118 5 Geophysical Techniques for Archaeology
flow is a conductor. Glass and silicate minerals water is a good insulator whereas tap water is a
are insulators, while the metals are conductors. conductor. Why? Distilled water is free of any
The conductance of current through soil is mineralogic salts and other ions where tap water
greatly influenced by water content. Water has charge carrier ions such as sodium, chlorine,
alone is not necessarily a conductor as distilled etc., that conduct electrical current. This property
5.3 Electrical Methods: Resistivity 119
is termed ionic conductivity. In sediments, the array instruments. The multielectrode (25+) cable
number of ionic elements is much greater than arrays used with computer-driven control units
simple water. It is the water that mobilizes the allow the rapid collection of field data in a host
ions to form the electrolytic soil/water solution. of array configurations—Schlumberger, Wenner,
When an electrical potential is applied across a double-dipole, etc.
soil volume, with electrodes, the material and
moisture will act first as charge carriers. After a
period of time, the soil will impede the motion of 5.3.1 Resistivity Arrays
ions so that they accumulate at grain boundaries
wherein the ground acts like a battery. This is In archaeological prospection four-electrode
particularly true where direct current (DC) is arrays are most commonly used. We now review
applied to the electrodes. To avoid unwanted in order of popularity. The Wenner array is the
polarization effects, resistivity devices use “standard” against which other arrays are
alternating current (AC). An alternating current assessed (Milsom and Eriksen 2011).
source, regulated by an oscillator, varies the sign
of the current in +0.5 to –0.5 cycles such that the 5.3.1.1 Wenner Array
ground “battery” cannot build up charge without The high impedance measurement circuit used
subsequent reversal and discharge. As a result for Wenner potential electrodes (P1, P2) reduces
there can be no net polarization. The early contact resistance by orders of magnitude
two-electrode arrays were prone to another because it draws little current. It has been found
problem known as “contact resistance” which that electrode size, depth, and geometry are of
comprises a large part of the total resistance. little importance but electrode spacing, as we
Workers overcame this problem by adding two have said, is more so. With the Wenner array,
additional electrodes, equally spaced apart, and this relationship is fairly direct with the depth of
the four-electrode array was born. profiling roughly equivalent to electrode spacing.
As stated, resistivity is the most venerable of Depth and spacing are generally treated as
geophysical techniques used for archaeology equivalent.
(Aitken, supra); resistivity will continue to The diagram in Fig. 5.1 illustrates the spacing,
be used into this millennium as a productive a, is equal and set to the depth of interest for the
prospection method. Over a half-century of expe- specific traverse. To traverse a site, the array is
rience, in both archaeology and geology, resistiv- advanced by increments equal to a with readings
ity has provided a solid conceptual as well as made. The direction of the survey will influence
applied basis. To remain a productive geophys- the appearance of most anomalies. While it is
ical methodology for archaeology, advances time consuming, it is sometimes useful to resur-
in electrode design, such as non-polarizing vey at right angles to the direction of the original
electrodes, together with current reversal cir- survey. For sounding surveys the electrode
cuitry, low power AC batteries, and low induction spacing is expanded by increasing increments
cables have all contributed to a more efficient of a ¼ 1, 2, 4, 8. . .n. It is the easiest of the four-
modern resistivity technology. These hardware electrode arrays to conceptualize. One simply
innovations have been coupled with the advances lines up the four electrodes, at an equal interval
in computer design to make modern instruments a, drives a current, reads the resistance, and
more compact and flexible. Data is in digital then moves the electrodes, in sequence, by
formats making storage manipulation and predetermined interval a. This is repeated until
modeling by geophysical software all the more the area of interest has been completely traversed
routine. The most often heard problem—lack of on an X-Y grid.
speed in field survey—has been addressed, at All of the arrays discussed in this section can
least in archaeology, by the modern double- be used for archaeological profiling studies and
dipole array instruments and the multielectrode indeed they have. The profiling method simply
120 5 Geophysical Techniques for Archaeology
ent line
nt me asurem
Th e curre
pin 43
pin 44
pin 45
pin 46
pin 47
pin 48 line
ement
xt measur
The ne
pin 43
pin 44
pin 45
pin 46
pin 47
pin 48
Fig. 5.1 General multielectrode resistivity system. This system can be programmed for both Wenner and
Schlumberger array configurations
requires the traverse of an archaeological site of profiling in the discussion of the Schlumberger
using a preselected offset and sampling interval. array.
This is termed the “constant-spread” traverse.
Fig. 5.2 Resistivity pseudosection of Mound A, Etowah initial radar studies of this and adjacent mounds B (Garrison
Mounds State Park, Cartersville, Georgia, USA. This 20 m- 1998). This figure is the result of a later electrical study
high Mississippian period temple mound was built some- (Garrison et al. 2005). The near-surface features in red are
time prior to 1250 AD. It has been the subject of several well-documented “robber trenches” but the deeper
geophysical studies beginning in 1993 with the author’s anomalies, in green, are prehistoric structural features
5.5 Electrical Methods: Electromagnetic/Conductivity 123
recall the effect of frequency on the soil, gener- measuring a weak, secondary electromagnetic
ally speaking, the higher frequencies “see” all field/current in the ground. The ability of the
soil as conductive, and, therefore, the depth of subsurface materials to conduct electromagnetic
survey is quite shallow. Circuitry and coil energy can then be measured and used to
geometries allow the use of multiple frequencies interpret the anomalies found within the subsur-
which are particularly good at isolating shallow face. EM surveys that can measure multiple
conductive features such as those interesting to frequencies can correlate these frequencies to
archaeology (Figs. 5.2 and 5.4). These multifre- different depths. Lower frequencies are able to
quency devices allow for the acquisition of large, penetrate deeper into the ground due to their long
digital data sets that can be plotted and compared wavelengths but cannot resolve finer details.
as to the presence of conductive features and Higher frequencies may be able to resolve those
their “depths.” True depth estimations can be finer details in the data but are unable to pene-
problematic for EM survey results. With units trate as deeply into the ground. By using a range
like either the EM-31 or EM-38, the rough rela- of six frequencies during the Cherokee Female
tionship between coil separation (1.2 coil sep- Seminary survey, it was possible to explore dif-
aration) and depth can be used. The E-31 has a ferent depths from just below the ground surface
maximum depth of survey of about 6 m, while down to deeper geological and embedded archae-
that of the EM-38 is only 1.5 m. This problem ological features.
will crop up again in our discussion of another A GSSI GEM-300 conductivity (EM) meter
EM-based device: the ground-penetrating radar was used for this survey. Data were collected at
(GPR). stations placed every 2 ft along transects that
were spaced 3 ft apart. These intervals were
used because the building was constructed
5.5.1 Application of EM Methods using feet-inch units. EM data were downloaded
from the GEM-300 instrument and processed
EM surveys are done as traverses. Like resistivity using Geosoft’s Oasis MONTAJ software. Each
data, the results are typically presented as of the six frequencies was used to provide infor-
(a) profiles or (b) surface plots, either plan view mation about anomalies at different depths.
or isometric. The following example illustrates Depths were roughly calculated using the for-
the use of EM deployed over the site of a historic mula for skin depth, but more accurate correla-
school building. tion for depth was generally found by cross-
comparing EM data plots with those using GPR
data (Figs. 5.3 and 5.4).
Fig. 5.3 The Cherokee female seminary, ca. 1,848. Courtesy of the Oklahoma Historical Society
Fig. 5.4 Three plots of geophysical data from surveys image is a GPR “time slice” of the same area showing
of the site of the Cherokee Female Seminary, good correlation between the two sensors. Architec-
Tahlequah, Oklahoma. The upper plots are, respec- tural interpretation has been added to the radar
tively, a plan view of quadrature phase data (330 Hz) plot. The area outlined in red is buried ruin of the
and the isometric view of the same data. The lower building
5.6 Conductivity (EM) Survey of a Burned and Buried Cherokee Seminary Building. . . 127
Iron-bearing minerals such as goethite, hema- USS Cairo (Bearrs 1966). Geophysicists have
tite, and magnetite (cf. Tables 5.2 and 5.3) are developed several magnetometers for use in
common in many soils that contain archaeolog- prospection. These include the fluxgate magne-
ical features. Till et al. (2015) have described soil tometer, proton precession magnetometer, and
mechanisms that increase the presence of the the optically pumped magnetometer.
more magnetic of these minerals—magnetite Magnetometers measure the sum of the
and maghemite. Conversion, by chemical/recrys- induced and remanent magnetization in some
tallization pathways, of less magnetic goethite absolute or relative ratio to the earth’s field
and hematite forms together with either natural depending on the instrument (LeBorgne 1960).
or anthropogenic fires to magnetite/maghemite Fluxgate models measure this along a single axis,
has been documented for soils where organic while the other types measure the total or abso-
matter acts as a reductant (supra). lute field—the sum of all axes of the magnetic
field at a location. The single axis fluxgate
readings can be subtracted from the total field
5.6.2 Magnetometers to obtain the remnant component that is
often directly representative of archaeological
Magnetometers, unlike conductivity and resistiv- features. Absolute or total field devices, proton
ity devices, which actively generate electric precession or optically pumped systems, are
fields are “passive” instruments. By comparison also used to detect local magnetic materials—
the simplest device for measuring magnetic fields artifacts and architectural remains, for instance.
is the compass. While this hardly seems to
qualify this important directional tool as a Fluxgate Magnetometer This magnetometer is
prospection instrument, it was used to success- simply a magnetic metal around which two coils,
fully relocate the sunken Civil War ironclad, primary and secondary, are wound to form a
128 5 Geophysical Techniques for Archaeology
Table 5.2 Magnetic susceptibilities of common rocks be measured. The magnetometer can measure
and minerals (cgs units) all three components of the total magnetic
Top soil 104 field’s X, Y, and Z orientation. Because of the
Clay (unfired) 105 complexity of the sensor(s) output, a micropro-
Altered ultrabasic rocks 104–102 cessor is needed. In practice the x-axis is fixed to
Basalt 104–103 north and the Y and Z fluxgate sensors held in
Gabbro 104
some fixed orientation to X. The data can be
Granite 105–103
displayed as to (a) the north-south component
Andesite 104
(X) and the east-west component (Y) and the
Dolerite 102–0.1
Rhyolite 105–104 vertical component (Z).
Shale 105–104
Schist and other Proton Precession Magnetometer This type of
Metamorphic rocks 104–106 magnetometer is perhaps the most common field
Most sedimentary rocks 106–105 system used in archaeological prospection.
Limestone and chert 106 Conceptually, it is somewhat more complex
Pyrrhotite 103–1 than the fluxgate design. As the name implies,
Magnetite 103–2.0 the measurement of the magnetic field strength is
Chromite 104–1 through use of proton (the hydrogen nucleus)
Hematite 106–105 precession. Precession is a property of electrons
Pyrite 104–103 and protons due to its spin (Leute 1987). An
individual proton will align, as its spin generates
Table 5.3 Magnetic properties of soil minerals a very weak magnetic dipolar moment, along the
Mineral Formula Magnetism direction of a magnetic field such as the geomag-
Magnetite Fe3O4 Ferrimagnetic netic field of the earth.
Hematite α-Fe2O3 Antiferromagnetic Protons, such as in a fluid—water, gasoline, or
Maghemite γ-Fe2O3 Ferrimagnetic alcohol—can act in a collective manner, simi-
Goethite α-FeOOH Antiferromagnetic larly to that of ferromagnetic domains. A proton
Lepidocrocite γ-FeOOH Antiferromagnetic precession magnetometer has as its sensor, a
Ilmenite FeTiO3 Antiferromagnetic container of a proton-rich fluid, encircled by
Pyrrhotite Fe7S8 Ferrimagnetic wire windings that carry a current. The current,
Pyrolusite MnO2 Antiferromagnetic 1–1.5 A, generally, can generate a locally brief
yet strong magnetic field that “polarizes” the
transformer. In operation the introduction of AC protons. After the field is turned off, the protons
in the primary coil produces (induces) a mag- precess together until their motion decays into
netic field in the core metal as a secondary volt- random modes, about the field lines (of magnetic
age or waveform. Any external field along the force) of the geomagnetic field. There is a known
axis of the core can alter the waveform propor- frequency for this precession about the geomag-
tional to the strength of the magnetic field at a netic field that is termed the Larmor frequency,
sensitivity of 1 part in 50,000 nT, i.e., 1 nano- using an average value of the earth’s field of
Tesla (nT). If the field vector is off the axis of the 50,000 nΤ; it is equal to 2,100 Hz. The protons
fluxgate device, then it is not as readily detected. processing in unison, at or near the Larmor fre-
Fluxgate devices are popular in Great Britain quency, induce a weak electrical current in
and the continent (Milsom and Eriksen 2011; the sensor’s windings which, when amplified,
Marshall 1999; Neubauer and Eder‐Hinterleitner converts the voltage’s frequency to direct mea-
1997). sure of the magnetic field strength to about
A three-component fluxgate magnetometer 0.02 Hz or 0.5 nΤ (Leute 1987).
has been described by Kamei et al. (1992). Cou-
pling two of these devices creates a gradiometer Optically Pumped Magnetometer In the geo-
wherein both the total and gradient fields can magnetic field, electronic levels will have their
5.6 Conductivity (EM) Survey of a Burned and Buried Cherokee Seminary Building. . . 129
orbital “degeneracy” removed such that a dis- feature more strongly than the upper sensor. The
crete energy, of a few electron volts, exists upper sensor can be thought to be affected more
between the + and energy states of an atomic by the magnetic field of the earth rather than the
electron. This effect was discovered by Pieter feature. By subtracting the readings of the paired
Zeeman in the nineteenth century and was sensors, the gradient is obtained. In modern
named for him. The use of the Zeeman effect instruments this is done electronically and digi-
created a third type of magnetometer called the tally displayed. To get a similar result, two
optical-pumped or absorption cell magnetome- magnetometers are often used with one
ter. The electrons of a specific element such as remaining at a fixed location, the base station,
sodium, cesium, or rubidium can move between and a second unit, the mobile unit, used to con-
the Zeeman levels, generally from ground (low- duct the survey. At each location the readings,
est) state to higher energy states by absorption of taken simultaneously, are subtracted to give what
appropriately polarized light protons (hν). is termed the differential magnetic reading. This
Optical or absorption cells, filled with a vapor differential reading subtracts the magnetic field
or sodium, for example, will experience reading of the base station from the mobile
“pumping” of ground state electrons into higher reading. It is similar but not quite the same as
Zeeman energy states until the ground state is the gradiometer reading.
depleted. Absorption stops as the cell becomes
opaque. Absorption is re-initiated by applying a
weak high-frequency radio field to the cell,
5.6.4 Magnetic Anomaly
and the higher electron energy states will
Interpretation: Basic Principles
“depopulate” and cascade back down to the
ground state. Optically pumped magnetometers
Magnetometers measure the field that results
have been in use almost as long as proton preces-
from the sum of the magnetic field strength
sion and fluxgate models. A recent use of the
induced by the earth’s field (average value ¼
Zeeman effect in the proton precession design
50,000 nT) and any additional permanent mag-
takes advantage of a resonant proton-election
netism or remanence. The remnant field compo-
coupling in an organo-electrolyte (paramagnetic)
nent of the total field, at the measurement point,
that increases the magnetometer’s sensitivity to
is often off axis to that of the earth’s field. Mag-
0.01 nT. The effect is termed the Overhauser
netic features are termed “anomalies” in the par-
effect and the device based on this effect is the
lance of geophysics. Unless the anomaly has a
Overhauser-Abragam magnetometer (Milsom
strong remnant component, such as a hematite
and Eriksen 2011).
ore body or a buried clay hearth or kiln, most
features found by archaeological prospection are
the result of magnetic induction due to higher
5.6.3 Gradiometers than average amounts of ferri- and ferromagnetic
minerals and their increased magnetic suscepti-
Almost any type of magnetometer—proton, flux- bility. Magnetic prospection relies on the con-
gate, and optical—can be configured to function trast in terms of magnetic susceptibility among
as a gradiometer. Two sensors are paired at a buried materials that is expressed as k and total
fixed distance apart such that a horizontal or magnetism is M. Less rigorous treatments reduce
vertical gradient exists between the pair. This to semiempirical characterizations of the
magnetic gradient or separation is small— anomaly’s strength such as
0.5–1.0 m—compared to most magnetic features.
T ¼ k M=r n dimension=shape factor
Gradiometers react to near-surface anomalies,
with the lower sensor, if the instrument’s sensors Here T is the anomaly strength, r is the distance
are aligned in a vertical mode, detects the buried to the anomaly from the sensor, and the
130 5 Geophysical Techniques for Archaeology
exponent, n, is the rate of decay of magnetic to the south of the actual feature at a distance
strength or falloff factor and a shape or dimen- equal to one-third the depth of the feature.
sion factor. M and k are as before. This expres-
sion is reduced to
5.6.5 Magnetic Prospection: Practice
T ¼ M=r n
Many “successful” magnetic surveys have been
Field inclination is indirectly considered by its
done in archaeology without a great deal of atten-
effect on total magnetic intensity such that:
tion paid to first principles. In those surveys the
T ¼ 2 M/r 3 for a dipolar anomaly along its results were judged on the presence or absence
axis; T ¼ M/r 3 for a dipolar anomaly, off axis; together with strength of anomalies. Indeed with
and T ¼ M/r 2 for a monopolar anomaly, any the first magnetometer models, this was about all
orientation. Field measurement of I is difficult one could expect before reliable digital measure-
and is most commonly estimated, e.g., 60 incli- ment of the field strength was added. Martin
nation at 30 N latitude. If I is known or Packard and Russell Varian are credited with
estimated, a simple vectorial solution for the the development of the proton precession instru-
anomaly strength can be obtained. ment in 1954 (Weymouth 1996). By 1956 John
The falloff factor is important. The field of a Belshé demonstrated that a replica of an ancient
dipole falls off as the third power of the distance. kiln produced a magnetic moment. Martin
For a monopole this is only by the square of the Aitken and Teddy Hall, of Oxford, constructed
distance. In practical terms this implies that an a proton-based unit and located an actual kiln
anomaly’s strength, measured at 81 nT, directly buried in a Roman site (supra). Linnington, at
over the feature, will fall to 3 nT at a distance of the Lerici Foundation in Rome, surveyed the
1 m. By way of comparison, active EM devices, Greek site of Metapontum in 1968 and began
such a metal detectors, have a total falloff factor the modeling of magnetic data. By the 1960s,
of r6! workers, such as Scollar, in Bonn, were doing
One, even if assuming a purely vertical or automatic data collection and applying
horizontal field direction, can ascertain much computers to the processing and display of that
about the nature of an anomaly by observing data (Scollar et al. 1986). Workers such as
the rate of falloff and the sign of the anomaly Aitken, Linnington, Tite, Scollar, Ralph, Beven,
along with its strength. Anomaly shapes change Weymouth, and others rapidly moved magnetic
with an increase/decrease in sensor height and prospection, in archaeology, forward.
field direction. Depth estimation is likewise Understanding the susceptibility contrasts of
important. One can use the straightforward rela- materials greatly enhances the predictability of
tionship seen in the above formulae or use “rules what one can hope to detect in differing field
of thumb” or nomograms. Milson estimates the situations. For instance, a contrast of 102 versus
accuracy of these latter methods to within 30 % one of Δ k ¼ 104 results in strikingly different
(Milson and Eriksen 2014). One method is anomaly strengths, i.e., 32 vs 0.32 nT. Another
the “full-width half-max” rule (FWHM). The factor, not mentioned in the discussion of
anomaly’s maximum value for Z (field strength) principles, is the daily or diurnal variation in
is used to determine those points on the x-axis the earth’s field. This is a real and fairly regular
where the value falls to Z/2. The distance effect observed over the course of the day. This
between the two points of Z/2 is proportional to change is observed; field strength is a result of
the approximate depth of the anomaly. For a ionospheric currents that grow in strength over
spherical dipole, the depth is ~x/2 and for a the day, with solar heating, and subside over-
monopole the depth is ~1.3 x/2. In the night. The pattern, in mid-latitude areas, follows
mid-latitudes of the Northern Hemisphere, the an increase in field strength to 11 AM decrease of
maximum value of an anomaly tends to occur ten or more nanoTeslas toward dusk and then a
5.6 Conductivity (EM) Survey of a Burned and Buried Cherokee Seminary Building. . . 131
steady increase up to midnight. Again the As just discussed geomagnetic and ionospheric
increase is in the low terms of nT. Long-duration factors are accounted for but not chosen before-
surveys must account for the diurnal variation. hand. Unlike other geophysical surveys, archae-
This is typically done by using the differential ological prospection involves more grid-area
arrangement discussed previously. These survey on closely spaced (0.5–2 m+) lines. The
changes are subtracted from the data to normal- spacing of grid intervals is largely determined by
ize the AM and PM components. If a gradiometer the size of the feature(s) being sought and sus-
instrument is being used, then such a correction ceptibility contrasts. For small, discrete objects
is less necessary. Another common factor that of low-to-moderate magnetic contrast, the grid
intrudes on long traverses (>100 m) is the earth’s should rarely exceed 1 m in interval/offset
field gradient. This is a consequence of running spacing. For larger features such as structural
most profiles in a N-S direction. Those readings remains, roadways, etc., the interval can be
most northward will gradually increase as a func- relaxed to 5 and even 10 m spacing if the area
tion of the normal increase in the earth’s field to survey is large.
strength as one approaches the poles. It is easily On the average, one team of two to three
observed as slight change of profile slope and individuals can survey a 20 20 m area on a
subtracted from the data. 1 m interval in a 6–8 h period. Speed in these
The two principal magnetic methods, magne- surveys is determined by the cycling time of the
tometer and magnetic susceptibility, have proven instrument which is basically a nonfactor with
successful in the search for archaeometallurgical any modern instrument given that the operator
sites and their features (Powell et al. 2002). can occupy a point and measure, move, and
The former, magnetometer, “proton,” repeat the sequence in a typical one-half second
“optically pumped,” or “fluxgate,” is considered cycling time of a precession device. Optically
“passive” in that the instrument produces no pumped and fluxgate systems read continuously
physical perturbation of the soil or feature and so one just walks, reads, etc. This aspect of mag-
only detects the magnetization by means of sen- netic survey is its great advantage. Compared
sor coils. Magnetic susceptibility systems—sus- even to the two-probe resistivity array, magnetic
ceptibility meters and electrical conductivity surveys in terms of time make it a tortoise-hare
meters—are “active” instruments in that they situation. This time the hare wins.
use an alternating current in a coil to induce or Other techniques comparable, in terms of
measure secondary magnetic fields in a feature speed, are some EM survey devices and, in
(Florsch et al. 2011). As we discussed in the more and more instances, GPR. Data produced
foregoing treatment on conductivity, induction by magnetic prospection is three-dimensional,
is measured as a function of the applied fre- that is to say, x, y, z, or “triplet form.” The z
quency or frequencies. In an excellent example value is that of the magnetic field. Because
of one lesser used geophysical methods, Florsch mapping software today commonly uses triplet-
et al. (2011) utilized induced polarization for the form data, it is an easy thing to substitute mag-
study of slag heaps. netic field strength for altitude producing both
(a) contour and (b) isometric plots of the data.
understood drawing on the depth of research into was undertaken by the University of Georgia’s
magnetism at both the micro- and macrolevels. Institute for Native American Studies (INAS),
The cost of instruments has become less of a which conducted a multisensor geophysical sur-
problem with the increased volume of devices vey of the historic Rose Cottage site and its
available. vicinity in August 2013.
Of the most prominent types of The most dramatic feature seen in the radar
magnetometers—proton precession, optically data is shown in Fig. 5.6. The rectangular feature
pumped vapor cells, and fluxgate devices—only that is just below the present ground surface
the latter are relatively immune to external noise continues to some depth, over a meter, and is
and strong local field gradients. Even these clearly a “man-made” or anthropogenic feature.
devices may have problems in some volcanic It is 40 m in overall length and more than 15 m in
terrains. With the exception of the fluxgate width. The north or upper portion of the feature
systems, most magnetometers cannot be used too extends beneath the elevation termed the “Old
close to power transmission lines or large Road.” The survey grid did not extend beyond
concentrations of iron and steel. A problem, but the edge of this latter topographic feature.
not one of the magnetometer itself, is the interfer- Within the boundaries of the large rectangular
ence caused by modern metal commonly found on radar feature, large and sharply delineated mag-
more ancient archaeological sites. In these cases netic features are clearly seen (Fig. 5.7).
the use of EM devices, in conjunction with
magnetometers, has merit. Neither surface or
near-surface metal debris nor strong field gradients 5.7.1 Ground-Penetrating Radar: GPR
significantly impact resistivity survey techniques.
The publication of textbooks (Goodman and
Conyers 1998; Conyers 2012) exclusively focus-
5.7 An Abandoned Nineteenth- ing on the use of fairly recently developed geo-
Century Cherokee Cemetery, physical technique in archaeology highlights the
Park Hill, Oklahoma, Cherokee rapid incorporation of GPR into archaeological
Nation, USA prospection. At the end of the century, after only
slightly over two decades, GPR has risen to a level
Rose Cottage (Figs. 5.5 and 5.6) was the resi- of recognition among archaeologists previously
dence of Chief John Ross, principal chief of the reserved for magnetic or resistivity instruments.
Cherokee Nation, 1828–1866, after the tribe’s This newfound popularity of GPR in archaeology,
forced removal from tribal lands in Georgia, in environmental studies, geotechnical and con-
Tennessee, and North Carolina, in 1838–1839. struction areas of engineering, as well as geology
Located somewhere near the site, the has led to new and older journals alike, devoting
nineteenth-century home, the Rose Cottage, of entire issues to the applications and methods of the
Principal Chief John Ross, the “Forgotten Ceme- technique (Geophysics 1986).
tery” grid was suspected to lie under mown,
grassy pasture bordered by a low elevation on Principles GPR is an electromagnetic geophys-
its north side by the so-called Old Road which ical technique where a radar beam (wave) is
connected the Rose Cottage with the present-day transmitted into the subsurface and, depending
Park Hill Road. Mentioned in a 1937 Elizabeth on different electrical properties of materials in
Ross interview as “One of the oldest burying the subsurface, that beam can be diffracted and
grounds in Cherokee County, now altogether reflected at objects and interfaces (Leute 1987)
obliterated, once lay near the north bank of the (Fig. 5.7). The strength and the travel time, the
Park Hill branch, several hundred yards northeast time delay, between transmitted and returning
of the Campbell Spring.” Relocating the Rose pulses, tt, of radar reflections can be plotted by
Cottage site as well as the nearby burial ground recorders and converted to depth and dimension.
5.7 An Abandoned Nineteenth-Century Cherokee Cemetery, Park Hill, Oklahoma. . . 133
Fig. 5.5 Rose Cottage, from a painting of the house done from memory. Oklahoma Historical Society
Fig. 5.6 A GeoPDF showing the location of UGA survey grids and other landmarks at the Rose Cottage site
GPR “sees” through freshwater, ice, soil, rock, plus 50 % above and below the center frequency
brick, and paving although highly conductive makes up the chirp’s range. For example, a
materials such as seawater, clays, and metal atten- 100 MHz center frequency includes frequencies
uate or occlude radar propagation. The radar down to 50 MHz and up to 150 MHz. The general
pulse is transmitted as a short burst of EM energy rule in estimating GPR depth of penetration is the
over a compact range of frequencies called a lower the frequency, the deeper the potential sur-
“CHIRP.” The center frequency of the antenna vey depth. Because GPR operates at relatively
134 5 Geophysical Techniques for Archaeology
Fig. 5.7 Multisensor representations—left and above, view is 1.74 m depth and clearly shows the
magnetic; right, ground radar—of an abandoned rectangular subsurface feature interpreted as a rem-
Native American cemetery, Park Hill, Oklahoma, nant of a stone or masonry wall. The magnetic
Cherokee Nation, USA. The magnetic anomalies cor- features (orange red) in the plots show linear
respond to rows of grave pits while the radargram patterns. The separation between the anomalies indi-
indicates three sides of a buried stone wall. The latter cate individual graves
high frequencies 20–1500 MHz, compared to sites, this range is quite adequate as the bulk of
seismic frequencies where “high” is considered most habitation sites seldom exceed this depth
to be in the range of 100 Hz, penetration beyond a range with the exception of tells and other deeply
few tens of meters in all but the most favorable found settlements. Even in these sites of excep-
material—rock generally—is uncommon. For tional depth, the antenna with a frequency appro-
most antennae, used in archaeology, the depth priate to the survey can be found.
range is 5 m or less, the working limit of The resolution of a specific radar frequency is
400–500 MHz models. For most archaeological a direct function of wavelength, which, in turn, is
5.7 An Abandoned Nineteenth-Century Cherokee Cemetery, Park Hill, Oklahoma. . . 135
a function of the velocity of radar wave in a Table 5.4 Typical values of radar parameters of com-
material. Velocity relies on the value of electrical mon materials
permittivity or more termed, the dielectric “con- Material ε σ (mS m1) v (m ns1) χ
stant” (coefficient), ε. With EM techniques, it Air 1 0 0.30 0
governs attenuation in both cases where induc- Ice 3–4 0.01 0.16 0.01
tion currents extract energy from the radar pulse. Freshwater 80 0.5 0.033 0.1
The conductivity of materials generally follows Saltwater 80 3,000 0.01 1,000
Dry sand 3–5 0.01 0.15 0.01
an increase in the dielectric constant, but this is
Wet sand 20–30 0.01–1 0.06 0.03–0.3
not so direct a relation as to have seeming
Shales and 5–20 1–1,000 0.08 1–100
contradictions where fresh- and seawater share clays
the same value (ε ¼ 80) yet have extreme Silts 5–30 1–100 0.07 1–100
differences in conductivity (σ ¼ 0.5 vs 3,000). Limestone 4–8 0.5–2.0 0.12 0.4–1
This contradiction is better understood when the Granite 4–6 0.01–1 0.13 0.01–1
electrolytic properties—ionic vs nonionic—are (Dry) salt 5–6 0.01–1 0.13 0.01–1
considered. Permittivity is a direct reflection of
the molecule’s ability to polarize. The typical R, the reflection coefficient, is related to the
values of ε, σ, and velocity (v) as well as attenu- soil permittivity, ε, of the upper media, ε1, and
ation factors are shown in Table 5.4. the lower media, ε2, by
The wavelength and velocity are given by the
R ¼ ε1 ð1=2Þ ðε2 Þ1=2 =½ðε1 Þ1=2 þ ðε2 Þ1=2
following:
This equation can be used to determine the
pffiffiffiffiffi
υ ¼ 1= pμε
ffiffiffi pffiffiffi
strength of reflections at interfaces of materials
λ ¼ υ=f ε and v ¼ c= ε of different lithology or composition.
λ¼υ=f An easy way to increase penetration and sig-
nal return is to increase power on the outgoing
c is the velocity of light in free space (0.30 m ns1), pulse. Increasing power (or gain) of the radar
υ is the velocity of the EM wave in the medium, f is pulse can create other problems such as loss of
the frequency, ε is the dielectric constant (permit- detail in the upper areas of the trace of profile and
tivity), and μ is relative magnetic permeability refraction multiples from objects and secondary
which in most materials (except metals) is close images such as hyperbolae and extraneous noise
to l. Most calculations assume it to be unity. Veloc- in the record. Many digital GPR units as well as
ity and wavelength change with material giving post-processing softwares allow the operator to
radar its ability to image the subsurface. For exam- enhance gain losses in a GPR pulse somewhat
ple, in air, a 100 MHz pulse wavelength is 3 m; in selectively. The GPR trace is radar waveform
rock with a velocity reduced to 0.1 m ns1, it is that is perturbed as it penetrates through subsur-
only 10 cm. In wet clay this will drop to about face materials such that the returning waveform’s
1–2 cm. As we have said, resolution is a function shape provides us information about the earth’s
of wavelength so features, in rock, can be resolved shallow near surface (Fig. 5.7).
to 10 cm but no smaller as that dimension is inside A GPR profile display (Fig. 5.8) is simply a
the wavelength and thus subject to refraction and series of traces, in series, taken over a traverse of
blurring. In this the radar wave mimics other EM some fixed distance using a set timing interval.
waves. Another general rule for GPR resolution is The height of the GPR profile is a set time inter-
that the size of the object should be not less than val in nanoseconds. Typically, one estimates the
one-tenth of its depth (Milsom and Eriksen 2011). average velocity for the soil at the site to be
As a result a 10 cm object cannot easily be detected surveyed and this is used to set the time “window”
at over 1 m unless the reflection, in terms of signal or interval. Dry sand’s velocity is 0.15 m ns1
return, is exceptionally good, e.g., a good dielec- so a 100 ns (tt) window represents about 9.5 m
tric contrast and low attenuation. depth. Before presetting an unrealistic depth for
136 5 Geophysical Techniques for Archaeology
Fig. 5.8 A profile view of radar data. The image is of a of an actual archaeological site on the island of Santa
Chumash pit dwelling, roughly 2 m in width, as illustrated Cruz, California, USA, where the author conducted
in the artist conception adjacent. This is an idealized view research on the late twentieth century
e s
mho/m
0
1 0.00000
5 0.00100
10 0.00100
15 0.00100
depth 25 0.00100
(m)
40 0.00100
81 0.00010
2.5
0 range (m) 5.0
mho/m
0
81 0.00010
40 0.00100
25 0.00100
15 0.00100
depth
10 0.00100
(m)
5 0.00100
1 0.00000
2.5
0 range (m) 5.0
Fig. 5.9 The effects of refraction on the radar wave as the dielectric increases (upper) or decreases with depth
(lower) (Adapted from Goodman 1994, Fig. 5.6)
the particular antenna type/frequency, one can depth. Here, σ is the conductivity emphasizing,
estimate the realistic depth of attenuation called again, its important role in attenuation of the GPR
the skin depth by the empirical rule, 35/σ ¼ skin signal (Fig. 5.9).
5.7 An Abandoned Nineteenth-Century Cherokee Cemetery, Park Hill, Oklahoma. . . 137
5.7.2 Field Survey Methods direction, a GPR must be rapidly recalibrated for
comparable data across the complete grid. This is
GPR, in seismic parlance, is a “zero or fixed routine and requires little in the way of resetting
offset” profiling technique, “zero” because in of instrumental parameters. Generally the surface
some antennae, using the so-called bow-tie zero set and gains are all that require adjustment.
dipole, the transmitter and receiver are in the Once a routine is established, and environmental
same antenna. conditions allow, survey progress can be steady
Two antennae may be coupled, in bipolar or and consistent. One GPR survey conducted in the
bistatic configuration, such that one is the trans- later 1990s by a University of Georgia team
mitter and other the receiver yielding a small covered over eight linear km of traverses in a
(1–2 m) fixed offset. These offsets are trivial 5-day period. This time would be significantly
compared to those used in seismic reflection or less today—1 day of less—using multichannel/
refraction survey where offsets can be in antennae arrays.
hundreds of meters across a geophone array. A basic grid area is 100 100 m surveyed
The antenna is either carried, stepped, or pulled using a single frequency antenna on a 1 m offset
across the ground along the preset traverse. In interval (Fig. 5.10). A factor that has led to
some cases where exceptional S/N is required, GPR’s rapid acceptance in archaeology is the
the antenna may be “stepped” along the survey immediate return on survey effort. GPR is a
line at preset intervals. This allows “stacking” of “WYSIWYG” technique—what you see is what
the data to be done at each station, along the you get. The GPR record is a digital facsimile of
traverse, thus increasing the S/N. Most field sur- the subsurface immediately below the antenna
vey requires a minimum of two personnel—one along the direction of the traverse shown
the control unit operator and the other in charge on-screen and most often recorded as a file.
of the antenna (“the mule”). Such records are seen in Fig. 5.10. For more
Grid size is important, particularly today, with detailed analyses, these files are evaluated with
varieties of spatial profile and three-dimensional the aforementioned post-processing routines
plots available on computer programs. Unless back in the lab.
specific parameters are maintained, the applica- The linear feature along the left axis of both
tion of this data processing tools is obviated. One plots is interpreted as a water channel or aque-
meter offset, for transverses, have become a duct serving the site (Garrison et al. 2013, 2014).
default interval for most archaeological GPR
surveys. Adjacent traverse lines have a good
probability of crossing features at or near this 5.7.3 Digital Post-Processing
size within the grid. Halving the interval doubles of GPR Data
survey time, but almost all features at or above
this size will be detected. The depth of survey is As illustrated in Fig. 5.11, much of the enhanced
preset as we have discussed. If the site is shallow, interpretability of GPR records have come
1–2 m, in overall thickness, then it is important to through the use of digital processing similar to
set the time window to be below this, say that developed for acoustical seismic methods.
2.5–3.0 m range in ns. For dry sand, this is roughly Once the GPR data is logged in this format, it can
130–200 ns, for a velocity of 0.15 ns m1. This is be readily manipulated to remove background
not an impractical setting for antennae frequencies noise and enhance gain in weak returns by
of 100–500 MHz. reverse time-varying gain amplification, together
Orthogonal grid directions can be surveyed. If with the use of other filters—FIR (finite impulse
time permits, it should be attempted. Linear response)—as well as those to compensate for
features, which the antenna may just parallel on spherical effects in propagation. Advanced
a traverse, can be bisected by a crossing pattern seismic-style algorithms such as “boxcar filter-
survey. At the start of each traverse, no matter the ing” and “Kriging” together with Fourier
138 5 Geophysical Techniques for Archaeology
Fig. 5.10 A typical survey grid and GPR units; fore- antenna, on a survey cart. Tapes indicate transect lines
ground, a control unit and antenna using a survey wheel; (Photograph by the author)
background, another control unit mounted, along with an
Fig. 5.11 Examples of post-processed radar data. Both depth at almost a meter, while the plot on the right
represent a 2004 radar survey of a Roman villa site in highlights architectural details of the villa’s principal
western Switzerland. The plot on the left shows the burial building, the pars urbana
5.7 An Abandoned Nineteenth-Century Cherokee Cemetery, Park Hill, Oklahoma. . . 139
transform of frequency to time series are localized archaeological features such as tombs
available which, in turn, prepares the data or burials may require the use of more than one
for deconvolution—which removes peg-leg geophysical technique to adequately relocate
hyperbolae and multiple reflections from the them in many instances.
record. Migration, a common seismic technique,
can be applied to profiles that are adjacent and
are closely enough spaced (Meats 1996). The 5.7.5 Underwater Geophysical Survey
reader is directed to Goodman and Conyers Techniques in Archaeology
(1997, 2013) for a good introductory review,
while the advanced student is directed to their The use of geophysical techniques in underwater
bibliography and journals such as Geophysics, archaeology began in the 1960s (Tite 1972;
Applied Geophysics, Journal of Archaeological Aitken 1974). These rapidly moved to assemble
Science, Archaeometry, Environmental and multiple sensor arrays as these became feasible
Engineering Geophysics, and more recently, over the subsequent decades. Today, in geophys-
Archaeological Prospection. ical surveys of shipwrecks and landforms, these
A useful iteration of GPR data is the so-called ensembles typically include (1) a towed marine
time slice technique (cf. Goodman and Conyers magnetometer, (2) a 100–500 MHz side-scan
1997, 2013). This processing method combines sonar, and (3) an acoustic “sub-bottom” profiler,
data from an adjacent profile at fixed intervals of more commonly of a CHIRP, swept-frequency
time such as 30 ns, 45 ns, 60 ns, etc. Using a type. In some instances, a towed pulsed EM
protocol similar in form to GIS methodology system is used in place of or in conjunction
where sequential overlays or “slices” are built with the magnetometer. Survey tracks are
up gives the viewer an overhead view through pre-plotted and tracked using high-precision
the site as visualized in the GPR data line-of-sight radar transponder systems or more
(cf. Figs. 9.7 and 9.10). and more frequently with reference to GPS. Posi-
tional accuracy in dynamic survey mode regu-
larly approach 3–5 m in accuracy. Anomalies,
5.7.4 Multiple Geophysical acoustic, magnetic, and electrical, are logged
Techniques along-track to strip charts and digital files. The
multiple data sets can be post-processed and
Hesse (1999) has written succinctly about reconciled just as those done terrestrially.
the combined use of multiple geophysical Two techniques that are unique to underwater
prospection techniques (“sensors”) for archaeol- survey are acoustic in nature. Deep seismic stud-
ogy. Another excellent example is that of the ies of the offshore for minerals have always been
geophysical study of Roman Grand, in the acoustic. Their detail, or resolution, of the sea-
Lorraine region of France, presented in a theme floor and near sub-seafloor was too large scale for
issue of Les Dossiers Archeologie (1991). The archaeological purposes. The late Harold
point Hesse makes is that the efficacies and short- Edgerton, of the Massachusetts Institute of Tech-
coming of individual geophysical techniques nology (MIT), developed a viable acoustical
may to a large degree offset one another in the seismic profiler by directing a beam of a piezo-
latter case and enhance interpretability of electric transducer of an appropriate frequency,
anomalies in that of the former. Multiple sensor 2–7 kHz, straight down to allow the beam to
studies are to be attempted wherever possible. profile the upper sediments of sea bottom. With
Cost and availability are prime considerations. sound velocities in water, ca. 1,500 m s1, a
The scale of the study is a key factor. Deploying 3.5–5 kHz transducer produces a waveform in
expensive multiple sensor on relatively small lengths of 30–50 cm. Such wavelengths can reg-
sites may be a case of instrumental “overkill.” ularly detect objects of archaeological interest
In seeming contradiction, important, very much like GPR does on land.
140 5 Geophysical Techniques for Archaeology
The waves are pulsed or pinged by the trans- on the continental shelf of North America will
ducer(s) activated by an applied voltage across archaeological sites dating from the Archaic
condensers. Acoustical impedance differences Period (8,000–3,000 B.P.) occur and be pre-
caused by the relative compactedness or served?” (Stright 1986a, b, 1990, 1995a, b). Her
looseness of the materials appear as returning comparative analysis of published relative
signals or reflections of differing gray scale— sea-level curves for North America indicated
dark for hard and light for unconsolidated that Archaic Period archaeological sites may
materials. The water is transparent to the sound exist as deep as 22 m below present mean sea
waves so the soil/water interface is easily seen. level in portions of the northern Gulf of Mexico.
The returning waves, although weakened, are This early effort at submerged archaeological
collected by the transducer and amplified for site discovery relied on a research strategy
graphical display on screen or recorder. Measur- based on actualistic and archaeological
ing the signal (reflector) and travel time (l ms analogues (Pearson et al. 1982) together with a
~2.7 m at 1,500 ms1), the depth and thickness of series of technological approaches that have
a sediment reflector can be measured accurately. since become standard in this field of study—
Like GPR the waves tend to refract and reflect sub-bottom profiling, side-scan sonar, sediment
more than once between the sea or lake floor and coring, etc.
the surface generating multiple reflections. These The study area was the now-filled and
are easily detected in the acoustical record. Indi- submerged stream valley of the Sabine River
vidual features—rocks and buried archaeological offshore of Louisiana and Texas (Fig. 5.12).
objects—appear as diffraction hyperbolae. If the The research involved the collection and synthe-
object is metal, its character can be rapidly noted sis of a large amount of high-resolution seismic
by use of other techniques, magnetic or EM. data and core records in order to reconstruct
Edgerton (1986) went on to quickly design the the prehistoric, subaerial landscape of the
side-scan sonar after the “sub-bottom” profiler in region. Models of prehistoric site distributions
the mid-1960s. The initial analogue models have derived from onshore analogues were extended
been supplanted by digital systems, some whose to the offshore landscape to identify the
design traces back to Edgerton. The side-scan now-submerged landforms with a high likelihood
sonar, by immediate reference to the output of containing preserved cultural remains. These
acoustical frequencies of 100–500 kHz, as are presages, by over two decades, are the so-called
commonly used in archaeological prospection, Danish model popular in the literature of prehis-
does not attempt to penetrate the sub-seafloor. toric underwater archaeology today (Benjamin
Rather, the purpose is to produce a horizontal 2010). Early Holocene climate change, reflected
terrain map on both sides of towed body mount- principally in sea-level change, was incorporated
ing parallel transducers depressed downward at into the predictive model of site distribution
angles of 3–10 . and preserved landform occurrence in the off-
shore area of interest. More than 70 vibracores
were used to collect sediment samples from
5.8 The Sabine River Paleovalley, several geophysically identified high-probability
Northern Gulf of Mexico, USA landforms (Fig. 5.13). Analyses indicated the
existence at least one location of cultural deposits
In 1984, over a quarter of a century ago, Charles dating to ca. 8,800 BP. Subsequent research in
Pearson, Sherwood Gagliano, Richard the region has employed a similar strategy in the
Weinstein, and David Kelley undertook a study search for submerged prehistoric deposits.
designed to locate submerged prehistoric archae- The Archaic Period can be called an “American
ological deposits on the continental shelf of the Mesolithic Period” because of the extensive
Gulf of Mexico. This research was predicated on similarities between the cultures of both Eurasia
the question, raised by Melanie Stright: “Where and the Americas. Hunting-collecting economies
5.9 Doggerland: Mesolithic Landscapes of the Southern North Sea 141
Fig. 5.12 Study area, in red, for the Sabine River paleovalley study, northern Gulf of Mexico, USA
dominate the post-Holocene. The start of the Kingdom and is confined in latitude between
Mesolithic, in the Early Holocene, is generally 55 and 51 north. The Southern Sector covers
regarded as synonymous with two major techno- 6250 km2 (approximately 1 %) of the total area
logical developments. The first is the development of the North Sea (Fitch et al. 2007). To examine
of small armaments such as the bow and arrow as such a large submarine area requires large
opposed to spears and spear throwers of the late geophysical data sets. The utilization of spatially
Paleolithic/Paleo-Indian period. Microlithic tools extensive oil industry data has allowed the
and the stone elements used to tip arrows appear recovery of information pertaining to the
for the first time at this period (Wickham-Jones actual Mesolithic landscape of the North Sea
2005, 2010; Sassaman and Anderson 1996; aka “Doggerland” (Gaffney et al. 2007)
Sassaman 2004; Thompson and Worth 2011). (cf. Figs. 2.6 and 2.7). This information reveals
The late twentieth-century underwater study of the diversity of this landscape and shows that
the prehistoric northern Gulf of Mexico has much much greater consideration of submerged
in common with the early twenty-first-century Mesolithic landscapes is now required of
study of the prehistoric North Sea Region (Fig. archaeologists. Indeed, Caroline Wickham-
5.14). Jones (2005) recognized this situation when she
suggested that “archaeologists of the Mesolithic
should now investigate the potential of the under-
5.9 Doggerland: Mesolithic sea world.”
Landscapes of the Southern The North Sea Palaeolandscapes Project
North Sea (NSPP) has demonstrated that recovery of
archaeological landscape information through
The Southern North Sea (SNS) is a marine basin extensive 3D seismic data is both possible and
that occupies a position between the European desirable. The information derived provides a
countries of Norway, Denmark, Germany, the unique opportunity to explore human activities
Netherlands, Belgium, France, and the United within a spatially extensive prehistoric landscape
142 5 Geophysical Techniques for Archaeology
Fig. 5.13 Acoustical profile and schematic view of sonar Mexico. Sediment vibracore locations (Fig. 9.14) are
images produced by an acoustic sub-bottom profiler of a indicated. This ancient estuary is illustrated its drowning
drowned paleochannel in 15 m water depth in the Gulf of at transgression ca. 6000 BC (Pearson et al. 2008)
and, more fundamentally, suggests that the land- archaeological prospection had been recognized
scape could have contained a significant Meso- (Kraft et al. 1983), this opportunity has not been
lithic population. The geophysical survey data realized until Gaffney et al. began their interdis-
cover more than >22,000 km2 in the Southern ciplinary study.
North Sea alone (Fitch et al. supra), and although The Central and Southern North Sea are
the potential of this data to inform submerged nowhere deeper than 60 m, and the flat-topped
5.9 Doggerland: Mesolithic Landscapes of the Southern North Sea 143
Dogger Bank rises to within 15 m of the surface, from massive blocks of raw data. Subsequent 2D
providing a total relief of 45 m over a distance of and 3D views illustrate river channels, estuaries,
about 500 km east to west. The objective of the beaches, marshes, lagoons, and braided/
NSPP was to analyze the upper part of the seis- overlapping drainage patterns much like the ear-
mic profile and to extract from that record the lier Sabine River paleovalley study. The success
sedimentary facies (“seismic facies”) and topo- of the project depended upon access to massive
graphic changes which indicate past landscape computing power available to the project team
surfaces during the Mesolithic period from through the Hewlett-Packard Visual and Spatial
10,000 to 5000 BP. Geographic information Technology Centre at Birmingham University
systems (GIS) were used to extract time slices (Gaffney et al. 2007).
Petrography for Archaeological Geology
6
Fig. 6.1 Ancient and historic jewelry (Source: National 600 AD; Central Asia. 7 “Bat wing” object—“parietal”?
Geographic Magazine). 1 Pendant of perforated shell Jasper; Mesoamerica. 8 Bead, lapis lazuli, 1000 AD; West
ca.1000 BC; Syria. 2 Seal, shell, 7000–4000 BC; Syria. Asia. 9 Object fashioned from fossilized shell, 1000 AD;
3 Tubular bead, bone, 3000 BC; Syria. 4 Eye pendant, West Asia. 10 Incised disk, shell, 1900 AD; Mauritania. 11
glass, 2000 BC; Egypt. 5 Pendant, glass, at least exterior; Kiffa bead, powdered glass, 1930 AD; Mauritania. 12
600 BC; Punic-Phoenician? 6 Object made of carnelian, Glass art depicting Marilyn Monroe, 2004; USA
Gorge was among the first implements defini- This discussion begins with sedimentary rocks
tively identified as made by hominins (Conroy (Blatt 1982; Flygel 1982; Garrels and Mackensie
and Pontzer 2012: 329–330). These tool forms 1971; Pettijohn et al. 1973; Rapp 2002) (Fig. 6.2).
have been found elsewhere, in earlier deposits As illustrated in Fig. 6.3, the rock cycle
but their forms are in all cases, manufactured. represents the continuum of lithogenesis wherein
Pertinent, in particular to this chapter, is the the formation of one type of stone may entail
“natural history” that includes consideration of the destruction or alteration of another type
the geological formation of rock types and their such as the magma melt of accretionary sediment
sources, e.g., the stone itself. Finally, how these wedges in subduction and a subsequent re-
implements function as historic records will be extrusion as igneous rock types. Lithified
touched upon in the context of our modern shells—micro and macro—form the carbonate
analyses of them. One such example are the structure of limestones and other biogenic rocks
bluestones of Stonehenge. which, in turn, undergo metamorphic alteration
into that ubiquitous art stone, marble. Shales
become slates; sandstones alter to quartzites.
6.2 Major Rock Types
and Archaeology
6.3 Sedimentary Rocks
The three rock types, sedimentary, igneous, and
metamorphic, appear throughout prehistory as the We begin with sedimentary rocks. Sedimentary
materials for simple domestic tools to major rocks are formed by the consolidation of
masonry construction. In this section, most impor- sediments. In the rubric of geology, they are
tant archaeological rocks and minerals will be termed the “soft rocks” although the hardness
discussed with some illustrative examples from of some bioclastic limestones, as we shall see
archaeology as well as a listing of their key petro- later in this chapter, is formidable enough to be
graphic properties that can be used in their identi- used as grinding stone. Of the many sedimentary
fication using optical and instrumental methods. classification systems or schemes, most can be
6.3 Sedimentary Rocks 147
F 25 50 L
Arkose Lithic Feldspathic Litharenite
Arkose Litharenite
tough rocks are less well suited as archaeological source environments than depositional processes
toolstone and are better used as dimension stone. (Williams et al. 1955). In thin section, feldspars
Figure 6.5 illustrates sandstone used for mega- appear brown in PPL, colorless, otherwise (e.g.,
lithic monuments. not pleochroic). In XPL the twinning of the
In thin section, the quartz grains of an arenite feldspars can be observed (Fig. 6.6). The
are closely bound and relief is contingent on “Carlsbad twin” is common in alkali feldspars
orientation (Fig. 6.6). In plane-polarized light but is seen in plagioclase as well. Fine parallel
(PPL), single crystals are rarely euhedral. In twinning (“albite”) is seen in the anorthites and
cross-polarized light (XPL), quartz grains exhibit microcline varieties. Relief is low or negative in
classic undulatory extinction. Interference colors both alkali and sodium/calcium feldspars (oligo-
are low order but bright. clase, anorthite).
6.3.2.1 Silcrete
6.3.2 Arkose or Arkosic Sandstone As chemical sedimentary rocks, silcretes are akin
to calcretes and ferricretes (the former being
General properties: Arkoses are defined by the cemented by calcite and latter by crystallized
abundant presence of feldspar (>25 %). The iron oxides). In South Africa where this rock
feldspar may be either plagioclase or orthoclase. type is common, it forms an indurated duricrust
Arkoses are considered to be more reflective of of silica—cemented sands and gravels—a
150 6 Petrography for Archaeological Geology
Fig. 6.6 Two thin-section views of arenitic sandstones. thin section. The quartz grains show shattering due to
Left, XPL showing undulatory extinction of the quartz sawing. Right, XPL image showing “twinning” of feld-
grains (black grains). Crystals of sparite cement are spar grains (Left image by author, right image courtesy
clearly seen along the edges of holes (blue voids) in the the University of North Carolina-Chapel Hill)
Fig. 6.7 Neolithic Period stelae carved from sandstone, from the megalithic site of Petit-Chasseur, Sion, Valais,
Switzerland (Musée d’histoire du Valais, Sion, photograph by R. Hofer)
Figure 6.8 shows a stone of the latter type—a of their habit of fracture along bedding planes,
“green molasse” siltstone from the Jura had been used from tabular artifacts to roofing
Mountains. material in the past. For structural purposes, even
In grainstones and mudstones, the former shale is too fragile for building proper.
variety is composed of calcite grains cemented Because of the small grain sizes common in
by spar. Mudstone is pretty much as the name these rocks, petrographic microscope techniques
implies—consisting mostly of small silt-sized can do little than to observe small-scale sedimen-
grains. The sediment is not overly compacted tary structure and describe larger-grained
and the grain structure or shapes, in grainstones, siliciclastic inclusions. PPL and XPL properties
are oolitic to peloidal. Bioclasts can occur as such as bifrefringence will show the presence of
well. Mudstone, also known as claystone, is clay minerals and micas, such as chlorite and
most commonly named shale. Shales, because muscovite. In XPL, rotation of the thin section
152 6 Petrography for Archaeological Geology
will often demonstrate extinction. Also in PPL of the specific rock type does require a hand lens
and XPL, the differing optical properties of adja- and, in many cases, recourse to microscopes.
cent laminae will appear as lighter and darker This is due to the different depositional
bands. The authigenic crystals of calcite, dolo- environments in which the rocks originate. If
mite, siderite, etc. will appear highly birefringent the rock was deposited in a marine or lacustrine
as a rule (Fig. 6.8). setting, then the matrix can be calcareous and
clay rich together with significant amounts of
6.3.3.2 Breccias and Conglomerates sand. If the rock is more the result of fluvial
If one considers grain size as a continuum, clasts action, the matrix will reflect this with interstitial
offer clues to the source of the sedimentary silts and clays bound by carbonate cements.
rocks—shales form from micron-sized minerals Their matrices can vary from limonitic, calcare-
and sandstones from millimeter-sized minerals, ous, and siliceous to lithified clay-rich cements.
while breccias and conglomerates are composed Breccias and conglomerates are important rocks,
of the largest clasts. Morphologically, the from an archaeological standpoint, with their use
breccias and conglomerates are differentiated in both artifacts (toolstone) and buildings
on the basis of surface roundedness—the latter (dimension stone) (Lucas and Harris 1962;
are more rounded than the more angular breccias. Mannoni and Mannoni 1984; 159; Winkler
The lack of angularity in conglomerates is con- 1994; Mazeran 1995).
sidered to be the result of fluvial action. Both
terms for these rock types denote their structure 6.3.3.3 Carbonates: Limestones
and not their composition. As one would expect, and Dolomites
their mineralogical makeup can be, and is, quite Of the carbonate or calcareous sedimentary rock,
varied, ranging from carbonate to volcanic in limestones are the most common. This is because
composition. their origins are most frequently in marine
The identification of the breccias and basins. In the ocean, the shells or skeletons of
conglomerates rarely requires more than a hand small animals rain down constantly, forming
lens due to the size of the fragments ranging up to thick layers of carbonate “Globigerina” ooze
pebbles. The identification of the binding matrix (Thomson 1877). These muds lithify into the
6.3 Sedimentary Rocks 153
skeletal limestones. As a rule the limestones, limestones, can result from processes like
skeletal and otherwise, are authigenic in nature micritization but also can result from pressure
that is to say they have formed in place, at that that compacts the pore space between grains.
place of deposition. The lime carbonates or By simply calling the most abundant carbon-
limestones are made up, chiefly, of calcite ate rocks either limestones or dolomites belies
(CaCO3), dolomite (Ca(Mg)CO3), and ankerite their petrographic complexity with diverse
Ca(Mg,Fe,Mn)CO3. textures from clastic to organic accretion.
Rocks that are primarily calcite are termed Optically, it is difficult to differentiate the two,
limestone. Those with dolomite are dolostone or and the dye Alizarin Red S is used to do so much
simply dolomite; and mixtures can be dolomitic the same way sodium cobaltinitrite is used to
limestone. Some limestones have a large propor- distinguish the feldspars. Etching limestones
tion of the calcium carbonate pseudomorph, ara- with weak (10 % by volume) HCl or 2N formic
gonite. In most limestones, particularly those acid is another technique. Calcite is more soluble
exposed to meteoric water, the aragonite than the rhombohedral dolomite which stands out
exsolves and recrystallizes to calcite. Such in relief on either hand sections or uncovered thin
limestones are “old” limestones or compact sections. After extensive etching, only the
limestones. Returning to the allogenic forms of non-carbonate minerals remain such as chert,
limestones, these clastic rocks consist of calcite clay, feldspar, and quartz.
of either terrigenous, organic, or oolitic origin Limestone, as a rule, does not make good
(Williams et al. 1955). Most are of marine origin. toolstone, but as dimension or art stone, these
The fragments are cemented by additional car- rocks found great utility in antiquity. The most
bonate that precipitates into the pore space spectacular use of limestone as dimension stone
between the calcite grains. If the number of sili- is the pyramids. In the Americas, notably Central
cate grains increases, the rock is a calcareous America and southern North America, limestone
sandstone rather than a calcareous limestone or was commonly used for building purposes. The
calcarenite. Some limestones are made up of Maya use of limestone rivaled that of ancient
small (<2 mm) roundish grains that appear to Egypt.
be organic forms or tiny geoids. These rather Abundant as karst, the Yucatan, and areas
unusual grains are ooids that are composed of southward, Mayan cities and infrastructure—
carbonate formed around a detrital silica nucleus. temples, causeways, cisterns, etc.—were built
If these forms are larger than 2 mm, they are using limestone. As stelae, limestone recorded
called pisoids or oncoids. Bioclastic limestones the accomplishments of Mayan rulers from
are made of cemented shell and skeletal Copan to Tikal.
fragments. These clasts can consist of molluscs, Roman stone portraiture used limestone when
brachiopods, corals, forams to algae, and worms. and where marble was not available either physi-
Peloidal limestones resemble ooids but the grains cally or economically. Roman—both western
lack nuclei and are completely micrite. and Byzantine—mosaicists preferred limestone
Micrite or microcrystalline calcite has a diam- for tesserae.
eter of 5 μm or less (Adams et al. 1997). Sparites It was cheap, available, and found in a variety
are calcite grains over 5 μm in size (Fig. 6.6). The of colors from gray/green to yellow. If the lime-
presence of these forms of calcite in limestone stone colors were not acceptable, there was
gives them their respective names—micritic or always paint as the Romans used on
spary limestones. Micritization is the process that reproductions of Greek originals (Abbe 2011).
clastic limestones, particularly bioclastic Even when not used as a colorant on portraiture,
varieties, lose their original texture and form monuments such as Trajan’s Column has clear
fine-grained forms. Micrite is a major cement in evidence of the extensive use of paint and gild-
limestones along with carbonate mud sediments. ing. In historic America, limestone quarries in
Loss of grain texture or clastic inclusions, in the Missouri portion of the Ozark Mountains
154 6 Petrography for Archaeological Geology
produced dimension stone as well as polished hand-operated mills known as rotary querns.
limestone (“white marble”) (Rovey et al. 2010). The tool marks visible on the quarry faces and
on a series of aborted quern extractions recov-
6.3.3.4 Organic or Bioclastic Limestone ered both in the quarry backfill and along the
Components of these rocks are diverse calcare- surface of the road allow reconstruction of the
ous organic materials characterized by (a) overall operational sequence of quern production. This
particle size and shape and (b) internal wall small quarry is beside a road 6 m wide and
structure of the organism. This latter quality is excavated over a length of about 300 m. This
one aspect where the use of XPL has a significant road was a major thoroughfare linking the
role in thin sections—level studies of these Roman cities of Yverdon with Avenches and
limestones (Adams et al. 1984). The age of served to export the querns. The smithy, installed
limestones can be relative to the percentage of on the other side of the road, a stone’s throw from
aragonite if it was there at the formation of the the quarry, included about 750 kg of smithy slag
stone. Over time, it will revert to granular calcite. and about 3,000 metal objects. A wooden con-
In oysters and corals, both calcite and aragonite struction is interpreted as both the house and
appear. The structural shape or form will remain workshop of the blacksmith. It is obvious that
after dissolution or recrystallization of the arago- the smithy repaired and maintained the tools of
nite unlike those forms which only secrete pure the quern maker. There is also evidence that the
calcium carbonate whose shells or skeletons smithy served more than the quarry and made
are lost. other tools for a local clientele. Finally a small
The identification of a pseudomorph of calcite wooden house, built with posts, was set along a
is beyond the hand lens and the microscope space between the road and the quarry. It is
unless it is an electron-based unit. Even then it possible that it served to lodge the quern maker.
is perhaps best to leave the identification to Because of the rock’s hardness and durability,
techniques such as X-ray diffraction or WDS it was an excellent stone for crushing grain to
analysis on an electron microprobe. Fine flour. During excavations along an autoroute in
sediments or micrite clement can fill in the western Switzerland, a millstone quarry, forge,
voids or molds of lost organisms leaving casts. and outbuildings adjacent to a Roman road were
Identification of the organisms and the overall uncovered (Anderson 2003). Petrologically this
porosity of cement is typically done in thin sec- particular stone is marine in origin with an
tion. Most examinations are done in PPL on extremely high density of lenticular shell and
stained specimens. As mentioned, XPL observa- quartz cemented in a micrite matrix (supra)
tion has advantages in examining organic (Fig. 6.9). Besides millstone, the rock was, and
structures. If the bioclasts are intermixed with still is, used for walls, curbing, steps, borders of
sediments, the crossed polars can differentiate windows, etc. In antiquity it served as the base
these mineral grains. Bioclastic limestones are for columns and protective caps or coping on
used for dimension stone (Fig. 6.7). Roman tower tombs at the Chaplix cemetery,
Aventicum.
The main phase of the site of the Roman site of Made up of calcite fragments, these rocks are
Châbles (Canton of Fribourg, Switzerland) dates cemented by micrite or sparite. Sorting of the
to the turn of the first and second centuries AD composite grains is just as with sandstones. The
and comprises a quern quarry, a road, a smith, particles of calcarenites are either organic
and a house (Anderson et al. 1999, Anderson fragments, ooliths, or carbonate rock fragments.
2003). The quarry was exploited for small, Here the grains are predominantly carbonate
6.4 A Roman Quern Production and Smithy Works 155
rather than silica. Nearshore beach deposits and cement. Micritic cement can appear greenish-
dunes materials form into calcarenites. These brown, in PPL, while sparite is colorless. If dolo-
deposits are rapidly cemented into rock by addi- mitization has affected the rock, then rhombs of
tional carbonate chemically precipitated in the this mineral can be seen in PPL or XPL. Recall
pore spaces. Cementation can be rapid forming that our previous discussion on the distinctive
what is termed “beach rock.” In areas of multiple optical properties of the carbonates—high bire-
transgressive-regressive cycles, micritization and fringence, sharp relief, and birefringence—can
dolomitization can both cement these carbonate be used to characterize the limestones.
rocks in submarine and subaerial conditions.
Hand lens examination of calcarenite samples
can lead to misidentification as bioclastic 6.4.2 Aphanitic Limestones
sandstones. In some instances, the difference is
truly one of degree so the difficulty is real General properties: Fine grained, by definition,
(Fig. 6.10). the grains are difficult if not impossible to see
Grain size and texture are the first parameters with the unaided eye or even a hand lens. Color is
easily distinguished in PPL. Porosity varies widely generally white-gray although the presence of
from tightly welded to poorly sorted varieties. In iron or organic carbon can create pink, red, and
XPL, where the calcarenite grains are tightly gray-black varieties. Fracture is chert-like, that
packed and cement over growth has occurred, is, almost conchoidal due to the very fine grain of
both the over growth and clasts will appear dark the stone. Fossils are not uncommon in these
due to a uniform extinction color for grains and rocks. Karstic terranes are often aphanitic
156 6 Petrography for Archaeological Geology
6.4.3 Dolomite and Dolomitic Fig. 6.11 Backscatter electron (BEI) image showing
Limestones dolomite rhombs in thin section. A large rotalliid forami-
nifera (center) is surrounded by dolomite rhombs; large
Ca(Mg)CO3 is a major component of limestone apatite grain appears in the upper, center portion of the
image (SEM image by author)
although of a secondary origin, replacing
preexisting carbonate minerals (Adams
et al. 1984) unless the euhedral, rhomboidal, termed a dolomite. Dolomitization is the replace-
and dolomite can be seen microscopically ment process that limestones undergo. As dolo-
(Fig. 6.11), it can only be distinguished by mitization is not observed in today’s oceans, by
staining, after etching, of the thin sections with the logical extension of the uniformitarianism
Alizarin Red. The presence of dolomite in a principle, it is hard to visualize it as a primary
limestone does not make it a dolomite. If the process in earlier times. Whether a direct chemi-
percentage is less than 10 %, it is limestone; if cal precipitate or diagenetic replacement min-
the percentage is less than 50 %, the rock is eral, dolomites and dolomitic limestones are
dolomitic limestone; and only when 50 % or more resistant and harder than calcitic
more dolomite is present is the rock strictly carbonates. For these properties, these rocks
6.4 A Roman Quern Production and Smithy Works 157
have been regularly used in building throughout forms are found in the chert varieties. The most
antiquity. common of these varieties are flint, jasper, and
Dolomite, as a mineral, is a major component novaculite. In cherts composed in large amounts
of many limestones (Adams et al. 1997). The of fibrous chalcedony, these are called by that
macroscopic appearance of dolomitic limestone name. Cherts are generally some admixture of all
is generally fine grained although not as fine as or some of these forms. “Flint,” in most English-
the aphanitic forms nor as coarse as some of speaking contexts, is the other common name for
calcarenites. In some thin sections, the dolomite chert. In a strict sense, it refers to gray-to-black
preserves the original texture or structure of the cherts composed mostly of chalcedony and/or
calcite protolith. Two key properties distinguish cryptocrystalline quartz (Williams et al. 1955).
dolomite from calcite—the first is the distinctive It occurs in both nodular and bedded forms. One
rhombohedral shape of the single dolomite crys- of the most famous archaeological localities for
tal and the second is its non-uptake of Alizarin flint is that of Grimes Graves, Norfolk, England,
Red stain. The euhedral rhombs of dolomite site of extensive mining activities in the Neo-
scattered through a limestone’s calcitic matrix lithic Period.
are singularly recognizable (Fig. 6.11). Calcite, Much like dolomite, chert, although silica, is
by comparison, is generally anhedral. In closely thought to be a metasome as well being less a
spaced dolomitic-calcitic matrices, the dolomite precipitate than a diagenetic production depos-
rhombs become subhedral or even anhedral, ited in shallow seas. The nature of cherts takes
making the necessity of staining obvious. three forms or “habits”—chalcedony, opaline,
Where dolomite has replaced calcite, the grain and crystalline. Most cherts are either crystalline
shape is calcitic. or chalcedony as opal is less stable over time.
Opaline chert is found, but it is more likely to
find a chert with amorphous opal in a matrix of
6.4.4 Cherts, Gypsum, and Ironstones quartz—fibrous (chalcedony) or crystalline
(chert/flint). Cherts may have abundant
These rock types, taken ensemble, make up only a impurities such as clay minerals, feldspars, dolo-
small fraction of the sedimentary rocks, but, from mite, and, in the case of the radiolarites, abundant
an archaeological point of view, some—notably microfossils. Conchoidal fracture is diagnostic of
chert and gypsum—have an importance beyond almost all chert. This property plus its durability
that of sheer geological abundance. Others like and sharp edges made this rock a favorite with
ironstones have had economic importance in the almost all prehistoric cultures.
industrial past. Because of its use as tools since As a silicate rock, the crypto- to microcrystals
great antiquity, we shall begin our review of these of quartz will demonstrate the optical properties
rocks with chert. Chert is a hard stone, very dura- of that mineral (cf. section on sandstone).
ble yet workable in the hands of artisan. Staining with Alizarin Red identifies any calcite
in the chert. Quartz replaces calcite (metaso-
Chert/Flint Perhaps the most pervasive of all matic) in limestones, and in thin section, this
archaeological lithic materials, these are rocks will be observed as anhedral grains exhibiting
composed of silica rather than carbonate the extinction and birefringence of quartz.
(Leudtke 1992). They form within aqueous Because the cherts are aggregates, the extinction
environments and are found within limestones pattern is “patchy.”
or interbedded with them in section. It can Novaculite is a material used in hone or
occur as either primary or secondary—the first whetstones and is gray-to-white chert that is
by precipitation and the second by the process of crypto- to microcrystalline whose texture is
replacement of a limestone matrix. The silica can almost granular to the touch. The true grain tex-
occur in three forms—amorphous, such as opal; ture can only be observed by a petrographic
cryptocrystalline; and microcrystalline. All these microscope (Fig. 6.12). Novaculite has been
158 6 Petrography for Archaeological Geology
banded nature which reflects its origin in the The most common classification of igneous
waters percolating into solution features such as rocks is that of the International Union of Geo-
caves. Archaeologically it can occur as a finish logical Sciences (IUGS) Subcommission on the
stone because of its beauty, but more recently it Systematics of Igneous Rocks (Streckeisen
has become the object of paleoenvironmental 1979). Beyond, and before, the IUGS classifica-
studies wherein the bands of the rock are equated tion scheme, several others used in the study of
to the “growth rings” of trees. It has been igneous rocks have produced hundreds of names.
demonstrated that speleothems—stalactites and The names used in this text will be those of the
stalagmites—can be dated using techniques such IUGS system. The IUGS classification of plu-
as U-Th, ESR, and radiocarbon. Coupled with tonic or intrusive igneous rocks is less debated
examination of stable isotopic ratios in the growth than that for volcanic or extrusive igneous rocks
bands, it is possible to retrodict past climatic due to the fine-grained character of these rocks.
conditions (Hendy 1971; Shopov et al. 1994; The color index—light to dark—is commonly
Brook et al. 1996). In the situation of cave sites, used along with mineralogy and texture in
the presence of flowstone coating prehistoric describing igneous rock. In our discussion of
artifacts, skeletal remains, or art can reassure igneous rocks, we emphasize their modal miner-
researchers of their veracity and relative antiquity. alogic classification rather than their chemistry.
Examples of this are found at Petralona Cave The texture of igneous rocks ranges from
(Greece) and Cosquer and Chauvet Caves in coarse to fine grained or pegmatitic/phaneritic
France. At Petralona Cave, a skull of an archaic to porphyritic/aphanitic (Andrews et al. 1997a,
Homo sapiens was encrusted with travertine b). Texture refers to the size and shape of indi-
which attested to its age geologically and geochro- vidual mineral grains. Phaneritic texture is visi-
nologically (Schwartz et al. 1980; de Boris and ble to the unaided eye, while aphanitic texture is
Melentis 1991). At Cosquer and Chauvet, particu- not. The texture of an igneous rock is an indica-
larly at the former locations, the spectacular tion of the cooling rate of the parent magma.
ancient cave art has calcite encrustations over Large-grained or very coarse (pegmatitic) igne-
some paintings and engravings (Clottes and ous textures are found in the plutonic rocks,
Courtin 1996; Clottes 2001). while finer-grained textures are found in volcanic
rock. Obsidian is the finest “grained” of all igne-
ous rocks being in actuality a volcanic glass. In
the field, an archaeological geologist can usually
6.5 Igneous Rocks only evaluate color and texture if the grains are
phaneritic and estimate the mineralogy of an
Igneous rocks are formed by the solidification of igneous rock sample. The latter property, in its
molten magma or rock that has been melted in most generalized form, grades igneous rock min-
the upper mantle. This rock has been eralogy from felsic (feldspar-silica rich) to mafic
incorporated into the mantle from various (ferromagnesian rich) (Table 5.2).
sources, but in general they are the stuff of Igneous rocks are found in almost all areas
crustal rock which has been subducted at plate and are either intrusive, plutonic forms or the
margins after crustal plate collisions. As such, more localized, extrusive volcanic varieties. In
the rock to be melted can be sedimentary, meta- the former, we see more metamorphic rocks
morphic, or igneous in nature. The type of rock associated with the intrusive geology. Sedimen-
melted determines the nature of the chemical tary facies can blanket more ancient igneous
components of the magma. Igneous rocks are structures, or the igneous rocks can force their
mainly composed of the eight rock-forming way up through layers of older rock. Either pro-
minerals—quartz, plagioclase feldspar, K-spar cess results in the presence of igneous rock that
or orthoclase, muscovite mica, biotite mica, was recognized in antiquity for its durability and
amphibole, pyroxene, and olivine. utility, hence its presence in archaeological
160 6 Petrography for Archaeological Geology
deposits. In the case of obsidian, this volcanic petrological usage, this book will attempt to use
glass became one of the earliest economic rocks. the terms more familiar to the American student,
At Franchthi Cave, Greece, on the Argolid recognizing the equal status of the more interna-
coast, obsidian is present in low percentages tional terminology.
(~5 %) in Mesolithic levels increasingly through
the Neolithic to 95 % of the lithic archaeological
assemblage (Cherry 1988). This obsidian has
unique provenance. It was quarried on the island 6.5.1 Granite
of Melos 150 km distant meaning that sea-going
watercraft, in the Aegean, has great antiquity. At General properties: Granites are intrusive,
the Anatolian site of Catal Hüyük, which phaneritic rocks with a low or leucocratic color
flourished between 7500 and 6500 BC, obsidian index consisting of mainly quartz, feldspars, and
was a prominent trade mineral being mined in the micas. Of the feldspars, potassium feldspar is the
volcanic flows of the Konya region (Cunliffe most prevalent form. The granites are therefore
1988). The quantitative characterization relies classified as felsic. This ferromagnesian rock is
on many of the optical techniques already typically made up of suites of minerals such as
described in this chapter. To the archaeological biotite (mica), hornblende (amphibole), and
geologist examining igneous rocks, the questions augite (pyroxene). Granite has been a principal
are mainly of archaeological provenance—eco- building stone through antiquity. The Egyptians
nomic, cultural, cosmological, etc.—rather than used Aswan granites in the Giza pyramids for
geological provenance, e.g., magmatic type, tem- lining material of passages, for chambers, and
perature, etc. The composition of the rock will for doorframes (Lucas and Harris 1962). In con-
assist the researcher in determining the cultural trast to the Egyptians, granite was little used by
history of the material. the Classical Greeks (Higgins and Higgins 1996).
To do this, the investigator must determine the Where granite makes up the cores of Greek
mode (mineralogic content), texture, and color. islands, weathering of this rock results in fertile
The latter parameter, formalized originally by soils (Melas 1985).
Johanssen (1938), into the color index, is based Quartz appears featureless in PPL as a
on the percentages of light and dark minerals general rule. The feldspars will vary in the
present. When and where possible, the character- property of twinning ranging from microcline’s
ization should proceed to optical studies and, cross-hatched variety to simple twin patterns
where necessary, instrumental examination. in potassium feldspar. Plagioclase shows albite
Many of the following descriptions are based twinning. Accessory minerals such as the
on the excellent Atlas of Igneous Rocks and micas are recognized by their interference
Their Textures (Mackensie et al. 1982). Where colors in XPL and their pleochroism in PPL
terminology differs from that of American (Table 6.2).
Fig. 6.14 Bluestone rhyolite quarries, Fishguard Volcanic Group at Pont Saeson, North Pembrokeshire (Map modified
from Fig. 1, Bevins et al. 2011)
microcrystalline to glassy ground mass will be antiquity only rarely for building stone because
brown to gray in PPL and quite dark in XPL. The of the friable nature of the rock matrix. It was
phenocrysts of potassium feldspar will show lit- not uncommon to see this material used in
tle twinning, while those of plagioclase will dem- smaller artifacts such as polished implements
onstrate abundant twins. The quartz phenocrysts and items such as cups, bowls, plates, and
will be of a higher relief than the groundmass but ceremonial items such as mace heads. Egyptian
appear clear to colorless in PPL and gray in XPL culture of prehistory used both diorite and gabbro
with some extinction (Fig. 6.15). in all these categories (Caton-Thompson and
Gardner 1934).
In the olivine gabbros, augite and plagioclase
6.5.6 Gabbro/Diabase enclose equant and round olivines (Mackensie
et al. 1982). Plagioclase generally occurs in
General properties: An intrusive, mafic igneous laths, particularly in intergranular forms although
rock seen in the dikes of ophiolites. A fine- the laths are not aligned or oriented as in trachytic
grained gabbro often found in ophiolites dikes gabbros where this is seen. The optical properties
and sills is given the name “diabase” by of the dominant plagioclase, augite, and olivine
European workers. In the section, the gabbroic are colorful under XPL. Diabases in thin section
layers lie between upper pillow lava basalts and vary from olivine to pyroxene-rich plates and laths
the lower mantle rock. Varieties range from of these minerals as well as ilmenite and magne-
olivine-rich gabbros to plagioclase-rich varieties. tite. Calcite is often seen with its bright colors in
Gabbro contains no quartz, by definition. These XPL. Diabases show wide textural variation, even
rocks are coarse grained (phaneritic) and are in thin sections, and some are notably porphyritic
generally dark. The gabbros were used in (Williams et al. 1955).
164 6 Petrography for Archaeological Geology
6.5.7 Tuff
scales are long in most instances ranging from low-grade metamorphic rock. Texture refers to a
thousands to millions of years. metamorphic rock’s fabric orientation and direc-
Metamorphic rocks are described by texture tion or the lack of it, e.g., foliated versus
and mineralogy. These rocks can have igneous, non-foliated. The bulk of metamorphic rocks dem-
sedimentary, or metamorphic origins and as such onstrate some form of foliated texture (Fig. 6.16).
retain much of the character of the original lithol-
ogy while being the changed species that they are.
Some of the most archaeologically important 6.6.1 Metamorphic Rocks: Foliated
metamorphic rocks are marble, quartzite, and
soapstone. Upon finding such rocks away from Slate: a very planar, parallel foliation.
an orogenic zone, such as on a coastal plain with Phyllite: Foliation of fine-grained sheetlike
nothing but sedimentary facies for hundreds of minerals such as muscovite and biotite.
kilometers, an archaeologist must seek cultural Phyllites are known for a glossy luster called
(trade, exchange, curation) reasons for their pres- “phyllitic sheen.”
ence in these sites. Metamorphic rocks are classi- Schist: Fine-to-coarse-grained platy minerals
fied according to their mineralogy, texture, facies, are aligned in parallel to subparallel fabric
or grade. In terms of their mineralogy, V. M. which is obvious to the eye. Like phyllite,
Goldschmidt, in 1912, correctly observed that such a rock is said to have “schistosity.”
most metamorphic rocks contain only a few— Schists fracture along the foliations. The vari-
four to five—major minerals (Philpotts 1989). ety of minerals in schists is diverse, e.g., chlo-
The mineral assemblage, in a metamorphic rock, rite, tourmaline, muscovite, biotite, garnet,
helps the petrologist to interpret its thermody- hornblende, staurolite, kyanite, and
namic history. This is less important to the archae- sillimanite.
ological geologist, but the relationship between Gneiss: Gneisses have alternating layers of dif-
metamorphic grade—low, intermediate, and ferent minerals such as quartz and biotite. In
high—and texture is good to know. Grade refers Europe, gneiss refers to coarse-grained, mica-
to temperature and pressure, with a high-grade poor rocks irrespective of fabric (Yardley
metamorphic rock more recrystallized than a et al. 1990).
166 6 Petrography for Archaeological Geology
6.6.3.3 “Marbles” or When Is a Marble Not Tectonic breccia, such as that of Trets-
a Marble? Pourcieux (France), is a truly a metamorphosed
“The stone found in the Brescia quarries (Italy) is a rock. The metamorphism of this calcarenite
sedimentary limestone. It is called a marble shows features such as stylolitic (“tooth edged”)
because it is a hard limestone” (Giuliano Ghirardi hematite crystals and mylonization (Mazeran
quoted in Stone World, 2011). The particular “mar- 1995). The breccias of the French Maritime
ble” referred to by this geologist is the Botticino Alps are not metamorphic and are calcareous
Agglomerate (Fig. 6.19). Another famous “mar- and dolomitic avalanche breccias. The matrix is
ble” is Rojo Alicante marble (Fig. 6.19) that is a calcareous-argillaceous cement rich in hema-
petrographically a biomicritic limestone (Lopez- tite. The metamorphosed Italian breccias
Buendı́a et al. 2010). “Carthage marble” was quar- (“Dorata,” “Giallo Broccatello,” “Rossa”)
ried in the southwestern portion of Missouri (USA) have been studied petrographically with their
from before the 1860s and used extensively for provenance near Sienna (Bruno and Lazzarini
paving and dimension stone (Rovey et al. in 1995). The Breccia Rossa Appenninica, in thin
Hannibal and Evans 2010). It, too, is really a section, shows its marine origin with abundant
hard limestone classified as a “marble” stone. pelagic bivalves, radiolarites, and brachiopods
Four varieties of breccias and conglomerates embedded in a dark-brown micritic cement,
have been identified and characterized relative to hence its name. Breccia Dorata, a favorite
use in Gallo-Roman architecture in southeastern for Roman monuments, has clasts of micro-
France (Mazeran 1995). Within this suite of crystalline calcite, with quartz cemented with
materials was a range typical of the variety calcite. The cement varies from golden-yellow
rightly imputed to “marbles.” The “breccia” of to pink.
Vimines, used in Roman decorative plaques and Figure 6.20 is an excellent example of lime-
columns, has a carbonate cement of a micritic/ stone playing the sculptural role of marble in
microsparite nature. The “Bordeaux Conglomer- antiquity. The sculpture, from relief of a tower
ate,” classified as a “pudding stone,” is held tomb, found at the Germania Superior city of
together by a molassic-glauconitic-cement of Aventicum (modern-day Avenches, Switzerland),
strictly marine origin. It is termed “breccia as reconstructed, is typical of marine-themed
frutticulosa” by Italian archaeologists. In PPL, funerary sculpture. The particular subject in this
the grains of the cement show a characteristic work is Triton abducting a sea nymph or Nereide.
green of glauconite and, in XPL, weak birefrin- Discovered in 1989, during a salvage archaeo-
gence. The cement was rich in calcite that is logical project, the sculpture illustrates the artis-
given to bright, high-order colors. Oxidation of tic usage of high-quality local limestone for
ovoid glauconite grains will produce brown large-scale mortuary architecture (Castella
margins because of their ferrous iron content. 1998).
Fig. 6.20 Limestone used for sculptural relief of a Roman Triton abducting a sea nymph or Nereide. Roman Museum
tower tomb, Aventicum, Germania Superior (modern-day of Avenches (Photograph by the author)
Switzerland). The subject is that of Greek mythology,
6.6.3.4 Serpentinite and Steatite 1984). These rocks are serpentines with veins of
Serpentinite is a low-grade metamorphic rock carbonates.
originating from recrystallization of mafic Steatite or soapstone is a general term used to
minerals such as olivine and pyroxene (Williams describe metamorphic rocks that are composed
et al. 1955). primarily of talc, hydrous magnesium silicate,
but which may contain varying quantities of
Peridodite þ H2 O ! SerpentineðAntigoriteÞ other minerals, carbonate, amphibole, magnetite,
þ magnetiteðFe3 O4 Þ þ H2 and chlorite. Steatite deposits form as a result of
regional or contact metamorphism due to the
Olivine, in hydrothermal fluids, reacts to form metasomatic alteration of an original parent
serpentine at low temperatures, in the near sur- body. These parent bodies are normally
face (Yardley 1989). Some European texts ultrabasics, such as serpentinites, peridotites,
(Monttana et al. 1977) as well as most early dunites, and pyroxenites, or in some rarer cases,
archaeological workers have had difficulty the original deposit may be a carbonate sedimen-
differentiating serpentine, the ultramafic mineral, tary rock. In any provenancing study, it is impor-
from the metamorphic rock, serpentinite. Indeed, tant to recognize the nature and extent of
the terms serpentine and serpentinite appear utilization of the artifacts derived from the raw
interchangeably for the description of the meta- material of interest (Bray 1994).
morphic rock. Brecciated rock such as the Steatite, in the United States and Canada, is a
ophicarbonates of Northern Greece (Thessaly) talc or “olivine-talc-carbonate rock,” such as
produced from peridotites, mistaken or miss- actinolite, low in serpentinite and the accessory
named as “marbles,” gives interesting textural talc which grades into high talc (~10 %) ultra-
and color patterns (Mannoni and Mannoni mafic metamorphic rock. Steatite is also known
170 6 Petrography for Archaeological Geology
as “soapstone” in the New World. It is also called are completely recrystallized with no trace of
“potstone” in the Old. The latter term reflects its relic grains. These are quickly differentiated
use in Stone Age cultures as a vessel material. In from the dark serpentine, in XPL, due to their
eastern prehistoric North America, soapstone/ relief, birefringence colors, and other optical
steatite vessels appear from the Late Archaic properties (Fig. 6.19). The talc, in steatite, will
Period to the Early Woodland Period cultures be especially birefringent showing bright yellow
(1800 BC–AD) of the Appalachian Mountains and other colors reminiscent of muscovite.
(Fig. 6.21) (Wells et al. 2015). In the prehistoric
sites of the Chumash and Gabrielino cultures of
California, soapstone was used in vessel manu- 6.6.4 “Greenstone”
facture. The famous pipestone steatite quarries of
eastern South Dakota were used by American “Greenstone” is defined as any altered basic
Indians to fashion elegant “pipestone” pipes for igneous rock which is green in color due to the
tobacco. In many steatites, chlorite appears as an presence of chlorite, actinolite, or epidote
important accessory mineral. The color of (Parker 1994); this rock is metamorphic and, as
serpentinite and steatite generally runs from a category, is used by archaeologists to describe
dark green to lighter gray-green varieties due, stone artifacts such as axes. The coloration and
in the latter case, to talc and chlorite. texture give the material its name rather than a
The serpentine crystals of serpentinite and strict reading of its mineralogical makeup. Actin-
steatite are generally replacement of preexisting olite schists have both the desired color—green
olivines and pyroxenes and the fabric may reflect to almost black—and the hardness that a tool or
this in PPL. The texture is lamellar in most cases implement must have. The rock polishes into
with crystals of pyrite, magnetite, and regrown what is termed “ground stone.” It is its hardness
olivine sometimes present. Some serpentinites and toughness which make this material so
6.6 Metamorphic Rocks 171
attractive to human groups and dominate the way western Switzerland’s perforated “battle axes” is
it is worked. While it takes a moderately good clearly metamorphic, and in most cases, the
edge, it withstands shock well and so can be used material is either a schist—specifically a schist
for artifacts which might shatter during use. In rich in actinolite, chlorite, and/or epidote—or a
the late Neolithic Europe, Switzerland, and serpentinite. The texture of the former is rough or
neighboring lands—Austria, France, etc.—both raw rock is schistose where, in the finished arti-
solid and shaft-hole axes are quite common fact, the polished stone is dominated by the color
(Desor 1873; Petrequin et al. 2005). of the actinolite and limonite grains. In thin sec-
These axes are made from a variety of “green- tion the amphibole actinolite appears green,
stone” or “roche verte” (Ramseyer 1992; while the quartz and feldspar are granoblastic
Petrequin et al. 2005). The shaft-hole axes are with attendant optical properties of these
also known as “battle axes” or “hammer axes” minerals. Actinolite grains will show a pro-
(Briard 1979; Champion et al. 1984). Also termed nounced pleochroism. In XPL, the epidote will
“jadeite,” which produces some confusion as jade- show bright birefringence colors. As we have
ite, per se, it is mineralogically a pyroxene. What previously said, serpentinite—a greenchist facies
we can say is the axes are uniformly made of a rock as well—is fine grained with low birefrin-
green “rock”—light to dark—that takes a good gence. In PPL jadeite crystals demonstrate a high
polish. Swiss geologists identify polished stone relief and they typically appear as platy and
materials ranging from serpentine and quartzite interlocked. Under XPL, the jadeite grains show
to diorite (Winiger 1981). Seen in western a low birefringence.
Switzerland and elsewhere in the Alps is a suite
of metamorphosed oceanic/pelagic sediments 6.6.4.1 Slate
within which occur the serpentinized peridotites A common regional metamorphic rock of pelitic
(Hsu 1994). During subsequent glaciations of the or pelitic-arenaceous origin, slate’s most
Pleistocene, the ophiolitic rocks were deposited recognized precursor, is shale. It is fine grained
along the morainic margins of the Rhône Glacier and demonstrates a planar fabric that gives rise to
and readily available for the Neolithic artisans. the definition of slaty foliation. The slates are
Elsewhere, ophiolites occur along other sub- uniformly gray to black, and the principal
duction zones such as that of the Aegean basin. components of the fine-grained ground mass are
An example is the use of metamorphic rock, in chlorite, muscovite, quartz, and hematite
particular jade, in which, as we have seen, either (Yardley 1989). Other minerals are andalusite
jadeite or nephrite, is the dominant mineral and cordierite which can form elongated crystals
(Higgins and Higgins 1996). On the Cycladic (porphyroblasts) as do tourmaline, rutile, and
island of Syros, serpentinite and jadeite rocks pyrites (Williams et al. 1955). Graphite
occur in quantity and were used for axe manu- represents the lowest grade of metamorphism.
facture. “Greenstone” (nephrite and bowenite) This rock is found throughout antiquity with its
was a major resource for the human occupants usage as palettes in Egypt, for flooring and roof-
of New Zealand prior to contact with Europeans. ing, and in its most ancient archaeological
The sources for this material are found in a num- appearance as a slate “tablet” for Paleolithic
ber of locations within the South Island. etchings of mammoths and figures at
Given the disparity in the identification of Gönnersdorf (Bosinski 1992).
archaeological “greenstone,” it is likely that the In thin section, the fine-grained layering of the
choice of specific material was simply made to fit parent facies is often preserved in the ground-
local lithic resources and we, as archaeological mass. XPL illuminates the micaceous minerals
geologists, apply our specificity to the individual present with high birefringent colors.
case. As such the general and optical properties Porphyroblasts will demonstrate the appropriate
of the rock will follow that of the specific miner- optical properties for the specific mineral: in
alogy involved. For instance, the “roche verte” of reflected light pyrites appear yellowish-white in
172 6 Petrography for Archaeological Geology
PPL; rutile with red-brown pleochroic colors in Georgia, roughly 3 1 m in size. It is covered
XPL; and chlorite with high relief, more brightly with, on its upper portions, concentric circle
colored in PPL but less so in XPL. motif petroglyphs of unknown age. It was first
described by C.C. Jones in 1873 in his Antiquities
of the Southern Indians (Smith 1964). It has been
6.6.4.2 Gneisses and Schists suggested that the stone originally stood upright
The varieties of these rocks are extensive usually in the manner of a menhir with the “upper” end
related to their mineralogy. Grain size is medium (left in the picture) being an effigy. Schists are
to coarse in both types with augen gneisses hav- diverse reflecting their parent and metamorphic
ing a porphyroblastic texture. Most gneisses mineralogy.
appear lineated or banded with alternating Commonly found schists include quartz-
quartz/feldspar and amphibole/biotite. Schists biotite schist, hornblende schist, muscovite
are foliated. Figure 6.22 shows a petroglyphic schist, chlorite schist, and talc schist. Most
granitic gneiss boulder found in Forsyth County, schists form from shales and the classic
can be accomplished with a good hand magnifier. color is that it should be used in concert with other
If one wishes to ascertain a specific type of sedi- criteria to assure confidence in identification.
mentary rock—clastic, carbonate, or evaporate—
then this too is possible for the trained eye. Streak Streak is the color of powdered
Beyond this level of classification becomes minerals. This property is a more reliable indica-
increasingly more difficult. The next level in pet- tor of color than that of the visual color of the
rographic identification requires the optical hand specimen. One can either rub the mineral
microscopes. This can be done with a low-power sample on a porcelain tile or powder the sample
binocular microscope using reflected light or a to obtain the streak. Hematite streaks red; galena,
more powerful, high (optical)-resolution petro- silver-gray; hornblende, green; talc, white; azur-
graphic microscope used to study thin sections of ite, blue; and magnetite, black.
rocks and minerals. Beyond the optical methods
are X-ray, electron, particle beam, and magnetic Luster This is the property that describes how
instrumental techniques, of which X-ray methods the mineral absorbs, reflects, or refracts light.
are the most common (Chap. 8). In this chapter are Broad categories of luster are “metallic” and
presented both hand-specimen and thin-section “nonmetallic.” Pyrite and galena have metallic
examples of rocks and minerals important in luster. Quartz has a “glassy” luster as does oliv-
archaeology. ine; soapstone (steatite) has a “greasy” or “resin-
ous” luster as do many flints.
material—flint—which does not exhibit cleavage the silicate minerals, all of the feldspar groups—
but rather fractures in a distinctive, conchoidal albite to sanidine—form twins. Calcite is distin-
manner. Obsidian, a volcanic rock, does not have guished, by twinning, from its close mineralogic
a crystalline structure and, hence, no cleavage cousin, dolomite.
property. Obsidian does fracture conchoidally. Twinning is observed at the hand specimen
The other common fracture forms are irregular level and seen under the petrographic microscope
and fibrous. An archaeological material that where it is used, in the latter case, to identify
fractures irregularly is basalt as does most minerals in thin sections. Twins result from
quartzite although the latter can exhibit conchoi- errors in crystal growth. These errors result in
dal fracture. characteristic twin forms and follow what are
called “twin laws”—the Spinel law, the Albite
Hardness Hardness is a reliable property of law, the Carlsbad law, etc. Orthoclase twins
minerals that have not been weathered or other- according to the Carlsbad law. Microcline—a
wise altered. Ten minerals have been arranged in potassium feldspar with some sodium—is recog-
a scale known as the Mohs hardness scale. The nizable for its characteristic “crosshatch” or
following list gives the range of hardness relative plaid-like twinning which follows the Albite law.
to some common minerals:
10: diamond—the hardest material; can’t be
scratched 6.7.2 Optical Properties of Minerals
9: corundum—can be scratched with diamond
8: topaz—can be scratched with emerald Minerals, optically, come in two forms—isotro-
7: quartz (also flint, olivine, garnet)—can be pic and anisotropic. The isotropic minerals have
scratched with steel the same optical properties in all directions
6: feldspar and opal—can be scratched with within the crystal structure (recall that one of
quartz the definitions of a mineral is it must have crys-
5: apatite (also hornblende)—can be scratched talline structure—obsidian does not, so it is sim-
with ordinary knife ply a “rock”). Anisotropic minerals vary in their
4: fluorite (also dolomite, many copper ores)— optical properties—ray paths and angles (Perkins
can be scratched with glass 2011). All minerals belong to six crystal systems
3: calcite (also mica, halite)—can be scratched with isotropic minerals comprising one system
with common wire nail or a penny and the other five anisotropic.
2: gypsum—can be scratched with the fingernail Light microscopy and quantitative mineralogy
1: talc—can be crushed between the fingers have been the cornerstones of any study in rocks
and mineral in geoarchaeology. Yual Goren
(2014) points out that several aspects of
Twinning This property is observed in a host of geoarchaeology require the optical microscope as
minerals in several colloquially named forms their primary tool. The instrument of preference is
such as the “fairy cross,” seen in staurolite, and usually the polarizing—or petrographic—micro-
the “fishtail” observed in some gypsum and the scope. The most common usages are, respectively,
“dovetail” in calcite. Other commonly used petrography and micromorphology. While
names for twinned minerals are “albite twins,” borrowed from earth sciences, these two areas
“penetration twins,” “iron cross,” “spinel twins,” have developed a slightly different meaning within
and “star twins.” This short list does not exhaust the archaeological context. While optical
the varieties of twins that are seen across a large microscopes are also used in numerous other
number of common minerals such as calcite, science-based fields of archaeology—such as
feldspar, galena, gypsum, pyrite, quartz, rutile, metallography, archaeobotany, palynology,
spinel, sphene/titanite, stibnite, and wurtzite. Of etc.—their use for micromorphology and
176 6 Petrography for Archaeological Geology
petrography for archaeological purposes has differing velocities. Upon recombination, the
increased over the last few decades. two light paths interfere and create interference
Petrographic thin sections are just that—paper colors. As seen in Fig. 5.16, talc is highly
thin (30 μm) slices of a rock sample that are birefringent. The index of refraction and birefrin-
mounted and polished on glass slides. These gence are consistent optical properties of
slides are then examined using the petrographic minerals used by petrographers. The law of
microscope invented in 1828 by William Nichol refraction, called Snell’s law (see Chap. 7,
(Ford 1918). The use of thin sections was XRD) after its discoverer, in 1621, Willebrord
pioneered by Henry Clifton Sorby in his exami- Snellius, proposed the following familiar form:
nation of Jurassic limestones from Yorkshire,
sin i= sin r ¼ n
England, in 1851 (Adams et al. 1997).
The petrographic microscope is distinguished where i is the angle of incidence for the light
from other types of optical microscopes by its beam and r the angle of refraction as the
reliance on polarized light. Polarized light is light light beam exits the material and n the index
that vibrates in one specific plane. Historically, of refraction or geometric ratio of i and r.
petrographic microscopes use a Nicol prism Values of n fall between 1.4 and 2.0 for most
(so-called for William Nicol) made of calcite to minerals. Typical values are apatite, 1.624–1.667;
produce light that vibrates in only one plane calcite, 1.486–1.740; fluorite, 1.434; gypsum,
(plane-polarized light or PPL). Modern petro- 1.519–1.531; olivine, 1.63–1.88; quartz,
graphic microscopes use an organic film as a 1.544–1.553; and zircon, 1.923–2.015. A few
filter to produce PPL. transparent minerals like diamond (2.418) and
PPL is produced by one polarizing filter rutile (2.605–2.901) exceed the typical range
located below the sample stage. A second, move- for the index of refraction.
able, polarizing filter, with vibration direction set The difference in the highest and lowest
perpendicular to the lower polarizing filter, is indices of refraction in a mineral results in its
located above the sample stage. The light ray birefringence. In petrography, it is termed weak,
emerging from the lower filter vibrates perpen- moderate, strong, very strong, and extreme.
dicular to the upper filter’s vibration direction. Using PPL, alone, it is generally possible for an
With both filters in the light path, we observe the experienced observer, to estimate the refractive
property of extinction. This arrangement is index and make distinctions between different
termed crossed polars or XPL where the lower birefringent minerals.
filter is the polarizer and the upper filter is the Another important aspect of a mineral’s color
analyzer. When a thin section of a mineral or a is pleochroism. This optical property is observed
rock with a variety of minerals is placed between in a few common anisotropic crystalline
the two crossed polars, one can observe various minerals, biotite and hornblende being examples.
intensities and colors because the light is passing Isotropic minerals do not exhibit pleochroism.
through a anisotropic material, such as a carbon- When the petrographic microscope’s stage is
ate, that bends the PPL such that not all the light rotated in PPL, anisotropic minerals will demon-
is extinguished by the upper polar. The resultant strate this property by changing colors. Biotite
light is called birefringence. mica, a common pleochroic mineral, is easily
Birefringence is a diagnostic property of identified by this property coupled with its high
anisotropic minerals—it is not seen in isotropic birefringence. Pleochroism is easily observed at
fluorite, garnet, and spinal or amorphous (glass, the hand specimen level in transparent varieties
man-made, or volcanic) minerals—those of cordierite and spodumene.
materials in which the light ray travels unaffected The final optical property, on grain mounts,
through the material. It is observed in XPL. sometimes mentioned in the identification of
Polarized light, upon entering a crystal, will minerals, that is only observed in thin sections
split (refract) into two components traveling at is relief. Relief, like the properties of
6.7 Techniques: Optical and Otherwise 177
birefringence and dispersion, is directly related Percentage mineral ¼ ðWA=WTÞ 100 ½1
to the refractive index. Relief is basically a sub-
jective and relative characteristic of a mineral This and other methods equated measured
(MacKenzie and Adams 1994). Here the differ- weights or areas to volume equivalents. To mea-
ence is not between the path difference and sure the volume of clay skins, Buol and Hole
wavelength of the light in the mineral but the (1961) projected the microscope image onto a
difference between the mineral, on the thin sec- ground glass, traced the image on translucent
tion, and its mounting medium—epoxy, Cana- paper, and then cut and weighed each piece.
dian balsam, etc. Most mounting media have a They measured clay skin volume as a function
well-known refractive index of 1.537 (1.54) such of horizonation and genesis of translocated clay.
that minerals with a higher refractive index than Johanssen (1938) and Fry (1933) used a camera
1.54 will demonstrate what is termed “positive” lucida attached to a microscope to project the
or moderate to high relief where the mineral image. The periphery of each mineral was traced
appears as bolder than media in PPL. Low or with a planimeter to yield relative proportions.
negative relief would be where the mineral Despite the awkwardness of area measurements,
appears less distinct than the mounting media. recent developments in computer image analysis
The refractive index is very useful in determining utilize this principle.
the identity of a mineral, particularly those iso- The Linear Method – In 1898, Rosiwal devel-
tropic varieties like fluorite. A general rule oped a much simpler method of measuring the
among petrographers is that felsic minerals— volume percentage of minerals (Holmes 1930).
quartz and feldspar—typically show low relief This technique measures lengths of line segments
and are almost colorless. By comparison, rather than areas and samples a portion of the
ferromagnesian (mafic) minerals exhibit high mineral area rather than the whole area, as in the
relief and color, e.g., olivine. Delesse Method. It measures the frequency with
which a mineral is encountered during the tran-
sect. The proportion of the length of the line
6.7.3 Quantifying Minerals in Thin crossing a mineral species (LA) is compared to
Sections the total length of the traverse (4). The percent-
age of a mineral in the specimen is given by
Rocks and minerals, where pertinent their gen- Percentage mineral ¼ ðLA 14Þ 100½2
eral—hand specimen or grain mount—and thin-
section properties, express definite optical The theoretical basis and statistical accuracy for
properties, like that of the macroscopic indices. this method are discussed by Lincoln and Rietz
One of the earliest and most common optical (1913).
techniques of the so-called areal method for
quantifying volume percentages of minerals Reflected Light Microscopy Many minerals,
was that of Delesse in 1847 (Holmes 1930; particularly the metallic ones, do not transmit
Jones 1977). Delesse studied polished blocks, light no matter how thinly they are ground. To
traced the outline of minerals onto paper, then examine such opaque minerals, in polished sec-
transferred the pattern to tinfoil, and cut around tion, plane-polarized light is reflected off the
the boundaries. The tinfoil pieces were sorted upper, polished surface. Many research-grade
into mineralogical classes and weighed to yield petrographic microscopes are equipped with
relative percentages. The volume percentage of a both transmitted and reflected optics. One can
mineral was determined by comparing the weight differentiate isotropic and anisotropic minerals
of each cut pattern representing a mineral species under reflected light. Most isotropic minerals
(WA) to the total weight of cut pieces (WT). will remain an unchanging dark color as the
microscope’s stage is rotated. Anisotropic
178 6 Petrography for Archaeological Geology
minerals, while never going completely to perpendicular light beams reflect off the speci-
extinction, will lighten and darken four times as men to create a lateral wave shift/displacement in
the stage is rotated through 360 . regions where surface relief exists. If the surface
The author has used reflected light microscopy is completely flat, nothing is observed. However,
extensively in the study of archaeomaterials— if there is, for example, a small difference
lithics, ceramics, metals, and slags, along with between the two wave fronts, one of the beams
fossiliferous materials as well. A transmitted must travel a path that is longer and is assigned
light microscope will typically be of little use to this path difference. Upon recombination, an
anyone wanting to examine the structure of metal- “interference (phase) contrast” is observed, giv-
lic samples or the surface of ceramics. Most ing, in many instances, a “three-dimensional
research microscopes can be fitted with both trans- effect” to the surface. It has to be kept in mind
mitted and reflected systems. In a reflected sys- that this is an optical effect and the relief does not
tem, light must be directed onto the surface and necessarily resemble the actual condition of a
eventually returned to the microscope objective surface. Petrographic usage of reflected light
by either specular or diffused reflection. Light microscopy rarely requires the resolution that
reflected from the surface of the specimen Nomarski optics provide, but it is there if needed.
re-enters the objective and passes into the binocu- Lithic and ceramic studies routinely use
lar head where it is directed either to the eyepieces reflected light microscopy as well as transmitted
or to a port for photomicrography. microscopy. The latter cannot examine unpre-
One of the most powerful techniques for pared surfaces of an artifact or item directly as
introducing contrast into reflected light micros- can reflected microscopes. So-called stereomi-
copy is differential interference phase contrast croscopes are most commonly used in petro-
optics. These special optics allow the visualiza- graphic studies. These microscopes do not have
tion of minute elevation differences on surfaces. the magnification capabilities of the petrographic
To produce interference, a birefringent prism microscope, but, in most cases, this magnifica-
(also known as a Wollaston or Nomarski prism, tion is not needed for evaluation of surfaces on
depending upon design) is introduced into the tools or fabric or temper in pottery. Pioneering
light path just above the objective, and a studies by Semenov (1964), Tringham
polarizer is installed in the vertical illuminator et al. (1974), and Odell (1975, 2001) in micro-
(similar to polarized light). The prism splits the scopic use were relied exclusively on reflected
polarized light into two orthogonal polarized light microscopy.
beams on their way to the specimen. These
Clay Minerals and Ceramics
7
representations beginning in the Upper Paleo- interest so that most archaeologists and potters
lithic and are part of an early “software horizon.” have a different idea of what constitutes clay than
Clay began to be more widely manipulated by do geologists, pedologists, or agronomists. To
non-sedentary, complex hunter-gatherers in the the potter, clay is any earthy aggregate that
very Late Pleistocene and early Holocene in (a) when pulverized and mixed with water
areas of resource abundance, especially in tropi- exhibits plasticity, (b) becomes rigid on drying,
cal/subtropical coastal/riverine zones. . .” The and (c) develops hardness and strength when
reliance on archaeological discovery of ancient heated to a sufficiently high temperature.
pottery, its age determination, and chemical anal- For the geologist, clay is a fine-grained
ysis seems to leave little room for weathering product of silicate minerals. The
geoarchaeology if it were not for the familiar structural breakdown of minerals to form clay is
names associated with these discoveries such as caused by natural geochemical reactions induced
Bar-Josef and Goldberg (Xiaohong, et al. 2012). by atmospheric and meteorological agents
In the geoarchaeological analyses at Yuchanyan including water, vapor, and gasses rich in oxy-
and Xianrendong, mineralogical and micromor- gen, carbon dioxide (CO2), and sulfur oxide
phological analyses of the sediments both indi- forms (SOx), as well as by various biological
cate that ash calcite was a major component of agents, such as lichens and anaerobic bacteria.
almost all samples, implying that they were pro- Depending on the parent rock composition, the
duced mainly during periods of human end result of weathering can be a variable mix-
occupations. Another unusual anthropogenic ture of clay, quartz, hydrous ferric and aluminum
activity is indicated by the clay-rich sediment oxides, resistant detrital minerals, and micaceous
formed into lenticular bands that must have material such as vermiculite. Texturally, clay is
been brought into the cave by humans and func- characterized by extremely fine particle size,
tioned as prepared surfaces (supra). Understand- below 2 μm in diameter, and with highly variable
ing the geologic—sedimentologic and chemical and physical properties.
mineralogical—context is crucial for a compre- As noted, clays can form either in place as
hensive understanding of clays and pottery. “primary” or residual weathering products gen-
erally overlying their source rocks, or as “sec-
ondary,” sedimentary clays that formed
7.2 Clays elsewhere and were transported by water from
their source, or as clay-size particles formed
Clays as noted are geologically ubiquitous from sediments, transported and refined by
minerals. This one fact may be, in large part, a water, and redeposited as sediment. In the state
major factor in the almost universal and indepen- of Georgia, one of the world’s principal kaolin
dent occurrence of pottery in the world. In a resources, the kaolin deposits of Cretaceous age
geologic sense, all clays are “secondary” are primary and higher grade; the tertiary
minerals. They are formed by the breakdown of deposits are secondary with more impurities.
other minerals, such as feldspars or the diage- The secondary kaolin formed by weathering of
netic solution of carbonate rocks such as crystalline rocks on an upland surface then was
limestones containing clayey impurities, which, transported away from their source; refined to
being insoluble, are deposited as clay. Clays are finer-grain sizes and picked-up impurities, espe-
formed by the disintegration and solution of cially organic matter; and redeposited where they
shale as well. In this sense, clays are all second- are found today. Other clays such as montmoril-
ary, but their deposits are termed “primary” lonite and bentonite are also found as primary or
(authigenic) or “secondary” (allogenic). Thus, secondary deposits. Since secondary clays are
“clay” is a term applied to a variety of earth carried by water, they tend to pick up many
materials of different origins and composition. impurities which affect the manner in which the
The actual definition depends on the field of clay may be fashioned, tempered, and fired.
7.2 Clays 181
Because of abrasion and alteration during trans- Table 7.1 Climate and weathering of silicate precursor
port, the particle sizes tend to be finer than in minerals
primary clays. Their fine-grain size and decayed Climate Mineral Clay(s)
organic matter tend to make them generally more Arid Biotite Smectite
plastic than primary clays. Plagioclase Kaolinite
Clay has the general formula of an Temperate Biotite Vermiculite
“alumina–silicate–hydroxyl” mineral. Clays are Plagioclase Smectite,
kaolinite
fine particulates that are >2 μm (microns
Tropical Biotite Kaolinite
(1 μm ¼ 1/1,000th mm) or less of triclinic K-spar
crystals (ex. kaolin). Clays are sheetlike Plagioclase
structures. Clay minerals are characterized by Humid Biotite Kaolinite
substitutional cations such as Si4+, Al3+, Fe3+, tropical K-spar, Kaolinite,
Mg2+, K+, and Na+. plagioclase gibbsite
Cations are common in the interlayers and not
in the silica-alumina structural units. The “2:1; The structure of kaolinites is 1:1; the structure
2:1:2 clay minerals” are more cationic than the of illites and smectites is 2:1.
1:1 clay minerals, e.g., kaolin. Kaolinites have
few if any cations in the interlayer. Structurally,
Fe3+, Al3+ cannot form tetrahedra, while Mg2+
can form octohedra along with Fe, Al. Illites
have one-sixth of Si4+ replaced with Al3+ with a
charge deficiency of +1 usually balanced by
potassium K+. Montmorillonites have many
cations in the interlayer, whereas Na+, Ca2+ are
common in smectites.
Rocks with high glass weather more rapidly
than those with lower glass (e.g., tuffs). Fine-
grained rocks weather more slowly than coarse-
grained rocks. Biotite-bearing rocks (granites)
weather more rapidly than those without (basalt). The interlayer, in illites, is filled with cations
Sedimentary rocks weather according to grain and, therefore, makes illites more rigid than
size and to some degree, clay content. Fine- montmorillonites. Kaolinites are the most rigid
grained sedimentary rocks weather more slowly of all clays. The property of rigidity is related to
as a rule. Cements in sedimentary rocks impact plasticity, an aspect very important to the potter.
weathering—silica cements are typically stron-
ger than carbonate (micrite/sparite) cements.
A “rock stability scale” is as follows: quartz- 7.2.1 Clays in Paleosols
ite, chert–granite, basalt–sandstone/siltstone–-
dolomite/limestone (bioclastic, silica-cemented While the foregoing suggests that most primary
“limestone” is an exception). Climate/ clays originate from silicate rocks, a large num-
weathering of the same lithology can produce ber of clay-rich or “terra rossa” soils do not. In
differing clays (Table 7.1; Fig. 7.1). many instances, clay-rich soil such as ultisols
Clay “sheets” are composed of silica sheets— (USDA) forms on carbonate bedrock (Driese
silica units are tetrahedral (four-sided—shown et al. 2011). Terra rossa soils across the globe
below). are characterized by red and yellow colors on the
Alumina sheets—alumina units are octahedral Munsell scale (cf. Chap. 3). Likewise, they have
(eight sided). clay-rich B horizons (supra). On paleosurfaces
182 7 Clay Minerals and Ceramics
Fig. 7.1 Weathering of silicate minerals (After Horgen 2000). Granites gneisses of the Appalachians produce kaolinite
with gabbros yielding smectite and olivine-rich rocks yielding montmorillonite via the mechanisms illustrated below
7.2 Clays 183
unfortunately, there is no agreement on where clay. The structural properties of these groups
the size boundaries should be drawn. In most govern many technological choices by potters.
widely accepted granulometry scales used by
agronomists, engineers, and geologists, clay is 1. As indicated above, the structural unit for kao-
smaller than either 0.002 or 0.004 (Wentworth linite is a l:1 layer, consisting of one tetrahe-
Scale) mm in diameter (2–4 μm), silt up to dral sheet with one octahedral sheet (Fig. 7.2).
0.05 mm, sand 0.05–2 mm, and gravel is greater The space between two successive 1: 1 layers
than 2 mm. The name assigned to mixtures of the represents an interlayer which will be devoid
first three depends on the relative amount of each of any chemical elements if the layers are
component present. Soil scientists call clay any electrostatically neutral, i.e., with no excess
mixture with more than about 40 % clay, and valences. Since this is true in most kaolins,
mixtures with much silt and sand are called the interlayers remain relatively free of cations
loam. Potters don’t classify clays on mineralogi- or water. The simple rigid structure of kaolin
cal basis. Rather the terminology one sees used does not allow for much substitution by exotic
among ceramicists is: elements (alkali elements lower melting tem-
perature). In addition, it has the highest Al:Si
China clay: hydrated kaolin ratio of the clay minerals (higher Al means
Pipe clay: kaolin with large % SiO2 higher melting temperature) and is least able
Potter’s clay: smectites, illites, bentonite, e.g., to absorb water (lowest plasticity). The use of
montmorillonites—not kaolin group pure kaolin clays in ceramics is thus restricted
Brick clay: clay with sand and Fe in large % to the most advanced ceramic technologies.
Fire clay: clay with no lime, iron, or alkaline 2. The smectite structure unit is a 2:1 layer in
earths; very refractory, resists fusion which two tetrahedral sheets sandwich an
Ball clays: white or gray with large alumina— octahedral sheet. The position of the two tet-
silicate %; e.g., kaolinite principal clay min- rahedral sheets is inverted so that all apical
eral (35 lb. “balls,” British term) oxygens point to the octahedral sheet where
they are shared by both sheets. Most 2:1 clay
Virtually any clay can be used for making minerals have an excess layer negative charge
pottery, depending upon the skill of the potter. produced by unbalanced ionic substitutions,
The main clay mineral groups include (1) kaolin- such as Mg2+ for Al3+ or OH for O. This is
ite, which has a relatively fixed structure, (2) a neutralized in the interlayer by various
group of expandable clays called smectites, cations, mainly Na and Mg, hydrated cations,
whose most common member is montmorillon- hydroxyl groups, and water. Abundant substi-
ite, and (3) the illite group with a structure simi- tution for Al and the presence of interlayer
lar to smectite but is not expandable. The sum of cations makes smectites less refractory than
a layer plus an interlayer is a structure unit in other clays. They are also expandable because
their charge deficiency is in the interior alu- of different clay and detrital minerals can make
mina layer. At lower firing temperatures than drying and firing behavior hard to predict. This
other clays, about 600 C major explains why the choice of clay and the prepara-
dehydroxylation occurs which causes irre- tion recipe can be the most conservative aspects
versible structural changes. Smectites also of ceramic production by traditional potters.
have higher shrinkage in drying and firing Because chemical compositions of clays vary
than other clays. widely in both elements present, especially trace
3. The illite group of clays have structures simi- elements at the ppm level, and water content, a
lar to micas as well as to smectites. In the structural determination by XRD analysis is
illites, about one-sixth of the Si4+ is replaced more important than a chemical analysis to iden-
by Al3+ leading to a charge deficiency that is tify individual clay minerals. This is especially
balanced chiefly by K+ but also by Ca2+/Mg2+ important for characterization of provenance and
and H+. The charge deficiency in the illites is technological studies.
primarily in the outer silica layers and there-
fore closer to the surface than in the smectites.
The excess negative charges on the illite 7.3 Ceramics and “Ceramics”
interlayers are satisfied by cations which
accounts for a more rigid structure. Because In the field of archaeological ceramics, there is
of their fine particle size and low shrinkage extensive variety in the nature of the specific
which helps produce a natural luster through wares or types of pottery manufactured at any
minimal mechanical treatment, illite clays are one time in any one place throughout antiquity.
desirable as pottery slips. To the earth scientist, not versed in the complex-
4. Other less important clay minerals are vermic- ity of archaeological ceramics, or the variety of
ulite and the chlorite group. Vermiculite, way archaeologists look at ceramics, confusion is
so-named because it looks like small worms not a surprising first reaction. In large part,
(Latin: vermiculus) when heated, is related to archaeologists tend to rely more on stylistic/mor-
the smectites. Vermiculites also have an phological variation in ceramic wares than on
expanding lattice but not as great as in the petrographic parameters. A key concept for
smectites. The chlorite group are light green, archaeological studies, not just for ceramics,
mixed layer minerals common in low-grade although the concept was first used in ceramic
metamorphic rocks and sediments. They can analysis is that of “type.” A type is a category of
form in a variety of ways: as alteration of archaeological artifacts defined by a consistent
ferromagnesian silicate minerals or clustering of attributes such that an item, such as
authegenically in sediments. They are com- a pottery vessel can be considered a member of a
monly mixed in with other clay minerals and class/category (Clarke 1968; Thomas 1998a, b).
are thus hard to identify. Thus, the Variation or consistency in types is used to eval-
two-1ayered kaolinite and the three-1ayered uate the geographical extent and chronological
smectite clays, including montmorillonite, are persistence of a particular type, which in turn, is
expandable, but the three-layered illites often used as a proxy for cultural variability or
are not. persistence. The type-variety of ceramic typol-
ogy uses the type concept for vessels and groups
The exact chemical compositions of most clay successively finer categories into “varieties”
deposits are quite variable, especially between based on some combination of variables, such
beds; their physical properties vary as well, cre- as paste, decorative treatment, and surface finish.
ating serious problems for the potter. The most common form of type is that of the
Substitutions of water and different cations in “descriptive type.” It inheres no chronological
clay structures, as well as indeterminate mixtures nor functional dimension although from the
186 7 Clay Minerals and Ceramics
adoption of ceramic typology, these categories and, at the second, over 20,000 shards were
have been so used. For instance, if a type persists found (O’Keene 2004; Keene and Garrison
over a relatively long period of time the term 2013). No archaeologist, nor geoarchaeologist,
“ceramic tradition” is often applied (Willey and examines this amount of pottery as a rule with
Phillips 1958). Likewise the term “ceramic hori- rare exceptions. Bishop (1994) reports on a mas-
zon” is used to describe the “rapid” appearance sive neutron activation analysis (NAA) study
of a type, in a short time span, across a relatively done on over 12,000 Mayan pottery samples.
large area or region (supra). This system of clas- More and more pottery analysis projects are to
sification is more commonly found in the study be mounted on a similar scale.
of prehistoric earthenwares, whereas the term At the Dove Creek site (Colorado), for exam-
“ware” is more commonly used in discussions ple, an Ancestral Puebloan/Anasazi Period site
of historic ceramics (Majewski and O’Brein (ca. AD 900–1,050), Till (2006) in the wake of a
1987). topographic and geophysical mapping study,
Rarely does the field archaeologist look much evaluated 8,976 shards. Till points out the use
beyond the form/shape, color, or decoration of a of 4 “working types”—categories used for anal-
ceramic artifact except, perhaps, to remark on the ysis but not formally recognized as “types” per
type of temper used (in earthenwares, mostly). se—out of a suite of 31 types. Ancestral Pueblo
No archaeologist, working in Neolithic-Post- farmers settled the central Mesa Verde Region of
Neolithic or equivalent periods (Woodland; southwestern Colorado in the seventh century
Pre-Classic, etc.), can ignore the ceramic artifact AD, the Basketmaker III Period (Diederichs
as (a) most of these archaeological cultures made et al. 2013). The Basketmaker III Period
and used pottery and (b) by definition, the “Neo- (AD 600–750) was part of an important cultural
lithic” is often characterized by the presence of shift in the history of the American Southwest,
pottery. As we noted in the introduction of this when a new technological package—including
chapter, early pottery appears in the Mesolithic “the maize suite”—enables direct precipitation
Period in Asia, specifically in the early Jōmon or “dry” farming, due in part to the recognition
Period of Japan, ca 10,500 BC (Ikawa-Smith of the deeper soils’ potential (Fadem et al. 2014).
1976; Rice 1999). The recent discoveries in These innovations—including pottery—enabled
Jiangxi Province, China, Xianrendong Cave, the rapid expansion of Puebloan populations,
have pushed back its invention into the late thereby representing a material culture
Paleolithic ca. 20,000 years ago (Wu et al. 2012). (“ceramic”) horizon in the archaeological record
It was independently invented and used in all (Lipe 2015; Diedreichs, supra). This change is an
parts of the world with the exceptions of American version of the “Neolithic Revolution”
Australia, the far north of North America, and (Lubbock 1865; Childe 1948), which
Eurasia. It is as ubiquitous an artifact in late emphasized the introduction and use of pottery.
Holocene archaeological cultures as those made The ceramic “sample,” nonetheless, in many
of lithic materials. archaeological instances can, therefore, be a real-
The ubiquity of pottery as an artifact can be as ity that challenges analyses. Another aspect,
much difficulty as it is an advantage for archae- beyond sheer numbers, is the salient difference,
ology. The sheer amount of pottery, mostly often overlooked, that exists between pottery and
recovered as shards, must be seen to be believed. other artifactual remains such as lithics. That
Pottery is recovered in metric ton amounts on difference lies in the phenomenological nature
many prehistoric sites. The author participated of pottery itself. Ceramic assemblages, unlike
on two excavations, one a Late Bronze Age vil- lithic materials, are pieces of the “whole cloth”
lage site in western Switzerland and another, or the vessel of which they were a part. Lithic
much smaller fourteenth- to fifteenth-century residue often represents all or portions of the
habitation site in coastal Georgia, where, in the chaine d’operatoire as originally defined by the
first case, over 20 tons of pottery was recovered French Paleolithic archaeologist, Leroi-Gourhan
7.3 Ceramics and “Ceramics” 187
(1993). This is to say a reduction flake is just that firing, and (4) other esthetic properties, including
while the biface from which it was removed is color, etc.
the finished artifact temporally and spatially sep-
arate from that fragment of its manufacture. The 7.3.1.1 Plasticity
shard is basically a smaller “vessel” in and of The addition of water to raw clay will produce a
itself. It is not a fragment of a manufacturing plastic mixture which can readily be shaped
process. It can yield information of that process without rupture. Clay exhibits plastic properties
but it is the product. This phenomenological for primary reasons: the clay particles themselves
reality gives greater credence to descriptive anal- are platelike, a reflection of their crystalline
ysis of these singular fragments of the whole. structure; the small size of particles, clay sized,
They are, in a real sense, the “whole.” This is below 0.002 mm in diameter; and the presence
gives the shard an analytical standing that belies of water, called “water of formation” between
its humble nature. A ceramic analysis of a single the clay particles. Water acts as a lubricant and
shard can be much like a mineralogical study of allows the clay particles to slide across each
fragment of a stone outcrop or facies in that the other rather than rupture when a shear force is
same relationships here, for instance, use of the applied.
Delasse Method of calculating volume The development of plasticity in clay is criti-
percentages of minerals in a specimen (cf. cal to the manufacture of a ceramic, and
Chap. 5). What is generally technologically true depending on the composition of the clay, plas-
for the shard is true for the pot as a whole. ticity will develop over a narrow range of water
Archaeological analytical protocols for pre- content. Dry clay is nonplastic, and as water is
historic ceramics have led to many important added, the clay will become plastic, and finally,
key insights. One of the first and most famous with too much water, it will become too fluid to
uses of a systematic examination of ceramic retain its shape when formed (Table 7.2). Kao-
types was that of Sir Flinders Petrie (1904) in linite has a non-expanding two-layer structure
his use and expansion of ceramic seriation/typo- and forms relatively large particles, 0.3–2 μm in
logical sequence analysis for chronological diameter; smectites have an expandable three-
purposes. For our purposes, the Earth science layer structure with a finer-grain size. Thus, kao-
study of ceramics, specifically petrography and linite has much lower plasticity and undergoes
geochemical, provides additional ways, in the much less shrinkage than does smectite upon
rubric of epistemology, giving independent evi- drying. If a potter has access to clays which are
dence, for suppositions and hypotheses about the highly plastic, this property can be modified by
manufacture, technological evolution, and use of the addition of nonplastic materials (soil, less
ceramics in the past (Hayden 1995, 1998; Tite plastic clay, crushed rock or pottery, or organic
1999; Vandiver 2001). material) as temper.
Of the many factors that control the plasticity
of clays, the most important is the shape and size
of the clay particles themselves. Clay is very fine
7.3.1 Ceramic Properties of Clay
grained and crystallographically platelike with a
thickness to diameter ratio of about 1:12. When
In the making of ceramics, it is crucial that the
potter know how the clay body will behave dur-
Table 7.2 Consistency water %
ing the different stages of fabrication: aging the
Dry 5–18
clay, forming the matrix, finishing the ceramic,
Stiff 10–20
drying, and finally firing. The properties that
Stiff-plastic 12–25
determine the usefulness and problems for each
Plastic 15–30
clay raw material are (l) plasticity in forming, Oversoft 15–35
(2) shrinkage by drying, (3) thermal during Liquid 20–50
188 7 Clay Minerals and Ceramics
water is added to clay, it acts as a lubricant, Paste and Temper A ceramic vessel or
surrounding the clay platelets and allowing them object—figurine, statue, bead, etc.—is composed
to glide over each other. Surface tension forces of clay and its impurities, generally accidental or
acting on the water and the clay bind them weakly accessory minerals and, in the case of low-fired
together and allow a molded object to retain its earthenwares, some form of tempering agent
shape. When excess water is added, more than the which is often mineralogical in nature. There
minimum needed to maintain surface tension, the are a few commonly used terms to denote paste
water and the mass will start to flow. and temper—matrix, fabric, body—are fre-
Other important factors which affect plasticity quently encountered. Stoltman (1991) considers
are the nature of adsorbed ions and clay particle paste to be “The aggregate of natural materials,
size. Large monovalent ions, including Na+, K+, ie, clays and larger mineral inclusions, to which
and ammonia, NH, diminish plasticity; smaller temper is later added....”. Kamilli and
di- and trivalent ions including Mg2+, Fe2+ and Steinberg’s definition was paste “consists of a
Fe3+, and Ca2+ enhance plasticity. The large coarse mineral fraction, a fine-grained matrix,
monovalent ions, too large to fit into the clay and perhaps some plant material” (Kamilli and
lattice, tend to disrupt the nonliquid water struc- Sternberg 1985). Body, as defined by Stoltman
ture promoting disorder. The smaller, more (supra), is the “bulk composition of a ceramic
highly charged ions easily fit into the space avail- vessel including clays, larger natural mineral
able in the lattice and thus do not exercise any inclusion in the silt, sand and gravel size ranges,
disordering effect. and temper (emphasis added).” Body is equiva-
lent to the term fabric (Shepard 1936, 1954). It is
temper that differentiates body/fabric from paste.
7.3.1.2 Shrinkage Temper, by extension, is that which is not natu-
After the ceramic has been formed, the wet clay rally occurring within the paste of a ceramic—
must be dried. Water will be lost in two phases. e.g., it has been added by the potter.
During the first phase, the water of formation will Temper varies widely, in early ceramics,
evaporate freely and the ceramic will contract. imaging from organic materials such as plant
As the water is removed from around the clay material, bone, and shell; mineral temper such
particles, the particles will draw closer together as rock of many varieties; sand or volcanic ash or
until they eventually touch each other and start to tephra; to grog or ceramic fragments reused to
adhere. The ceramic will contract no farther at temper subsequent vessels. Because temper,
this stage. The next water loss takes place more other than that of organic origin, is similar to
slowly, and it will come from the pore spaces naturally occurring minerals and rock, some
between the clay particles. authors simply use size as a discriminating factor
Internal stresses are set up in the ceramic if it (Lombard 1987; Ferring and Perttula 1987). The
loses water too fast at this first stage. identification of temper, because of its similarity
The rate of evaporation is critical to prevent to the materials of the paste, is oftentimes diffi-
the clay from cracking or breaking up. Again, cult (Stoltman 1991), but the petrographer must
different clays vary greatly in their drying shrink- make the attempt wherever possible. Where the
age, that is, the reduction in size upon evaporation distinction is straightforward, the temper
of water. Clays also vary in their dry strength, that becomes a useful tool in distinguishing ceramic
is, the resistance to breaking when a force is types. Even in cases, such as were there the
applied after the water of formation has been coarser added material may be differentiated
removed (Table 7.2). This property is important from a fine-grained matrix by textural analyses.
to potters who scrape and smooth vessel walls at Potters use temper to help the clay dry and fire
this stage, perhaps prior to applying a slip. uniformly:
7.3 Ceramics and “Ceramics” 189
• Grog temper (basically ground up pottery) Temper morphology and size were illustrated
• Shell (after it has been fired) by (1984) Moundville (Alabama) prehistoric
• Sand/stone—like marble ceramics of the Mississippian Period (ca. AD
• Tuff 1,000–1,500). Temper gradually changed from
• Organic (Spanish moss, grasses, other fibrous coarse quartz then to fine quartz, grog, and finally
plants) coarse shell. Shell-temper became one principal
characteristic of evolved Mississippian ceramics.
Studies of temper and actualistic studies have Steponaitis showed that the shell resisted thermal
yielded significant insights into the function of this expansion better than other tempers and required
amendment to clays in terms of “performance lower firing temperatures (~700 oC.) or the shell
characteristics” which the ability of the vessels to would decompose to lime. Additionally, rehydra-
retain their contents and to survive impact without tion of the decomposed shell would cause failure
cracking; heating effectiveness and the ability to in the vessels as well (supra).
survive rapid changes in temperature without
cracking, in the case of cooking vessels; and 7.3.1.3 Firing and Thermal Properties
cooling effectiveness, in the case of water storage Before firing any ceramic, the first stage—dry-
vessels (Tite 1999; Schiffer 1988, 1990; Skibo ing—is considered “air drying” and is generally
et al. 1989; Skibo and Schiffer 1995; Kilikoglou carried out <150 C. During drying, the mechan-
et al. 1995, 1998.) One area, other than temper per ically admixed water, which is present as films
se, was the importance of surface finish in surrounding clay particles, is lost. The clay mix-
preventing water loss. Resin, as we shall see with ture shrinks and loses its plasticity. As the clay
a Navaho example, applied to the surface, notably particles come closer together, they may come
the interior, minimizes water loss (Schiffer 1990). into contact with each other. Stresses set up at
Interestingly, simply finger-smoothing of the inte- this stage may later lead to structural damage to
rior surface accomplishes the same effect (supra). the body. During this period of drying, the body
But it is the role of temper, type density, and size will undergo its maximum shrinkage and exhibit
that most determines the strength and “toughness” its maximum water loss.
of the vessel (Tite 1999. Water first evaporates from the surface of the
Ceramic “toughness” is difficult to define. body. Then by capillary action, water rises from
Resistance to fracture is primarily the best the interior to the surface and in turn evaporates.
definition. To ease the process of evaporation, nonplastic
Repeated exposure to heat and subsequent cool fillers, called temper, earlier added to the clay
downs test the ability of a pottery vessel to resist paste, help provide pathways for water to escape.
fracturing. Prolonged exposure to cooking fires Other materials or characteristics may be present
increased with the specific foods such as the exam- or added to help bind the clay together and
ple of beans in the Basketmaker III Period. strengthen it during drying and shrinkage. This
Kilikoglou et al. (1995, 1998) showed ceramic includes fine rather than coarse particle size clay,
toughness increased within an increasing number the presence of Na1+, and added organic
of quartz inclusions as well as an increase in their materials such as flour or gums of various trees.
particle size. Feathers (1989) and West (1992) All these will help bind the clay particles
further showed that the type and morphology of together and help prevent uneven drying which
the temper is particularly relevant. Platy or fibrous may cause cracking or warping.
temper, such as mica or shell, greatly increases Much early pottery was fired in open fires, but
toughness when compared to angular temper such with the passage of time, more and more firing
as limestone, marble, quartz, or grog (supra). has been in periodic kilns. The process of firing
This morphological difference results in both takes place in distinct phases: setting up the kiln,
resistance to crack propagation and thermal firing the air-dried clay bodies, cooling down the
shock fracture. kiln, and finally, withdrawing the pottery. The
190 7 Clay Minerals and Ceramics
design of such kilns varies widely through time different results in the production of
and place. Most are so-called “open-flame” kilns earthenwares (Gosselain 1992; Kingery and
where the heat is used directly. The fire box is in Vandiver 1988). In pit kilns, maximum
the fire pit directly below the ware and temperatures (~600–800 oC) are reached within
surrounded by flames (Fig. 7.3). The combustion 20–30 min. Because of the rapid heating rate,
gases generated in the fire box move directly coarse pottery fared better.
upward into the firing chamber by convection. Thin-walled fine ware survived equally as
Temperature control, both in absolute degrees well because of its ability to allow steam to
Celsius and in the uniformity of heating through- escape the vessel (Tite 1999). Closed kilns
out the firing chamber of open flame kilns, is very greatly enhanced the control and quality of
poor. The temperature throughout the kiln will earthenwares (supra).
vary widely, with both vertical and horizontal Firing the clay body to the hardness of a
gradients. Vertical gradients are controlled by ceramic body is the next critical stage in manu-
the distance to the bottom of the kiln where it is facture. The ceramic then acquires its hardness,
the hottest and horizontal gradients develop by toughness, and durability. Original mineral and
the flow of combustion gasses toward the vent. clay structures are transformed, and chemical
Some areas within the kiln will have a reducing compositions change as the body loses its basi-
atmosphere, especially nearer the bottom where cally sedimentary condition becomes its meta-
highly reducing combustion gasses enter the fir- morphic equivalent. The principal changes that
ing chamber, and other areas nearer the vent will take place are by (a) oxidation or reduction,
be oxidizing, where a strong draft exists, oxygen (b) loss of volatiles and dehydration, principally
is readily available, and the combustion gasses loss of hydroxyl ion (OH) from the clay
themselves have become oxidized, e.g., CO2 has structures, and (c) creation of higher temperature
become CO2—indeed, temperature gradients phases and finally, at very high temperatures of
exist within single vessels, varying according to firing, vitrification.
size and wall thickness. As we will detail in the following section, clay
Time of firing and peak temperature are two minerals undergo important structural and chem-
principal factors, beyond temper, in determining ical changes, due primarily to dehydroxylation,
the strength of pottery vessels. Pit kiln firings when they are fired at temperatures over 600 C,
were shown by Shepard (1956), and kiln firings and particularly at higher temperatures of
have been demonstrated to produce very ~1,200 C. These changes are important to
7.3 Ceramics and “Ceramics” 191
convert the clay into a useful ceramic. High 6. The atmosphere in the kiln, whether reducing
temperatures dislodge ions from original or oxidizing. Color is strongly dependent on
positions held in the clay structure into more this: ferrous iron can cause a green color,
favorable sites, thus converting the clay into ferric, and unoxidized organic material black.
chemically stable and structurally stronger mate-
rial. Chemical changes that take place during Tite et al. (1982) in a study of Greek Red and
firing of clay are shown in Fig. 7.4. The exact Black Figure pottery demonstrated the use of the
changes that take place for each stage of firing three-stage oxidizing-reducing-oxidizing firing
depend on many variables, including those that cycle to produce the reduced iron-oxide pigment
are material dependent: Studies of firing temperatures have proven to
be capable of ascertaining both the ranges of
l. The chemical, mineralogical, and structural temperatures and firing times (Tite and Maniatis
composition of the clay and the nature of 1975; Tite 1995; Wagner et al. 1986; 1998;
included materials. Kingery and Friermanm 1974; Kingery 1992a,
2. The wall width of the ceramic body. b).
3. The nonplastic temper added by the potter. At
450–500 C, water that is chemically com- 7.3.1.4 Oxidation and Reduction
bined in the clay structure is lost. The clay If materials such as dung, straw, etc. are utilized
crystalline structure itself will break down in the making of the ceramic body, then, when
above 800 C and be largely converted to heated to 200–500 C in an oxidizing atmo-
new mineral phases. Above 1,800 C, the sphere, such organics will oxidize and be given
ceramic body will fuse, a temperature far off as CO2, leaving vacant spaces and a porous
above the possibilities of any ancient body. If, on the other hand, the ceramic body was
technologies and those that are dependent on heated under reducing conditions, in those parts
firing conditions. of the kiln where oxygen was not available, then
4. The rate of firing, allowing gases including the organic material is only charred and a residue
those formed by the breakdown of organic of elemental carbon is left. Under these
material and carbonates to escape. Too fast a conditions, a gray-black ware will result. Com-
rate will trap gases and result in higher porosity. monly, firing is timed to allow oxidation to go to
5. The duration of firing. The longer high completion so that no organic matter is trapped in
temperatures are held, the more complete the fired clay before the stages of dehydration of
will be mineral reactions forming glass and clay and the formation of new mineral phases
high temperature mineral phases, such as and glass begin. However, much archaeological
spinels and mullite which lead to a stronger pottery with a gray core shows that oxidation
ceramic body does not always go to completion.
192 7 Clay Minerals and Ceramics
As the temperature is raised, and a good draft temperatures are maintained for a long enough
is obtained in the kiln, the clays themselves will period, high-temperature aluminum silicates will
start to oxidize. Clear colors such as red, buff, or start to form. Depending on the (1) length of time
yellow suggest an oxidizing atmosphere at firing held, (2) the temperatures attained, as well as
temperatures of about 700–900 C. If the draft is (3) other minerals present, such as micas, that
cut off preventing outside oxygen from entering, may react with the clays, a variety of higher-
the entire kiln will be filled with reducing gases. temperature mineral phases may crystallize.
The most important oxidation-reduction reaction These include, from lower to higher temperature,
affecting color is the change from red ferric feldspars, spinels, and above about 1,050 C
oxide and hematite Fe203 to black ferrous oxide mullite (3Al203• 2Si02). Mullite is a synthetic
FeO and magnetite Fe304. aluminosilicate used in the manufacture of
high-temperature and high-shock ceramics, such
7.3.1.5 Loss of Volatiles and Dehydration as automobile spark plugs. Identification of such
When temperatures of firing reach about high-temperature minerals can be important
200–300 C, all mechanically bound or pore clues to a vessel’s firing history.
water still present after ambient drying is Starting about 600 C, vitrification or
vaporized and driven off. As the kiln temperature “sintering” starts in the more fusible impurities.
rises, hydroxyl ions that are chemically bound Feldspars, among the most common impurities,
within the clay lattice start to be lost. The rate of and commonly added to the clay paste as a flux
loss depends on the clay species with halloysite by modem potters, will melt: pure Na-feldspars
and kaolinite abruptly losing most hydroxyls at 1,118 C and pure K-feldspars at 1,100 C;
about 4,000 C (Fig. 7.4). Other clays, such as solid solution mixtures will melt at lower
smectites, start to lose interlayer water (held temperatures. Many potters, both ancient and
between the silicate sheets) at lower modem, recognized a variety of other materials
temperatures. They then continue to lose water that can act as fluxes, including illitic clay, iron
but at a slower rate than kaolinite. oxides, etc. When enough vitrification has taken
In addition to water, as the temperature rises place to give a moderate degree of hardness, the
to over 200 C, any carbon or organic matter in clay is considered baked.
the clay will start to oxidize and escape as CO or Full firing, or the burning stage for most clay
CO2. The rate and completeness of oxidation bodies, begins at about 850 C. Two baked
depends on the rate of temperature rise, the vessels struck together will emit a dull sound,
length of time the maximum temperature is whereas when fully burned, that is for some
held, the wall width of the pot, the clay composi- mixtures fired as low as 850 C, for most about
tion, and the nature of the paste. On average, 1,000 C, the vessels will emit a ring. To sum-
organic carbon is not completely eliminated marize, the following are the expected changes in
until temperatures of about 500 C are reached. the clay paste during firing:
frost. Changing Woman is the first woman in the Several techniques can be used to form pots.
Navajo belief and mother to the Hero Twins, Three of the most used by the Navaho are:
Monster Slayer and Child-Born-of-Water, who
rid the world of monsters so humans could 1. Anvil—paddle
inhabit the earth. Navajo and native potters, in 2. Draped clay—on/in basket
general, do not refer to the vessel clay as 3. Pinch—coil
“paste”—but rather it is the “clay body.” Paste
is an archaeological term. In the 2011 study, the pinch-coil method was
Manure is used for fuel particularly in the primarily used although the anvil technique was
American Southwest, whereas wood was used demonstrated. The potter kneads the clay to
in the Southeast. There are more sheep and remove air, pinching the clay – “pull-and-in”-
cows on the Navajo Reservation than useable to shape the coils. Navajo potters start with the
trees. small “pinch pot.” Coils are laid, sequentially, on
In the present study, dung was the preferred top of the pinch pot base (Fig. 7.5). “Bé-ho” or
fuel source (Fig. 7.3). All the Navaho potters biyo—an appliqué of beaded clay can be used on
observed in the 2011–2012 study dug their own the rims. These help with handling of a hot pot.
clay. The location is closely held but shared The appliqué is never closed—it can overlap but
among fellow potters in many cases. Navaho is is never closed. This allows spirits to enter and
a huge place, being nearly as large as the whole leave the vessel. This spiritual aspect extends to
of New England. Clay sources abound. One pot- pottery manufacture. The Navajo only make pot-
ter specifically sought out “brown clays” to help tery for use in eating. Therefore, they do not
ensure a firing to a high-red color. This particular make ceramic dolls. The mud dolls are unfired.
potter applied an iron-bearing slip to the drying Small pots are manufactured as containers for the
vessels and burnished them. sands (and clays) used in Navajo sand painting
Temper was usually crushed pottery or grog, ceremonies.
ground up, and worked into the clay. Sand was When firing their pots, Navajo potters partic-
used as well. Some potters, working in more ularly appreciate the “fire clouds” that manure
traditional forms, shaped the vessel, first with a fires create (Fig. 7.6). These fire clouds add inter-
corncob then burnished using a smooth stone est to the pot’s surface. Pı̃non pine tar is used to
during the drying process (Hill 2012). As noted “glaze” pot exteriors. It is applied to hot pots
above, slips can be used besides appliqué and allowing a sheen to form on the pot’s surface
piñon pitch applied after firing. In comparison, (Fig. 7.7). Santa Clara potters use the so-called
Santa Clara pueblo potters use a1:3 ratio of tuff saggar firing instead of pit kilns (Fig. 7.3). They
temper to clay for their ceramics. can fire pots in trash cans—aka a “saggar.”
7.3 Ceramics and “Ceramics” 195
Fig. 7.7 Two thin sections of late prehistoric illustrates more uniform firing conditions as well as a
earthenwares, Georgia, USA. In the left, firing more uniform grain-temper sizes. The temper in both is
differences—black indicating reducing conditions and primarily quartz-dominated medium sand. Both
red-brown, oxidizing. Such differences are not unusual photomicrographs were in PPL (Courtesy of Mark
for pit kiln-fired wares. The thin section on the right Williams)
7.3.3 Geoarchaeological Study (a) The nature and the source of the raw
of Ceramics materials (clays, temper), the “slip”
(applied surface pigment) and a reconstruc-
Pottery then is the general term used here for tion of the working methods of ancient
artifacts made entirely or largely of clay and hard- potters
ened by heat. Today, a distinction is sometimes (b) The physical properties of the raw
made between pottery, applied to lower-quality materials, from their preparation as a clay
ceramic wares, and higher-grade porcelain. No body, drying and firing, and through their
such distinction will be made here so the term transformations during manufacture into a
pottery alone will be used. Raw material that goes final ceramic product
into the making of a pot includes primarily the clay (c) The nature of the chemical and mineral
body, but also varying amounts of “temper,” added reactions that take place during firing as a
to make the material more manageable and to help clue to the technology available to the potter
preserve the worked shape of the pot during firing. (d) The uses, provenance, and trade of the
Of primary interest in ceramic studies are: wares produced
196 7 Clay Minerals and Ceramics
body. The body itself is medium to coarse much sought after property, especially when
grained, opaque, and commonly light brown or form blue-and-white wares grew in popularity.
gray. Modern stoneware is usually made of sedi- Pottery stone could be fired at a lower tempera-
mentary clays that are transported rather than ture (1,250 C) than paste mixed with kaolin,
residual deposits, such as ball clays which are which required 1,350 C.
highly plastic and low in iron. Archaeological In Ming porcelains, cobalt was used for
stonewares may or may not be glazed. underglaze blue decoration. Prior to this, the
Porcelains were first produced in China during cobalt had been brilliant in color, but with a
the time of the T’ang dynasty in the ninth to tenth tendency to bleed in firing; by adding manga-
century AD. They are fired at 1,280–1,400 C or nese, the blue color was duller, but the line
even higher, required to vitrify the highly refrac- crisper. Xuande porcelain was the finest of all
tory white clay, kaolin, used in their manufac- Ming output. During a significant portion of the
ture. The clay is relatively pure and mixed with Ming Dynastic period, exports of Chinese
quartz and alkali feldspars which act as a flux, porcelains were banned. This allowed Vietnam-
allowing lower firing temperatures than needed ese porcelains and stonewares to become widely
to vitrify pure kaolin. At 1,150 C, K-feldspar traded. Evidence of this period of a Vietnamese
(microcline and orthoclase) melt, and at ceramic florescence comes from both early kiln
1,118 C, Na-rich plagioclase (albite) melts, giv- sites excavated in the 1990s as well as South
ing the porcelain a translucency, hardness, and China Sea shipwrecks of both Chinese and Viet-
ring when tapped. Porcelains today are made up namese origins: Chu lâu-My Xa kiln site and in
of about half kaolin plus roughly equal amounts the Cu Lao Chàm (Hôi An) cargo (~250,000
of feldspar and quartz. ceramic vessels). The latter shipwreck was
A major Chinese production center, 600 years excavated by a team led by Oxford University’s
ago, and today is Jingdezhen. AD 907–960, the Mensun Bound, in cooperation with the Viet-
“5 Dynasties Period.” Other major periods are as namese government. Elements of the Hôi An
follows: Shufu (12th c.), Qingbai/Yingqing cargo were sold at auction (Pope 2014).
(12th–13th c.), “Blue and White” (post-14th c.), The importance of Vietnamese ceramics pro-
Ming Period (1368–1644), and “Monochromes” duced during the fifteenth century has been
(post-18th c.). Today, Jingdezhen, produces established beyond any doubt. At this time, the
300 million pieces of porcelain a year. ban on Chinese ceramic exportation by the Ming
Vogt, in 1900, established the chemical and dynasty offered an open market to Vietnamese
mineralogical nature of Chinese porcelain. He products: blue-and-white porcelains, celadons
determined the major minerals present were kao- (jade-like monochrome) and tam thai (three
linite; potash mica; soda feldspar, albite; and colors, to be compared with the Chinese sam
quartz (SiO2). cai equivalent) overglazed wares. The Vietnam-
The kilns at Jingdezhen became the main pro- ese learned ceramic skills while under Chinese
duction center for large-scale porcelain exports domination up to the 11th c. AD and continued
to Europe starting with the reign of the Wanli their indigenous development thereafter. They
Emperor (1572–1620). were experts in both porcelains and elegant
Kaolin and pottery stone—pu-tan—were stonewares. The latter fall under the heading of
mixed in about equal proportions (d’Entrecolles celadons or jade-like, colored stonewares
1743) identified this as “Best Quality or equal (Colomban et al. 2004). Likewise, the Vietnam-
parts petuntse and kaolin” (Pollard and Wood ese used color to great advantage in their designs.
1986). Kaolin produced wares of great strength The constituent elements as well as the struc-
when added to the paste; it also enhanced the tural phases of the blue-and-white and tam thai
whiteness of the body—a trait that became a glazes of the fifteenth-century Vietnamese
198 7 Clay Minerals and Ceramics
ceramics have been determined by a combination northern China result from the divergent evolu-
of XRF, EDS, and nondestructive Raman spec- tion in distinct ceramic environments. Chaff tem-
troscopy. The transparent glaze is an aluminosil- per and sequential slab construction in
icate glass, with CaO as the chief fluxing agent. northwestern Iran were adaptations to highly
The firing temperature for this base glaze was as plastic montmorillonite clays, while coiling and
high as the sintering temperature of the body, that tamping with paddle and anvil were adaptations
is, more than 1,200 C. The jade-like color of the to the gritty loess-derived illitic clays of northern
celadon glazes was achieved by iron doping in China. In addition, the northern Chinese clays
the glazes, while the black colors or metallic- were more forgiving over a wide range of firing
black dendrites were obtained by the dispersion temperatures, permitting higher firing
of FeO and/or Fe3O4 under the transparent glaze temperatures in China. Coincidentally, the
(in a very strong reducing atmosphere). The blue uniform refractory properties of loess soils of
decoration under the transparent glaze was northern China favored high-temperature firing
achieved using Co-containing manganese ore. in subterranean kilns, whereas Near Eastern
In some cases, the addition of iron made a dark potters developed aboveground kilns, the
greenish-blue color. temperatures of which could usually be
Cyfflé’s Terre de Lorraine manufacture in maintained below the level at which
Lunéville (1766–1780) produced some of the montmorillonitic kiln walls would fail.
first European porcelains (Maggetti 2011). The
diversity of Cyfflé’s production is now better
recognized. His trial-and-error experiments 7.4 Provenance
made use of a remarkably wide range of paste
mixtures, with porcelain bodies in the French Determining the provenance of clay used in the
(soft-paste) and the German (hard-paste) tradi- manufacture of a pot is an important problem that
tion (supra). is traditionally attacked by geochemical
An example of soft-paste (artificial) porcelain techniques. Many studies have used trace ele-
body (10 % water adsorption), contained quartz, ment analysis to compare the possible sources
calcic plagioclase (An 88–95) in a glassy matrix. to a fired ceramic. However, conclusions of
Electron-backscattered diffraction analysis such studies must be carefully interpreted since
(EBDS) revealed a coronitic reaction rim visible ceramic pastes will not always be similar miner-
around the quartz. The K-rich and Na-poor frit is alogically or chemically to their sources, except
a mixture of potassium nitrate, alum, calcined in the cases of unrefined clay, typical of very
gypsum, sand, and moderate amounts of salt ancient potters and very low-temperature firing.
and soda. The water adsorption values indicated Most ceramic clay has been refined and mixed
a somewhat underfired condition. In other resulting in a great variation in particle size dis-
samples, Maggetti (supra) found evidence of tribution and mineralogical variations. Blackman
the high-temperature silicate mullite typical of (1992) found that levigation of the raw clay
hard-paste porcelains. resulted in major changes in mineralogy and
In another study employing a comparative chemistry if silt and finer sizes were removed.
approach to technological characteristics, If only sand size particles were removed, the
Vandiver (1988) reconstructed and compared changes were not as serious except for trace
the forming and firing practices of Neolithic elements that were concentrated in the accessory
potters in northwestern Iran and northern China. minerals.
She argues that the complex technological A study by Kilikoglou et al. (1988) found that
differences between pottery from Hajji Firuz, most trace elements showed great variations in
northwestern Iran, and Yangshao pottery from comparing the raw to the fired clay. Whether the
7.6 Optical Petrography 199
elements increased or decreased upon firing and manufacturing technology can be resolved by
purification depended on many variables includ- using the complementary techniques of petro-
ing their: graphic and geochemical analysis to determine
mineral and chemical compositions.
1. Physical nature—whether they were held in The hand lens, binocular microscope, optical
fine- or coarse-grained material, organic mat- (polarizing) microscope, scanning electron
ter, in the clay, or in detrital minerals microscope (SEM) equipped with analytical
2. Chemistry—whether they were present as capabilities (EDS), X-ray diffraction (XRD),
oxides, hydroxyls, carbonates, and on their and electron microprobe (EMPA-WDS/SXES)
position in the clay lattice, i.e., interlayer, are the most important of these tools. The initial
adsorbed on the surface, or within a sheet study of a potsherd should begin with a hand
3. Physical properties—most important, the tem- lens, followed by thin sections and a petrographic
perature at which they volatilize microscope. These studies are done at low mag-
nification, that is, <200 times magnification.
The conclusion of their study was that under Textures, including pore spaces, and mineral
no circumstances can the chemistry of raw clay inclusions or phases can be identified. At this
be compared to that of a finished pot. To demon- point, unknown fine-grained minerals and phase
strate the provenance of the clay in the pot, the reactions at mineral boundaries can be labelled
steps taken by the potter in making the pot must for detailed study by EMPA or SEM. A prelimi-
be followed: the clay must be purified and fired nary grouping of the potsherd samples can be
under analogous conditions. The analytical made, and, in conjunction with the archaeologist,
methods then used to compare the synthetic pot decisions made on what other types of analysis,
to the original should be sensitive to elements and perhaps field sampling, are needed to obtain
present in trace amounts and include optical further information.
emission spectroscopy, neutron activation,
X-ray fluorescence, SEM, or the electron micro-
probe. Then, so that meaningful statistical anal-
ysis can be carried out, (1) the number of 7.6 Optical Petrography
elements determined should be as large as possi-
ble, and (3) a large number of samples should be A pottery sherd may be regarded as a
analyzed. metamorphosed sedimentary rock and clearly
amendable to petrographic analysis. Quinn
(2013), Stoltman (1989, 1991) and others
7.5 Methods (Kamilli and Sternberg 1985; Kamilli and
Lamberg-Karlovsky 1979; Rice 1987; Whitbread
Geochemical and petrographic analyses are 1989; Williams 1983; Williams et al. 1955), in
widely used to characterize archaeological recent years, have reiterated the importance of
ceramics (Tite 1999; Vandiver 2001). As noted petrography to the study of archaeological
above, bulk trace element analyses with either ceramics championed, earlier, by Shepard
NAA or ICP-MS methods are foremost among (1936, 1942, 1954, 1966) as well as by Matson
studies of trade and provenance and determining (1960, 1966) and Peacock (1981, 1970). A rela-
manufacturing/geologic sources. After trace ele- tively steady volume of studies, of both Old and
ment analysis follows petrographic analysis, New World focus, have continued utilizing tried-
bulk chemical analysis, and microstructural and-true geological protocols such as point
studies (Vandiver, supra). Important problems counting (Chayes 1954, 1956; Galehouse 1971)
of sourcing raw materials and characterizing and optical/instrumental petrographic procedures
200 7 Clay Minerals and Ceramics
(Freestone and Middleton 1987; Garret 1986: From the perspective of optical petrography, the
Lombard 1987; Maggetti 1982; Vaughn 1990, procedure is that for the study of archaeological
1991). rocks and minerals:
There are many good arguments for beginning
a pottery study with petrographic analysis. Not 1. Prepare a thin section. Two examples are
only is this the cheapest kind of analysis, but shown in Fig. 7.7.
information can be obtained that cannot be satis- 2. Stain, etch, or otherwise pretreat the thin
factorily obtained by any other method. In petro- section.
graphic and textural studies of ceramics, four 3. Examine the thin section under the low-power
major elements can be readily evaluated: PPL/XPL microscope, determining minerals/
phases by optical properties and the propor-
1. Minerals—major and accessory minerals can tion of each observed.
be examined by both petrography and particle 4. Quantitatively evaluate the thin section using
size studies. standard point-counting procedures.
2. Clay minerals—well-fired pottery does not 5. Examine the thin section under high-power
contain true clay minerals since they have PPL/XPL for relief, color/birefringence, etc.
reacted and transformed to other minerals.
3. Non-mineral inclusions—both petrography An integrated petrographic and chemical
and textural analyses are productive methods. approach (NAA) to ceramics of all varieties as
commonplace has been employed in the prove-
The use of particle (grain) size analysis, com- nance studies of amphoras, Egyptian and Canaan-
bined with the low-power study of grain mor- ite jars, as wells a Minoan ceramics (Day
phology, has much to offer the ceramic et al. 2011; Hancock et al. 1986; Hancock and
petrographer. Betancourt 1987); American Southwest prehis-
Because clay mineral identification is not typ- toric ceramics (Carr 1984,1990); joining a host of
ically done with the petrographic microscope, we studies enumerated in monographs and books
will hold our discussion until the following chap- (e.g., Bronitsky 1989; Kingery 1984, 1990, 1993;
ter where more appropriate instrumental Nelson 1984; Plog 1980; Rice 1987, 1996a, b,
techniques are examined. It is important to note 1999, 2001; Sassaman 1993; Sinopoli 1991;
that response of clay minerals and inclusions to Skibo and Feinman 1999; Glasscock et al. 2007a,
firing temperature produces progradational min- b)—all studies of ceramic technology.
eralization, as in metamorphism, as well as melt- Josephs (2005) makes good case for a
ing and recrystallization of the clays and standardization of terminology in the use of
accessories (Herz and Garrison 1998). A com- micromorphological analysis of thin sections.
mon reaction seen in highly fired wares is the Thin sections of ceramics have much in common
formation of mullite (3A12O3 2SiO3) its anteced- with those of sediment and soil. Whereas
ent minerals such as kyanite and sillimanite protocols for the micromorphology description
(cf. preceding section). Other minerals such as of soils and sediments are well established
hedenbergite and fayalite (pyroxene and iron- (Goldberg 1995; Courty et al. 1990; Kooistra
rich olivine, respectively) form as well, given and Kooistra 2003), the same cannot be said for
the appropriate clay matrix. All of these crystal micromorphological studies of ceramics (supra;
minerals are readily identified by their optical Courty and Roux 1995).
properties—kyanite, in particular, with its rich In ceramic studies of archaeological interest,
blue birefringence as well as the bright greens rocks and minerals continue to play an often
of the pyroxene. decisive role in questions regarding ceramic
In certain ceramics such as faience and technology, provenance, trade, and linkages to
porcelains, the effects of firing are defining belief systems; gender relations and power; as
elements in the identification of these varieties. well as art and aesthetics in the past cultures. In
7.8 Chemical Analysis 201
the next chapter, we shall examine instrumental slab to slab, or pulled/pinched section to section.
procedures in greater depth, while we close this In coarse-tempered coiled vessels, clustering can
chapter with a continuation of our discussion of also result from the rolling out of their coils.
radiographic and chemical methods. Coarse particles are driven to the centers of
coils (Carr, supra). Braun (1982) is more cau-
tionary stating that tempering inclusions of
7.7 X-Ray Radiography crushed sherds or simply crushed fired clay, for
example, may be no more or less radiographi-
Hidden features that can be detected radiograph- cally dense than the surrounding matrix. Radio-
ically include coils, slabs, their size, morphology, graphic experimental trial was unable to detect
methods of joining; the material type, approxi- crushed shard tempering in Woodland Period
mate mineralogy, size, density, and orientation of pottery from the south-central Illinois. Nonethe-
aplastic inclusions or voids; fracture systems; less, where tempering raw materials do not
paste texture; and hidden vessel parts. Under impose limitations, the use of radiographic
certain conditions, these features can be used to methods for analyzing temper appears both fea-
sort shards by their vessels of origin, to identify sible and, for several large areas of research,
the primary and secondary methods of vessel highly desirable (Braun, supra).
manufacture (Carr 1990). As Carr notes (supra), Computed tomography (CT) and computed
X-radiography had been used occasionally by radiography (CR)—digital X-ray methods—
archaeologists to study ceramics since at least have rapidly joined the earlier conventional
the 1930s. Titterington (1935), Digby (1948), X-ray methods of years past (Kim and Liaw
and Shepard (1956) defined a limited set of 1998; Casali 2006). In a study of Late Bronze
tasks to which radiography is applicable. They Age cremation urns, Harvig et al. (2011) used
focused largely on documenting vessel both CT and CR. CT scanners are common in
manufacturing techniques. Radiographs can be today’s hospitals and are equipped with various
used to reveal the primary and/or secondary for- computer programs allowing rapid image build-
mation procedures by which a vessel was ing and three-dimensional visualization, but the
constructed: pinching, slab building, drawing, software has been developed for medical
coiling, throwing (wheel), and molding/anvil, purposes. Harvig et al. (2011) utilized a program
for example. This application was first suggested package (MIMICS®, from Materialise®,
by Shepard (1956) and then systematically Belgium (http://www.materialise.be) developed
investigated by Rye (1977). at the Laboratory of Biological Anthropology in
Radiographs of a vessel can allow one to Copenhagen. After importing the CT scanner
determine the volumetric density, size distribu- data file, the single-slice images were accessible
tion, shape, material type, and general mineral- and the program allowed immediate multiplanar
ogy of temper inclusions. The material type or reformatting and editing of single-image
general mineralogy of temper inclusions can be elements.
inferred from their relative grey levels on a radio-
graph supplemented with size and shape infor-
mation. This temper mineralogy is usually
further deduced using other X-ray analytical 7.8 Chemical Analysis
methods such as XRF and SEM-EDS or WDS.
Braun (1983) and Carr (1990), for example, After petrographic and optical examination,
have shown that temper volumetric density of a chemical analysis is generally carried out.
vessel can also be estimated more accurately by Much chemical information could have been
radiography. Temper particles can have a clus- obtained using X-ray diffraction (XRD), the ana-
tered rather than a random distribution within the lytical scanning electron microscope
paste of a vessel as a result of poor kneading or (SEM-EDS), and the electron microprobe
pounding. Temper density can vary from coil to (EMPA), and, in many cases, could be enough
202 7 Clay Minerals and Ceramics
1. Some methods can only analyze material This instrumental analysis foreshadows a broader
within a few mm of the surface, such as discussion of the use of these techniques across
SEM and electron microprobe, but give geoarchaeology. While Tite (1999) is on record
exceptional small-scale detail on chemistry that because of the breakdown of clay minerals
and phase changes. during firing, infrared spectroscopy nor X-ray
2. Each method involves a varying degree of diffraction are useful methods to determine the
destructive or nondestructive sample original clay minerals, McReynolds et al. (2008)
preparation. have used X-ray diffraction analysis to examine
3. If samples are to be compared against an local clays from the Piedmont and Coastal Plain
existing database, it is preferable to use a regions of North Carolina in a study exploring
like type of data - XRF, NAA, ICP - for the residential mobility and resource use (Fig. 7.8).
comparative database. The same elements Variability in mineral assemblages, across
measured by NAA and XRF, for example, 42 clay samples, were examined in the context
will show completely different abundances. of region (Piedmont/Sandhills) in order to iden-
4. Chemical analysis by itself generally does not tify potential sources for the prehistoric pottery
resolve what parameter is responsible for found in the Sandhills region (Fig. 7.9). While
which element. This is best done by other clay, as a pottery resource is relatively common
methods where optical control is maintained, across the Carolina landscape, compositional
such as SEM and the electron microprobe. analyses of prehistoric ceramics indicated that a
However, NAA has been used for a relatively relatively fewer number of specific were utilized.
long period, and NAA data bases have been Availability was not necessarily a criterion for
established for ceramic provenance studies. selectability.
ICPS (inductively coupled plasma emission As will be noted in the following chapter on
spectroscopy) is a relatively new technique instrumental techniques, XRD is uniquely capa-
used in archaeology with many advantages ble of detecting structural differences among
over other analytical systems. Suites of clay minerals of unfired samples. As we have
major elements as well as trace elements are seen in the foregoing discussion of effects of
routinely determined with a high degree of firing temperatures—decomposition of existing
precision and at relatively inexpensive cost. minerals and the formation of new phases—
Numerous example studies abound where unfired clays preserve the most mineralogical
examination of thin sections has proven to be a information. XRD retrieves this information in
successful method for discovering provenance the form of diffractograms produced by
7.8 Chemical Analysis 203
monochromatic X-rays bombarding a crystalline 10, and 14 Å. Within the 7 Å group were the
mineral such as clay. The reference variable is kaolins; the 10 Å group, the illite/micas; and in
that of the so-called d-spacing or the interatomic the 14 Å group, the hydroxyl-interlayered
layers or crystallographic planes of the mineral vermiculites/chlorites/smectites. Of these
(cf. Chap. 8). Specific d-spacings identify spe- groups, the 14 Å group clay minerals dominated
cific minerals when compared to reference in the Sandhills samples with several being
materials (Stanjek and Häusler 2004). enriched in the 7 Å kaolin group minerals. The
The Sandhills clay study examined ten clay- Coastal Plain clays, by comparison, were rich in
like minerals grouped within three primary the 14 Å group minerals and poor in the 10 Å
groups based on general d-spacing intervals—7, illite/mica minerals (Fig. 7.10).
204 7 Clay Minerals and Ceramics
Fig. 7.9 Various pottery shards from the Sandhills JMH056, New River Fabric Impressed (flex warp); (g)
regions. Pottery samples from the Kolb site (38 Da75): JMH057,New River Cord Marked; (h) JMH058, Cape
(a) JMH051, Yadkin Fabric Impressed; (b) JMH052, Fear Fabric Impressed; (i) JMH059, Cape Fear Fabric
Yadkin/Hanover Fabric Impressed; (c) JMH053, Impressed; (j) JMH060, Hanover I Fabric Impressed
Yadkin/Hanover Cord Marked; (d) JMH054, New River (Fig. 7.8, p. 28, Herbert and McReynolds 2008)
Cord Marked; (e) JMH055, Yadkin Cord Marked; (f)
and if soil processes caused the formation of of this type of study is Richard Evershed (Heron
secondary calcite. and Evershed 1993). An interesting application
Diagenetic changes during burial are an espe- of residue analysis involved the dating of prehis-
cially serious problem for low-temperature toric steatite vessels from the Piedmont region of
ceramics, that is, those fired about 500–700 C. the southern Appalachians wherein charred
Such pottery is generally very porous allowing residues adhering to the interior surface have
easy access for outside solutions. Dissolution and been used to determine the age of the vessel
neocrystallization will take place: deposition in (Truncer 2004).
pore spaces, replacement of primary minerals by Chemical analysis of food residues is
secondary carbonates, hydrates, oxides, associated with Late Pleistocene pottery, focusing
hydrosilicates (zeolites), and sulfates (gypsum). on one of the best-studied prehistoric ceramic
The initial porosity is due to the manufacturing sequences in the world, the Japanese Jōmon
and firing processes, the chemistry and mineral- (Craig et al. 2013. The results of residue analyses
ogy of the starting material, and the loss of other demonstrate that lipids can be recovered reliably
substances. from charred surface deposits adhering to pottery
dating from about 15,000 to 11,800 cal bp (the
Incipient Jōmon period), the oldest pottery so far
7.8.3 Analysis of Residues investigated, and, that in most cases, these organic
compounds are unequivocally derived from
Analysis of organic materials has been carried processing freshwater and marine organisms.
out to determine reactions that may have taken The most useful surviving organic compounds
place between the food or perfume and the pot in are lipids, which are the constituents of fats, oils,
which it had been stored or cooked. This type of waxes, and resins (Heron and Evershed 1993;
analysis is generally carried out by FTIR (Fourier Tite 1999). Because of hydrophobic properties,
Transform Infrared) Spectroscopy or by similar lipids survive on pottery. The lipids are extracted
specialized means—chromatography—that can in a solvent, and the individual lipids are
identify organic molecules. A leading proponent separated out, using gas chromatography. The
206 7 Clay Minerals and Ceramics
mass associated with each lipid can then be deter- provided a vegetable protein which compensated
mined by mass spectrometry. Identification of the a lack of essential proteins in a predominately
lipids is based on a combination of the retention (75 %) maize-only diet (Lipe, supra).
time in gas chromatography and their mass spec- Beans require(d) longer cooking times than
tra. Alternatively, the pattern of lipids separated does maize. Basketmaker III groups adopted
out from the archaeological pottery vessel by gas ceramic wares as a result. To chemically distin-
chromatography can be compared with the guish food like beans, one can use sterols present
patterns obtained from modern examples of the to distinguish animal products (cholesterol) from
different animal and plant species which the ves- vegetable products (campesterol or sitosterol)
sel could have contained (REF). (Evershed et al.,supra). This example of the
Fatty acids can provide a broad classification need for the adoption of pottery by a culture
into animal fats, dairy products, vegetable oils, or may be a further corroboration of Brown’s
fish oils, but it is not normally possible to identify (1989) contention that the adoption of pottery
the actual animal species from the fatty acids as a container was “a response to conditions in
alone. However, on the basis of the stable carbon which the rising demand for watertight, fire-
isotopic composition of the fatty acids extracted resistant containers is coupled with constraints
from pottery, it has been possible to distinguish in meeting this demand.” Thus, pottery was
between fats from ruminant (i.e., ovine and adopted when existing other forms of containers
bovine) and nonruminant (i.e., porcine) animals failed to meet the increasing demand brought
(Evershed et al. 1997). about by new types of food processing particu-
As mentioned earlier in this chapter, larly that of beans rather than corn/maize.
Diederichs et al. (2013) and Lipe (2015) assert In Fig. 7.11, Reber and Evershed (2004) illus-
the Basketmaker III Period was part of an impor- trate the chromatographic spectrum of lipid resi-
tant cultural shift in the history of the American due of maize from Mississippian ceramics. Much
Southwest, when a new technological package— like the example of maize and beans in the
including cooking with pottery—enabled the Colorado Basketmaker III discoveries, maize,
rapid expansion of Puebloan populations and beans, and squash were the requisite staples of
represents a material culture horizon in the the Mississippian cultural florescence in the cen-
archaeological record. The addition of beans to tral Mississippi Valley and across the late prehis-
the dietary repertoire of this farming society toric American Southeast.
Reber and Evershed (supra) term this food classes of compound. Cholesterol is a lipid bio-
residue approach as “biomarker analysis.” It is marker for meat (Heron and Evershed 1993),
the second approach used to identify the original sitosterol and other plant sterols are lipid
contents of vessels through absorbed organic res- biomarkers for plants (Heron 1989; Evershed
idue analysis. Biomarkers are unique to a single et al. 1992; Evershed 1990). The presence of a
source or group of foods. Lipid biomarkers sur- lipid biomarker allows a more specific identifica-
vive well and are more easily analyzed than other tion of the foods once cooked in a sherd.
Instrumental Analytical Techniques
for Archaeological Geology 8
1. The characterization of the material from analysis determines it is bronze, as to its appro-
which an object was made priate typology, then we must do a quantitative
2. The reconstruction of the technology involved assessment.
in its manufacture Tite (1999) observes that in the early days of
3. The inference of the place of manufacture or provenance studies, using chemical analysis, the
source of raw materials principal techniques were quite different from
4. The changes that have occurred in the object those in use today. For instance, optical emission
during burial or storage spectroscopy (OES) was superseded first by
atomic absorption analysis (AAS) then by induc-
The reader can certainly suggest other impor- tively coupled plasma mass spectroscopy (ICP
tant questions, but these are surely common MS). AAS, itself, has continued to be used in
to most inquiries. Nikischer (1999) has many labs but the rise of ICP MS, particularly;
reminded us that contrary to popular belief, laser ablation (LA) ICP MS has impacted its
there aren’t any foolproof single (author’s usage as well. Neutron activation (INAA), ICP
emphasis) technological innovations that can MS, and X-ray fluorescence (XRF) along with
produce an accurate identification every time newer techniques, such as proton-induced X-ray
for every mineral (or material for that matter). emission (PIXE), have found the widest
Frequently, two or more confirming techniques applications (supra).
are needed. “This sentiment is echoed by more
than one compendium on techniques used in the
chemical/mineralogical analysis of archaeolog- 8.2 Analytical Techniques
ical materials (Artioli and Angelini 2011; and Their Pluses (and Minuses)
Ciliberto and Spoto 2000; Garrison 2001; for Archaeology
Glasscock et al. 2007b; Henderson 2000; Tite
1999; Vandiver 2001). Techniques commonly encountered in the study
In the application of analytical techniques to of archaeological materials include:
archaeological materials, one can seek data at (1)
the molecular level and (2) the elemental/isoto- 1. X-ray diffraction spectroscopy (XRD)
pic level in archaeological geology. In archaeo- 2. X-ray fluorescence (XRF) spectroscopy
logical geology where this would be illustrated 3. Electron microprobe/analytical scanning elec-
by either examining a lithic (marble) sample as to tron microscopy (EMPA/SEM)
its mineralogical (molecular) form, such as cal- 4. Atomic absorption spectroscopy (AAS)
cite (CaCO3), or assessing the metallurgy of an 5. Inductively coupled plasma emission spec-
early Bronze Age axe wherein the presence or troscopy/mass spectroscopy (ICP-ES/MS)
absence of the alloying metallic element tin 6. Mass spectroscopy (MS)
(Sn) is critical to its classification, both typologi- 7. Neutron activation analysis (NAA/INAA)
cally and chronologically. Likewise, a second 8. Infrared and Raman spectroscopy (IR/FTIR/
important distinction can be made in the analysis Raman)
of materials—that of (a) qualitative or
(b) quantitative. The former simply answers the European laboratories commonly use emis-
question, posed in our axe example, “what sion spectroscopy, atomic absorption spectros-
kind?” A quantitative study asks a second level copy, X-ray fluorescence and diffraction
of question—“how much?” Returning to the axe, spectroscopy, and neutron activation (Collon
if all we want to know is whether the artifact is a and Wiescher 2012). Additionally, ion probes
copper axe or a later bronze type, then a qualita- (PIXE; SHRIMP) and types of mass spectros-
tive study is appropriate to the question. But, if copy are commonly found. North and, to a some-
we desire to classify the axe, assuming our what lesser degree, South American laboratories
8.2 Analytical Techniques and Their Pluses (and Minuses) for Archaeology 211
mimic that of the Old World in the diversity of sensitive method for the quantitative study of
analytical methods regularly used on archaeolog- metals with detection limits down to 1012 g. It
ical materials as do Asian labs, particularly in is not generally used in the detection of
Japan and China. The European Union nonmetals. Newer AAS instruments have had to
(EU) Geochemical Facility at Bristol University expand as to rapid multielement, solid sample
(UK) has a comprehensive suite of modern ana- analyses because of the introduction of ICP or
lytical instruments that are available to member inductively coupled plasma spectroscopy.
European Union states together with 15 non-EU In its original form or in newer hybrid
members in eastern Europe and the Near East. configurations with mass spectrometers and
The instrumentation includes electron micro- lasers, ICP has rapidly challenged AAS with
probe (EMPA), ICP-MS, laser ablation (LA) - regard to the analyzable range of elements as
ICP-MS, XRF, ICP-AES, XRD, Mössbauer well as to quantitative sensitivity. Unlike AAS,
spectroscopy, Raman spectroscopy, Fourier ICP is restricted to the elemental analysis of
transform infrared spectroscopy (FTIR), nuclear materials. By itself, ICP is good for the analysis,
magnetic imaging (NMR), and SEM (with ana- like AAS, for metals. Coupled with mass spec-
lytical EDS). Surface analysis can be done using troscopy, ICP is routinely used for analyses of
Auger electron, secondary ion mass, and X-ray both metals and nonmetals. It has a wide, linear
photoelectron spectrometers. sensitivity range from parts per billion (ppb) to
From the perspectives of (1) molecular versus percent levels.
elemental and (2) qualitative versus quantitative, Mass spectroscopy is used in both qualitative
each technique has strengths and weaknesses. and quantitative studies of molecular, elemental/
The X-ray techniques of XRD and XRF are ionic, and isotopic forms up to very high atomic
good examples of this, XRD being a powerful mass. At the quantitative level, the mass spec-
instrumental technique in the qualitative and trometer is a commonly used tool for the deter-
quantitative determination of the molecular mination of liquid and gas samples and, when
nature of a material. XRF, by contrast, is a rou- combined with lasers, solid samples as well.
tine method for the qualitative study of elements (Instrumental) Neutron activation analysis
with atomic numbers higher than Z ¼ 10, includ- (INAA/NAA) requires either nuclear reactors or
ing both metals and nonmetals. Additionally, it is accelerators. The former are common in most
a very sensitive and reliable method for the quan- developed countries, but the reactors must be
titative study of elements of high atomic weights. lower power, research types rather than the
The electron microprobe/scanning electron more frequently found power generation
microscopic instruments (EMPA/SEM), like reactors. NAA is an extremely sensitive analyti-
that of XRF, have the capabilities of performing cal method that can reach the part per billion
both molecular and elemental analyses as well range (ppb ¼ ng/g), in many materials, with
those that are qualitative and/or quantitative. In ease. It is used for both qualitative and quantita-
terms of surface analysis, the SEM techniques tive elemental analyses.
are highly sensitive to the number of atoms Infrared spectroscopy has been a staple chem-
detected but not their respective percentages ical technique for the qualitative and quantitative
(Robinson 1995). Also, electron spectroscopy is study of organic compounds. It was the first
used only in a semiquantitative way. Newer elec- technique that the author first became acquainted
tron systems such as “analytical SEM” models with in its use on the adsorption of contaminants
have built-in X-ray energy dispersive spectrom- on surfaces. The literature is vast on this particu-
eter (EDS) capabilities that allow them to per- lar technique but its use in archaeological
form qualitative analyses. analyses has not been as extensive as many of
AAS or atomic absorption spectroscopy is not the other techniques we will survey. Newer
used in qualitative analyses except in single ele- variations on IR spectrometers such as the
ment studies. It is, perhaps, the most accurate and Fourier transform (FTIR) designs hold
212 8 Instrumental Analytical Techniques for Archaeological Geology
to K-shell) for copper. By comparison, the unit yielding sharp diffraction lines. If the object has
cell spacing for silica is 1.6 Å. been hammered, drilled, or otherwise worked as
XRD has a long and successful record in min- is typical of early metallurgy, then this will con-
eralogical identification, most notably the clays tribute to the blurring of the diffraction spectrum
and phyllosilicate minerals—smectite (montmo- due to the effects on crystal order. Additionally,
rillonite), illite, halloysite, vermiculite, chlorite, corrosion can be examined in the artifact.
and serpentine. Because of the importance of Recently, XRD, coupled with XRF-EDS, was
ceramics in archaeology, the utility of a spectro- used to analyze pigments from Trajan’s Column
scopic technique which identifies and quantifies (Del Monte et al. 1998). In that study, the
respective clay varieties should be readily appar- researchers isolated hematite and minium (HgS)
ent. In XRD, the angle, φ, of the diffracted X-ray or cinnabar that had been applied over an
radiation is different for the different crystals due underlayer of plaster indicating the ancients’
to the various interatomic distances. The detector use of color for this monument. Pretola (2001)
is swept through 2φ to get our measurement of φ has demonstrated XRD’s potential for determin-
which can yield very good resolution (μg/g- ing varieties of cherts and their possible source
range). XRD is commonly used to study fine- locations. In this study, XRD’s ability to differ-
grained/cryptocrystalline minerals too small to entiate variations in the mineralogy of silicates,
be examined optically. in particular “moganite,” a quartz polymorph
For metallurgical studies, XRD has the capac- much like those of calcium carbonate, e.g., cal-
ity to evaluate the state of an object’s anneal. In cite and aragonite (moganite is not currently
well-annealed metals, there is clear crystal order approved as a formal mineral name (supra)).
8.4 X-ray Fluorescence (XRF) 215
Since this quartz variety cannot be easily porcelain, will be less sensitive to particle size
discerned optically, XRD is the instrumental considerations. Separation of textual classes
method of choice in its study. from ceramics will produce relatively distinct
An interesting aspect of this quartz form is its fractions of the paste or body and, again, in the
diagenetic alteration to quartz over time (>106 a) case of coarser earthenware, the temper. Specific
implying that cherts older than 100 Ma will have techniques for particle size determination were
little or no amount of the polymorph (Heaney discussed in Chap. 3. The reason samples are
1995). This metastability of a mineral is similar separated as textural sizes is that almost all
to that of anhydrite/gypsum and calcite/aragonite XRD study samples are mounted as either a
(cf. Chap. 5). Jercher et al. (1998) have used (a) random powder or (b) oriented aggregate.
“Rietveld” XRD analysis for the study of The powder mount, favored by most labs,
Australian aboriginal ochres. The Rietveld enables one to obtain as many possible diffrac-
method is powerful method of fitting observed tion spacings in the minerals present. Relative
spectra to structural models of specific mineral diffraction intensities from a random powder
phases (Rietveld 1969). XRD, although a power- mount are more nearly proportional to the actual
ful technique, cannot differentiate certain amount of crystals present than those obtained in
minerals from others such as gold and silver. an oriented aggregate.
Additionally, the presence of certain elements
and their oxides, such as those of iron, can cause
nondirectional scattering and increase back- 8.4 X-ray Fluorescence (XRF)
ground interference or scattering. Alumina and
opaline silica can cause these effects as well. Any In X-ray fluorescence (XRF) spectroscopy, the
significant increase in background scattering specimen is bombarded by X-rays from a con-
decreases the sensitivity of the technique for ventional X-ray tube and, in turn, emits a second-
other minerals. ary (fluorescent) spectrum of X-rays whose
Particle size is critical as well. Particles wavelengths are characteristic of the elements
greater than 10 mm in diameter create a reduc- present in the specimen. It is important to enlarge
tion in diffraction intensity as do smaller on the distinction between the wavelength dis-
particles (0.02 mm). Heterogeneous samples persive spectroscopy (WDS) and energy disper-
must be treated carefully because of these size sive spectroscopy (EDS). WDS is the older
effects. Some workers use internal standards to variety of XRF wherein the secondary X-ray’s,
offset nonrandom scattering, self-absorption, and produced by the X-ray rather than by electrons
other problems. One can then examine (primary excitation), characteristic wavelength
diffraction-to-intensity ratios for the sample and is measured. Wavelength dispersive
the standard to obtain mineral composition by spectrometers are better suited to accurate quan-
weight (Whittig and Allardice 1986). The titative analyses. By the use of a diffracting ana-
archaeological geologist must be aware of these lyzer crystal in an accurate circular geometry
effects and the realities of XRD analysis when (Roland’s circle), coupled with exit slits (on the
deciding to proceed with this line of instrumental crystal), only X-rays of a specific wavelength are
inquiry. counted on a proportional counter. The three
Preparation procedures of samples for XRD analyzing crystals commonly used are TAP,
analyses are determined by the nature of the PET, and LIF.
material to be studied. In archaeology, the mate- Using Bragg’s law, the crystals diffract
rial will generally be either a ceramic or a lithic X-rays within the energy range of 0.5–14 keV
material such as flint or marble. If the material is (Takahashi et al. 2014).
a sediment or soil, preparation will be much the EDS is the measurement of the secondary
same as a ceramic particularly if the pottery is X-ray’s energy that is characteristic of a given
earthenware. Finer-grained wares, including element by use of a scintillation detector, either
216 8 Instrumental Analytical Techniques for Archaeological Geology
composed of silicon/lithium (Si/Li) or germa- Mn, Fe, Ni, Cu, Zn, As, Br, Rb, Sr, Zr, and
nium/lithium (Ge-Li). These crystals will fluo- Pb. Sodium and magnesium are not easily done,
resce when struck by secondary X-rays and elements below Z ¼ 20 are somewhat more
generating a signal which is amplified and sent difficult than those just noted. XRF is extremely
to a multichannel analyzer. In general, EDS has a useful for the analysis of both metal and
0.5 % detection limit making it a fast but qualita- nonmetals with Z >12 and has the distinct advan-
tive technique for elements with Z greater than tage over both emission spectroscopy and AAS
5. This detector system experiences a lot of “dead because neither method can directly determine
time” and does not work well for the heavy nonmetals.
elements because their X-rays typically have Scott (2001) has demonstrated the use of XRF
high energies which allow them to pass through in scanning both ceramics and paintings at the
the detector. EDS is a good method for the rapid, Getty Museum. This scanning X-ray
qualitative characterization of a sample to deter- microfluorescence system was used on an Attic
mine the variety of elements present. The SEM lekythos (vase) and a seventeenth-century Dutch
(scanning electron microscope) is optimized to painting measuring five elements on the former
use the EDS spectrum for image formation. and seven elements on the latter. In particular,
XRF can perform in both modes, and it has this system can examine lead white and vermil-
been in WDS that most studies prior to the 1990s ion along with the high Z elements. In the
have been made (Jones 1991). Due to advances instances where SEM-EDS has problems with
in both detector crystals and analytical software, peak overlap such as with Ca Kα (4.04 KeV)
energy dispersive spectroscopy (EDS) has seen a and Sb Lβ (4.38 KeV), the XRF can rapidly
significant increase in its usage because it is measure the calcium, a common mineral pigment
(a) faster than WDS, (b) has detection limits of of “bone black” (supra). For rapid assessment of
0.1 % by weight, and (c) resolves more elements painted surfaces, XRF, UV, and IR together with
with fewer peak overlaps than WDS (Nikischer XRD form an excellent instrumental ensemble.
1999). Guineau and coworkers have examined black
WDS has better detection limits, approaching pigments in paints from prehistoric cave
the parts per million (ppm ¼ μg/g) range, but paintings at Pech Merle (France) (2001). XRD
significant time, compared to EDS, is required analysis of the paint pigments indicated that the
(supra; Potts et al. 1985. In many modern XRF prehistoric artist(s) used the manganese minerals
instrumentals, both capabilities are available. hollandite (BaMn8O16) and romanechite
Much as an EDS system, XRF can be applied to (BaMn9O16(OH)4) mixed with common black.
both powderlike and solid samples. In qualitative More recently, an Orpheus Relief copy made
EDS studies, very little sample preparation is from an Athenian marble was examined by Abbe
required such as those used in the aforemen- (2013) using an ARTAX micro-X-ray fluores-
tioned study of Trajan’s Column (Del Monte, cence spectrometer (abbreviated micro-XRF)
supra). Rock can be placed in the XRF sample which was recently used to examine painted and
holder, up to reasonable sizes; soils and unpainted areas on the Orpheus Relief (Fig. 8.2).
sediments can be simply poured into Teflon The ARTAX is a semiportable open-beam XRF
cups and placed in the spectrometer; and ground machine used for nondestructive elemental analy-
ceramic material can be spread on Mylar tape sis of surfaces. The instrument has a built-in cam-
and scanned by the XRF. Some commercial era that allows the analyst to view and capture an
laboratories grind and press the powder into image of the area that is being analyzed. By under-
disks similar to XRD studies. Others will fuse standing what elements are present in a given area,
the sample into a glass, with a borate flux, that it is possible to identify some types of paints that
forms a disk at 950 C (Jones 1991). would have used to decorate the relief. For exam-
The detection of several elements (over a ple, modern white house paints typically contain
dozen) is readily done by XRF. These include large amounts of the elements titanium and/or zinc
8.5 Is pXRF a Revolution or Just the Latest Development in XRF? 217
to produce the white color. Black paints can be these portable instruments were originally
made from minerals containing iron, manganese, designed for mining and industrial applications
or chromium, from carbon-based materials (“lamp seeking only qualitative results. Most of these
black”), or even from charred bone (“bone black”). instruments, unlike lab/desktop EDXRF, did not
Finally, red and orange paints can contain iron- allow the user to generate their own calibrations;
oxide pigments, lead oxides, cadmium, or even indeed, most relied solely on routines that are
the mineral cinnabar (mercury and sulfur)—just often standardless and could not be modified
to name a few examples. beyond factory settings. The criticisms have had
The results of an XRF analysis comprise what their effect, and many of the manufacturers are
we refer to as a spectrum—the graphical repre- now generating software that allows the user to
sentation of the elements present in the analyzed employ linear calibrations by ratioing peaks/
area: (1) the analysis of an unpainted area on the counts to the Compton scatter and thus eliminate
Orpheus indicating the stone is calcitic marble; the problem of differing sample sizes for lab
(2) a modern paint was dripped onto the sculpture EDXRF instruments.
probably when an exhibit gallery wall was being Given these important shifts in the ability of
repainted sometime during the twentieth century pXRF, it will be possible to take a sensitive
(the high titanium); and (3) an iron red paint was instrument to the field or museum settings and
used to decorate the Orpheus after it was carved. nondestructively analyze at least volcanic rocks
with a similar instrumental precision and accu-
racy of lab XRF instruments. Most of the pXRF
8.5 Is pXRF a Revolution or Just systems now available do not acquire the range
the Latest Development of elements that laboratory systems do (i.e., Na
in XRF? through U), but the mid-Z (i.e., Z ¼ 19–41) sen-
sitivity seems to be very good. There may come a
While portable or pXRF (Fig. 8.3) has both time in the near future when portable systems
become very popular as well as highly criticized, will acquire the typical sodium through uranium
this is to be expected in a discipline that borrows elements that laboratory instruments can today,
much, if not all, of its analytical technology but it is not here yet. Nonetheless, pXRF is likely
(Liritzis and Zacharias 2011; Shackley 2011a, the future of XRF in archaeology (Williams-
b). What seems to be most problematic is that Thorpe et al. 1999).
218 8 Instrumental Analytical Techniques for Archaeological Geology
deeper (>5 μm) by virtue of its high-energy, accuracy in the quantitative results. Using the
colluminated X-ray beam and PIXE the deepest EMPA, researchers have the advantage of
(>15 μm) of all. Research at the Ruhr- (1) quick, quantitative elemental determinations,
Universität, on Roman coins, using both (2) the use of the dispersive nature of X-rays for a
XRF-WDS and EMPA-EDS, illustrates this. The semiquantitative characterization of large suites
surface analysis of these coins typically found a of elements, and (3) the production of secondary,
penetration depth of 3 μm using the latter tech- back-scattered electron (BSE/BEI) images of the
nique, while a penetration of 30 m was achieved sample surface. The back-scattered (secondary)
using XRF-WDS (Klockenkämper et al. 1999). electrons (BSEs) are the result of elastic scatter-
Analysis by electron microprobe (EMPA) and ing of the primary electrons in the EMPA. BSEs
by proton-induced X-ray emission (PIXE) has pass through the atomic electron cloud and
become widely used in elemental analysis of change direction without appreciable energy
both geological and archaeological materials loss. They may travel into the sample or escape
(Reed 1996; Henderson 2000). In electron micro- from the surface in fluxes that are proportional to
probe analysis (EMPA), electrons from a fila- the atomic number (Z ) of the material.
ment are accelerated to about a 30 keV and The higher the atomic number, the smaller the
directed at a specimen and focused to a spot mean free path between scattering events and the
0.001 mm in diameter. When the beam strikes, higher the probability for scattering (Rigler and
the specimen X-rays are produced that are char- Longo 1994). As a result, lower Z elements in a
acteristic of the elements present in the speci- material allow primary electrons to penetrate
men. These X-rays are analyzed by a deeply and reduce the number of BSE. Conversely,
spectrometer as in the XRF technique. In PIXE higher Z elements retard the beam’s electrons and
analysis, the electron is replaced with a proton as emit larger numbers of BSE. This difference in
the incident particle. The technique is based on BSE emission as a function of atomic number
the excitation of the surface atomic electron can, and is used to, map the distribution of different
shells by the particle beam. elements across the surface. Images (BEI) pro-
In theory, both EMPA and PIXE are nonde- duced by BSE have excellent resolution and
structive techniques, but this is only relative to provided the SEM/EMPA observer with surface
the sample size. To acquire the specimen or compositional detail by rastering, in an X-Y pat-
sample may not be nondestructive. EMPA and tern, the beam over the sample.
PIXE samples are small less than a few The analytical SEM combines the superior
millimeters as a rule so as to be able to fit in the imaging capability of electron microscopy with
sample chambers of the analytical devices. semiquantitative chemical analysis using EDS.
EMPA sample chambers, and early PIXE In ceramics and sediments/soils, the SEM can
models, are kept under a vacuum so the particles examine the microstructure of these material-
are not scattered or absorbed by air particles in grain morphology, crystal size and shape, etc.
their paths. As result, small samples are taken Coupled with this imaging capability, the analyt-
from the larger object resulting in some damage ical SEM’s EDS can move, seamlessly, to a
to the object or artifact. Newer PIXE designs semiquantitative analysis of crystalline and
allow the particle beam to be operated in air glassy forms as minerals and slags (Freestone
allowing for analyses to be performed without and Middleton 1987). Studies of Bronze Age
recourse to destruction of the subject object. coinage corrosion products, by SEM-EDS, have
An advantage of either technique is their elucidated mechanisms for the formation of two
capability of analyzing small areas in great detail differing patinations (Robbiola and Fiaud 1992).
and precision. Both EMPA and PIXE can The principal differences, in the analytical SEM
achieve lower levels of elemental detection than and the EMPA, are in accelerating current volt-
XRF—typically ppm levels for the former and % age, higher in the EMPA, and the beam diameter,
levels for the latter—thus achieving good a larger diameter in the EMPA.
220 8 Instrumental Analytical Techniques for Archaeological Geology
The source of electrons used by the SEM or high by comparison. New SEM models can have
EMPA is heated filament just as with the XRD voltage ranges of 40–200 keV. As we have noted
and XRF devices. These electrons are not allowed earlier, the difference between the SEM and the
to strike a metal plate to produce X-rays but are EMPA is that the former is optimized to use the
accelerated by an electron gun much like a televi- EDS spectrum for good images while the EMPA
sion set and, in the case of SEM, are rastered, by is optimized to provide analytical results—e.g.,
the gun, across the sample. The system is under an EMPA beam is focused at 0.1–0.5 μm while
vacuum. For imaging purposes, the backscattered the SEM focuses at 10–1000 nm!
electron (BSE) spectrum is used (Fig. 8.4). The Polished thin sections, such as used in optical
relationship between penetration depth, energy, petrography (cf. Chap. 6), are generally used
and the sample’s atomic number (Z ) is important. with the EMPA, thereby achieving greater preci-
The higher the atomic number, the smaller the sion and accuracy—true quantitative analysis. A
mean free path between electron scattering events SEM optimized for obtaining images, even with
(e.g., 528 Å for Al versus 50 Å for Sn at an the EDS detector present and without the use of
accelerating voltage of 30 keV) and the higher polished thin sections, produces significant sur-
the probability for scattering. Normal voltages for face spectral interference reducing the accuracy
EMPs are 10–15 keV, so this example is quite and precision of the data.
Holton (2012) evaluated the efficacy of found six compositional types within the 24 bells
SEM-EDS and EMPA asking the question if the inferring several prehistoric workshops of a
former was a substitute of EMPA. His conclu- trade-linked Hohokam-Anasazi period in the
sion, much like a similar comparison, later in the Southwestern United States. In addition to the
chapter, between other “competing” analytical southwestern metal, black-and-white ceramics
methods—ICP MS and NAA, pXRF versus have been examined for mineral or organic
XRD, etc. is as follows. pigments used in the paint to determine prove-
In Holton’s evaluation, EMPA, in a nutshell, nance (Collon and Wiescher 2012). PIXE
is superior for the reliable quantification of minor instruments are operated across Europe (Paris,
and major trace elements, particularly when the Florence and Seville) and at US locations like
sample is basically of unknown composition the University of Notre Dame’s Snite Museum of
(supra). Where trace element amounts are less Art (supra).
than 0.1 %, EMPA must be used rather than EDS. Electron Microprobe Analysis—Some
The comparison is really that of WDS Examples (EMPA): The EMPA works by focus-
versus EDS. ing an electron beam at the sample. Before the
PIXE instruments use in comparison to electron beam reaches the sample, it moves
photons (XRF) or electrons (EMPA, SEM) the through a voltage potential. The voltage potential
rather more massive proton (2000 the electron of the machine used was 15 keV. When the
mass). Accelerating these particles to high electron beam reaches the sample, electrons are
voltages allow greater subsurface penetration knocked out of the outer energy levels of the
with very high analytical resolution (ppb range). atoms in the sample. When the electrons are
All these techniques use the characteristic X-rays knocked out, an X-ray is emitted. Each element
for these analytical procedures. PIXE proton has a characteristic X-ray that is emitted, and
beams, like electrons and X-rays, upon collisions these characteristic X-rays are used to identify
with the inner atomic electrons, cause the emis- the elements present in the sample.
sion of electromagnetic radiation, mostly X-rays For the analysis of data, wavelength disper-
(Collon and Wiescher 2012). Besides the X-rays, sive spectroscopy (WDS) was used to analyze
a major component of the energy emitted, by a the two samples. WDS operates with a small
sample, as a result of primary beam interaction fraction of the X-rays that escape from the sam-
with the material, are secondary electrons. The ple. A WDS is tuned to one wavelength and
depth of penetration (up to 50 μm) of the proton, remains stationary and counts the number of
into the typical archaeological material, is com- X-rays of that wavelength that pass it, through
parable with EMPA/EDS instruments the particular analyzer crystal (TAP, PET, LIF)
(Henderson 2000). The most significant differ- during the experimental time. A typical analysis
ence between EMPA and PIXE is the reduced uses four specific wavelengths which can be
X-ray background in PIXE. The higher velocity sampled at once. The one disadvantage of the
of the protons entering the materials produces WDS method is that in order for data to be
less scattering of the incident beam, thereby pro- obtained, there must have some preconceived
ducing an X-ray background up to ten times less idea which elements are present in the sample.
than EMPA, allowing for the detection of The wavelengths of the expected elements then
low-level amounts of certain elements (supra). must be entered into the machine before the
Use of PIXE microprobe is illustrated in a analysis is done. An analysis can be run, but
study of pre-Columbian metallurgy by Palmer only the preset wavelengths, within the energy
et al. (1998) wherein quantitative analyses of range of the analyzer crystal, can be detected.
minor (>100 μg/g or 0.01 %) and trace This means that the sample may contain a large
(<100 μg/g) elements were done on copper amount of a particular element, but if the
bells or “crotals.” Combined with analytical machine is not set to detect that wavelength, it
SEM results from the same artifacts, the study will not show up in the data. For this reason, it is
222 8 Instrumental Analytical Techniques for Archaeological Geology
typical that energy-dispersive spectroscopy porcelains). The Georgia samples were typical
(EDS) is run before WDS because it provides a of mid-to-late-nineteenth-century designs.
record of most of the elements present in the Analysis of the glaze and pigments was done
sample. using a JEOL 8600 Superprobe (EMPA).
The data given by WDS is quantitative, in that Examples of the results for two pottery shards
it gives the relative amounts of each element (Fig. 8.5) are shown in Tables 8.1a and 8.1b.
(or oxide) detected. These relative amounts can These two shards were from the Georgia collec-
be standardized to 100 so that the relative tion. They are undistinguished, but typical
amounts of each can be compared. The WDS examples of these decorated whitewares.
can also provide a backscatter image of the sur- Douglas demonstrates the ease with the EMPA
face of the sample. The backscatter image uses can examine both glaze and pigment minerals as
the electrons that are deflected off of the sample well as acquire quantitative data using both the
in order to make an image. The denser portions EDS and WDS modes typical of EMPA
of the sample would deflect more electrons and instruments. In the blue-printed shard, cobalt
therefore appear darker on the backscatter image. was the pigmenting agent of choice, whereas
Recently, Takahashi et al. (2014) have copper was used to produce the green coloration
described a soft X-ray emission WDS spectrom- of the second shard.
eter (WD-SXES). It is particularly good for the In the study of nineteenth-century Spodeware,
detection and analysis of low-energy X-rays. The Douglas was able detect at change in Spode glaze
spectrometer is a straightforward add-on to any recipes coincident with a change in ownership of
EMPA system. This analyzer was first developed the pottery in 1833. The primary mineralogic
by Terauchi et al. (2001). One potential applica- change was in the lead percentage used in the
tion is the analysis of light elements such as glaze. After 1833, the lead content in the glaze
lithium, carbon, fluorine, silicon, as well as alu- was found to be a third less than pre-1833
minum that can be done using the K-shell X-ray amounts (supra) (see Chap. 10 for a discussion
lines. of the statistical methods utilized). As a tool for
L-shell X-ray lines from important elements determining the general chronologic placement
such as Ti, Cr, Mn, V, and Fe are realizable. This of a Spodeware shard, unmarked as many archae-
addition to EMPA-WDs systems can be useful in ological samples are, a simple EMPA chemical
studying archaeometals (Chap. 9). analysis of the glaze would place the find in the
early or later nineteenth century. In Chap. 10,
Douglas’s use of discriminant function analysis
will complete this discussion of the use of EMPA
8.7 Examples of Chemical Analysis
for characterizing historic Spodewares.
of Nineteenth Century Transfer
In reading Tables 8.1a and 8.1b, it must be
Printed Whitewares
noted that the microprobes like other probe
Using EMPA
techniques are “micro” in nature. This is to say
that the area being analyzed is small—micro-
Douglas (2000) examined the glaze and pigment
scopic—micron sized in terms of the area actu-
mineralogy of a suite of transfer printed British
ally analyzed by the beam, electron, X-ray, etc.
whitewares. The largest number of pottery
Glasscock et al. (2007) even characterize laser
samples (18) was provided by the Spode
ablation, inductively coupled plasma mass spec-
Museum Trust. In addition, Douglas analyzed
troscopy (LA-ICP-MS) as “microprobe” in
seven pottery samples excavated in the Savan-
nature.
nah, Georgia (USA), vicinity. All the samples
In “Response to the Market: Dating English
were nineteenth-century materials ranging from
Underglaze Transfer Printed Wares,” Patricia
1815—modern for the Spode samples (see below
Samford (1997) discusses the thematic motif
discussion of eighteenth-century Spode
trends in the designs for these nineteenth-century
8.7 Examples of Chemical Analysis of Nineteenth Century Transfer Printed. . . 223
Fig. 8.5 Left, green transfer printed whiteware shards; right, flow-blue transfer printed whiteware shard (scale bars ¼
1 cm)
porcelains (Owen and Hansen 1996). These longer in wavelength than gamma rays, for
researchers examined British soft-paste example.
porcelains. These wares fall into three categories Atomic spectroscopy is the most widely used
based on end-member composition—“frit” technique for the determination of elements in
porcelains (cf. Chap. 7; Magetti, supra), phos- most materials especially the metallic elements.
phatic porcelains using bone ash recipes, and The most common techniques include (1) flame
magnesium porcelains using talc in the recipe atomic absorption, using the hollow cathode
(Owen and Hansen, supra). Spode (see above) lamp (HCl), (2) graphite furnace AAS, and
successfully used bone ash, kaolinite, and “China (3) inductively coupled plasma/atomic emission
stone” (cf. puten, Chap. 7), and this recipe spectroscopy. Coupled with mass spectrometry,
became the successful “bone china.” In their ICP has become one the most versatile of the
study, like Douglas, Owen and Hansen used the modern atomic spectroscopic techniques becom-
electron microprobe. ing both the atomizing and ionizing device in
these hybrid systems.
The HCl or flame AAS has been the standard
8.8 Atomic Absorption, Inductively unit of small labs. It is, as we have said, an
Coupled Plasma/Atomic efficient and robust instrument for the quantita-
Emission Spectroscopy (AAS, tive study of a single element at a time to rela-
ICP/AES) tively acceptable levels for most metallic
elements of interest (~ μg/g). A drawback of the
Atomic emission spectrometry (AES) relies on flame method is difficulty in determining refrac-
the property of the spectral emission of photons tory elements like boron, tungsten, zirconium, or
specific to an element at a rate and proportion to tantalum because the flame is not hot enough.
the amount of that element and the temperatures The graphite furnace method typically has two
of the flame of a burner/furnace similar to that of orders of magnitude advantage in detection
our AAS example (Fig. 8.6). In AES types of limits but suffers the same problem with refrac-
analysis, the intensity of the selected wavelength tory elements as with the flame method.
is compared to that of some standard. As anyone AAS has a long record in archaeological stud-
who has done the simple flame emission test for ies far too numerous to recount here, but by way
sodium knows, the color (yellow) of the flame is of illustration, a recent study of protohistoric/
directly a result of the wavelength of photons historic Wichita ceramics, in eastern Oklahoma,
emitted by the stimulated sodium atoms. Flame demonstrates the utility of AAS. Singleton
temperature is central to this stimulated emis- et al. (1994) examined eight elements in the
sion. In most AES systems, the physics requires 62 sherd samples from a large American Indian
increased (flame) energy as the wavelength site to examine the heterogeneity in the clays and
(of the element) decreases. Shorter wavelengths the linkage of this variation (or lack of same) to
always correlate with higher energy—X-rays are manufacture/trade practices among the members
of this regional tribal group. The use of AAS was 4. Microwave extraction (EPA 3546): The sam-
made on an economic, as well as a methodologi- ple is sealed in the extraction vessel with the
cal, basis—to wit, less expensive, than say, solvent above its boiling point. It compares in
NAA, and certainly more accessible in terms of speed to EPA 3545 and has a performance
the ubiquity of AAS instruments in most college comparable to the Soxhlet method.
chemistry units. True to its long record of success 5. Ultrasonic extraction (EPA 3550C): The sol-
in archaeological chemistry, this use of AAS, in vent and sample are exposed to ultrasound for
concert with modern multivariate statistical anal- 2–3 min and centrifuged. It does not compare
ysis, discriminated three different locations of well with the Soxhlet method in terms of
manufacture that could reasonably be correlated analyte extraction. Extraction of analytes
with cultural behavior of the groups responsible from paleosol samples is not very thorough.
for the ceramic assemblages.
To achieve the temperatures necessary for The vaporized/atomized sample is injected,
viewing elements with analytical wavelengths with a carrier gas, such as argon, and the particle
below 250 nm spectrometers is beyond the atom experiences ionization as well as excitation.
capacity of chemical flames such as those of Excited atoms emit photons proportional to the
air/nitrous oxide and acetylene (Ure 1991). To atom’s electronic structure and the energy it
achieve these temperatures, radiofrequency experiences. Because of the high temperature in
plasma sources have been developed where the the central plasma flame, high ionic-excitation
plasma flame is produced (induced) by a high- emission occurs. As noted in Chap. 8, Rychner
energy radio source, e.g., “inductively coupled and Kläntschi (1995) have used ICP-AES to
plasma” or ICP. With flame temperatures of good purpose in a comprehensive study of
4000–10,000 K, emission spectra of elements bronzes from the Middle and Late Bronze Ages.
lying below 200 nm are achieved. In 941 spectrometric analyses, the researchers,
LeBlanc (2001) reviews current solid-sample using 11 metallic elements, were able to address
methods approved by the US Environmental Pro- questions of copper technology, typology, and
tection Agency (EPA) that involve acid provenance for these Swiss finds. Linderholm
digestion-extraction for 30 analytes from solid- and Lundberg (1994) utilized ICP-AES in their
phase samples. He discusses five so-called attempt to characterize archaeological soils using
“dilute-and-shoot” methods of sample prepara- 12 elements. ICP is a much faster technique than
tion for AA or ES analytical systems. These are: AAS, being capable of multielement analyses,
whereas AAS is not. To achieve multielement
1. Soxhlet extraction (EPA 3540C): Used for analytical speed while gaining the detection sen-
over 100 years, this technique uses a porous sitivity of graphite furnace AAS, ICP was com-
cellulose thimble with the solvent, below its bined with the mass spectrometer. Before
boiling point, to digest the sample over a discussing the ICP-MS and its variations, we
16–24 h period at four to six cycles per hour. are best served by first discussing mass
2. Automated Soxhlet extraction (EPA 3541: spectroscopy.
This procedure has a higher cycle time—
every 2 h, yielding more samples for analysis.
3. Pressurized fluid extraction (EPA 3545):
8.9 Mass Spectroscopy
Sample cell is loaded with solvent and con-
stant heat and pressure applied. The cell is
Positive ions in an electrical discharge are
flushed with clean solvent and then purged
repelled from the anode toward the cathode as
with nitrogen gas yielding the extract/analyte.
noted by the discoverer of “positive rays,” Sir
This method has the advantage of producing
J.J. Thomson in 1913. Francis W. Aston, in 1919,
samples at a rate of every 10–20 min.
invented the principle of the modern mass
226 8 Instrumental Analytical Techniques for Archaeological Geology
spectrograph where positively charged particles nitrogen, and sulfur. For heavier masses, the
(ions) are placed in a varying electrical potential double-focusing thermal ionization mass spec-
and thus accelerated through the magnetic field trometer (TIMS) is used. These instruments are
(H ). The ions curve according to their respective also termed “gas-source” (carbon/oxygen
masses according to the relation: isotopes) and “solid-source” (strontium) mass
spectrometers.
R ¼ mv=eH Two non-magnet instrument designs com-
where R is the radius of the curvature, m is the monly found in today’s labs are (1) the quadru-
mass of the ion, e the charge, and v is velocity. In pole mass spectrometer and (2) the time-of-flight
gas source instruments, the ions strike targets mass spectrometer. The quadrupole MS uses four
called Faraday cups, and their incidence and electrodes or poles, hence the name, to produce
mass are measured and displayed. Today, soft- an oscillating magnetic field wherein the ion, if
ware allows a rapid display of the masses and the mass and the oscillatory frequency are com-
their amounts such as the important isotopes of patible, will pass through to the detector without
carbon—12C, 13C, and 14C. Isotopes are nuclides any deviation. The quadrupole mass
with differing atomic masses of the same element spectrometers are smaller than the larger mag-
such as the carbon isotopes just mentioned. They netic sector designs and generally cheaper. They
differ in the number of neutrons present in the do have the resolution of the conventional
nucleus while the proton or atomic number, Z, designs but not the accuracy or precision. The
remains the same. time-of-flight designs (TOF-MS) likewise do not
Mass spectroscopy is an analytical technique use large magnets to separate the charged ionic
that provides both qualitative and quantitative particles. The time-of-flight MS separates the
data on the elemental and molecular forms of ions by differences in their velocities after they
inorganic and organic materials. If the material leave the acceleration chamber. This type of
can be readily vaporized then mass spectroscopy mass spectrometer is a configuration more and
can directly detect molecular weights from single more used in geochemical analyses—the SIMS
digit values to those of six figures typical of the or secondary ion mass spectrometer. This instru-
complex organic varieties. As a quantitative tool, ment uses the velocity of the secondary ions,
it can evaluate concentrations at the ppm level. ejected from the surface of a sample, which is
The real value of the mass spectrometer is its indicative of their respective masses, in deter-
ability to resolve particles of differing masses, a mining their arrival times at the detector.
property termed resolution. TOF-SIMS has large mass detection range.
The early mass spectrometers and, indeed, Patel et al. (1998) have used TOF-SIMS in the
most analytical types are based on the separation surface analysis of archaeological obsidian to
of mass by magnetic fields. The modern Nier determine its utility in determining weathering
type of mass spectrometer, developed by Alfred profiles as a substitutive for light microscopic
Nier in 1938, consists of three parts—a source of measurement used in hydration dating. Perhaps,
a positively charged ionic beam, a magnetic ana- most importantly, the SIMS-MS and TOF-MS
lyzer, and an ion collector. By varying the mag- units, in concert with high-resolution TIMS and
netic field or the accelerating voltage, one can SHRIMP (Super High Resolution Ion Micro-
generate a mass spectrum consisting of a series of probe), can rapidly assess the isotopic lead ratios
peaks and valleys where the respective peaks and amounts of uranium and thorium—a “revo-
represent an isotope whose abundance is propor- lution” (Stos Gale 1995) in uranium series dis-
tional to the peak height (and area). A common equilibrium dating. Unfortunately, SHRIMP
variant of this design is the 60 magnetic sector instruments remain somewhat limited in their
mass spectrometer used in stable isotopic studies distribution and it is sometimes difficult to access
of elements such as hydrogen, carbon, oxygen, these facilities as a consequence (Fig. 8.7).
8.9 Mass Spectroscopy 227
Fig. 8.7 Schematic for a modern thermal ionization mass spectrometer (TIMS)
Thermal ion mass spectroscopy or TIMS while not treated in depth here, is a proven and
remains a standard method for the analysis of powerful analytical technique for organic
heavy isotopes such as rubidium (Rb), strontium macromolecules of archaeological provenance
(Sr), and lead (Pb). Skaggs (2007) and Skaggs such as residues on prehistoric vessels and even
et al. (2012) examined Roman lead curse using those purported to be the blood residues of butch-
thermal ionization mass spectrometry (TIMS) ered animals on ancient tools (Malainey
analysis of lead isotopes and EMPA X-ray et al. 1999; Charters et al. 1993; Loy and Hardy
mapping for arsenic, antimony, copper, and sil- 1992). The GC-MS Nier-type systems have the
ver. A total of 96 Roman lead curse tablets from advantage, in resolution, over quadrupole designs
Carthage, Tunisia, were screened with EMPA and, when coupled with a pyrolysis furnace for
and 20 selected for TIMS to determine the ore sample combustion, permit the rapid analysis
sources of the lead used to manufacture the study of samples that can be readily done at well
tablets. EMPA narrowed the sample of curse below microgram levels. The GC has been coupled
tablets to those most likely produced from to the Fourier transform infrared spectrometer
Tunisian ores. Comparing the lead isotope ratios (FTIR) as well. This device provides a rapid
of 12 of the 16 tablets most likely to be made of approach to characterizing complex mixtures. An
Tunisian lead to samples of Tunisian ores interesting avenue of study in regard to the GC-MS
suggests that the Romans were mining lead in systems is the splitting out of carbon and other light
Africa Proconsularis and were not relying solely stable isotopes for later analysis in AMS systems.
on imports (Fig. 8.8). The realization of the last method has been difficult
A new analytical instrument design pairs the given the need for microgram quantities in AMS
Nier-type MS with gas chromatography machines and the much smaller samples typically
(GC) (Robinson 1995). Chromatography analysis, produced in GC studies.
228 8 Instrumental Analytical Techniques for Archaeological Geology
Isotopic analysis of the lighter elements— have demonstrated the mass spectroscopic anal-
hydrogen, carbon, oxygen, and nitrogen—in ysis of carbon, nitrogen, and strontium isotopic
both rock and organic samples is done using a ratios that can differentiate the types of
gas source, magnetic sector mass spectrometer. foodstuffs being consumed by ancient
Because elemental and isotopic differences exist populations—both terrestrial and marine
in food chains of both marine and terrestrial resources. Beyond paleodiet, studies of
organisms, the isotopic analysis of inorganic and paleoclimate have benefited from the evaluation
organic constituents of bone can provide a record of oxygen isotopes in marine foraminifera which
of long-term dietary intake. The isotopes of act as proxies for sea surface temperature
choice in these types of archeological studies are (SST)—the heavier 180 is enriched in colder
carbon and nitrogen. The carbon isotopes of 12 C climates (SST <20 C)—by the preferential
and 13C allow us to evaluate the metabolic paths evaporation of the lighter 16O isotope. Herz
of the two photosynthetic classes of plants—C3 (1987) had basically reinvented the field of mar-
and C4. The C3 plants include all the trees, ble provenance by using carbon and oxygen iso-
shrubs, and grasses from temperate and forested topic ratios in the study of marbles. A student of
environments, while C4 plants are grasses from Herz’s has continued these isotopic studies in a
the subtropics and include maize. Important C3 comprehensive study of the Pentelic quarries of
grasses are the wheats and other cereal grains Athens (Pike 2000).
domesticated in antiquity. C3 plants tend to have
more reduced (or negative) carbon isotopic values
compared to those of the C4 plants, e.g., 26.5 ‰
8.10 Aphrodite? An Example
versus 12.5 ‰ (Van der Merwe 1992).
of Isotopic Analysis Using Mass
Although significantly fractionated in an organ-
Spectroscopy
ism, these isotopic ratios track in relatively pre-
dictable proportions such that an animal or human
The National Gallery of Art (NGA) possesses an
consuming these plant types will exhibit values
Aphrodite whose pedigree is, as is true of most of
that have direct dietary implications.
her sister replicas, shady (Fig. 8.9). According to
Workers like Van der Merwe, Price (1989),
Allison Luchs, Associate Curator of Sculpture,
Sealy and Van der Merwe (1985), and others
when first acquired, the Museum was told that
8.10 Aphrodite? An Example of Isotopic Analysis Using Mass Spectroscopy 229
from 11 ‰ to +1 ‰ for δ18O. Meteoric water the entire mass range of the periodic table with a
around the latitude of the Cyclades is δ18O ~ sensitivity (0.1–0.2 ng/g) comparable to AAS.
32.4 and ocean water is δ18O ~ 29.47 pdb The mass spectrometer becomes the detector for
(Faure 1986). These strongly negative values the ICP (Fig. 8.11). The greatest advantage of the
indicate that any process of weathering in the ICP-MS is that it can be used to analyze both
region should lead to lower δ18O in the patina metals and nonmetals. Kennett et al. (2001) have
of naturally weathered statuary but no great termed the increasing use of the ICP-MS as a “rev-
change in δ13C unless there is also a change in olution in archaeological provenance studies.”
the mineralogy of the patina compared to the A recent variation of the ICP-MS is the Laser
fresh marble interior. Ablation ICP-MS or LA-ICP-MS (analytical ter-
The National Gallery of Art’s Aphrodite had minology is almost as replete with acronyms as
been labeled Hellenistic, as are most of the that for computers!). The laser ablation ICP-MS
Aphrodites scattered in museums worldwide. was first developed in 1985 with several custom-
After testing revealed it was made of Carrara built units operating in 1991. By using a laser
marble (Fig. 8.10), its official attribution was such as the Nd-YAG type, small (~50 μm) abla-
changed from Greek to “possibly” Hellenistic tion pits can be drilled into sample surfaces with
or Roman. the vaporized ions entrained in an argon gas flow
and thence to the quadrupole or magnet-type
MS. The ICP-MS can rapidly assess 70 about
elements at the ppb level (Kennett et al., supra).
8.11 Inductively Coupled Plasma:
The key to the ICP instrument, as we have
Mass Spectroscopy (ICP-MS;
seen, is the RF inductively coupled flame which
LA-ICP-MS)
will ignite nebulized liquid sample, mixed with
argon gas, that has been injected into it
The “marriage” of the ICP to the mass spectrom-
(Fig. 8.12). The torch burns at 8000 C and
eter has produced one of the most versatile ana-
ionizes the sample into a plasma. The ionized
lytical instruments for use on archaeological
gas is injected into the mass spectrometer. In
problems (Speakman and Neff 2005). By combin-
the quadrupole instruments, rapid alteration of
ing the ICP’s high ionic efficiency, almost 100 %
the voltage across the pole rods allows the trans-
for most elements of the periodic table, and low
mission of elements of differing mass/charge
incidence of doubly charged ions (a problem with
ratios. In the magnetic sector instruments, the
other conventional MS), with quadrupole and
plasma ions enter a curved flight tube where
magnetic sector mass spectrometers, the mass
they are separated by their mass/charge ratios.
spectra are relatively simple and elements and
The ion beam can be tightly focused in these
their isotopic ratios can be straightforwardly
instruments allowing discrimination of masses
determined. For example, a 20 ms scan covers
8.11 Inductively Coupled Plasma: Mass Spectroscopy (ICP-MS; LA-ICP-MS) 231
as close as 0.0001 atomic mass units (amu) Glasscock et al. (2007) raise the question of
(supra). Laser ablation ICP-MS has been used LA-ICP-MS being the answer to in situ bulk
in the characterization of Egyptian basalt analysis of ceramics and their answer is “no.”
quarries by Greenough et al. (1999) together They correctly point out that laser ablation is
with the elemental analysis of clays of Egyptian basically a microprobe analytical procedure.
ceramics (Mallory-Greenough et al. 1998a, b) as Because of the heterogeneity of pastes (and
well as other materials (Gratuze et al. 1993). An clays, in general), sampling becomes a real
attractive feature of the laser ablation issue when attempting to characterize a ceramic
instruments is their relative nondestructive vessel (supra). LA-ICP-MS does show real
nature, providing one can get the sample beneath promise in the analysis of pigments and glazes.
the laser. In most cases, this is possible. Com- Additionally, it has yet to be demonstrated that
pared to the nebulized or otherwise digested LA-ICP-MS data has long-term replicability to
samples, the artifact remains relatively undam- generate large compositional data sets together
aged (typical damage pits, etched by the laser, with the issue of interlaboratory comparability of
are only tens of microns in diameter (Jarvis such data sets. LA-ICP-MS does not have the
et al. 1992)). long-term track record (over three decades) for
Fig. 8.12 Schematic of a laser ablation inductively coupled mass spectrometer (LA-ICP-MS) system
a technique like NAA in this regard. Glasscock analytical purposes to measure the con-
et al. (supra) conclude that while the prolifera- centrations of trace elements in both archaeolog-
tion of ICP-MS, in general, has resulted in many ical and geological materials. Neutrons produced
excellent compositional studies (Speakman and by fission of 235U atoms are emitted with high
Neff 2005), NAA remains the best analytical velocities and are called “fast” neutrons. For a
method of choice. controlled reaction, the fast neutrons must be
slowed down because the fission reaction re-
quires other than “fast” neutrons. Slowing down
8.12 Neutron Activation Analysis neutrons requires a “moderator” such as water or
(NAA/INAA) graphite with which the fast neutrons can collide
without being absorbed. Ordinary water typically
Neutron activation can be used to determine serves this purpose in the so-called swimming
either the absolute or the relative quantities of pool reactors.
specific isotopes present in a sample. In practice, Slow neutrons are readily absorbed by the
it is a simple matter to calculate the weight of the nuclei of most of the stable isotopes of the
element being determined in the sample from the elements. The neutron number of the product
relationship: nucleus is increased by 1 compared with the
target nucleus, but Z remains unchanged, so the
Weight of element in sample μg=g product is an isotope of the same element as the
¼ weight of element in standard Cr =Cs target. The product nucleus is left in an excited
state and de-excites by emission of gamma rays.
where Cr is the observed counting rate of the The absorption of a slow neutron by the nucleus
sample, and Cs that of the standard, measured of an atom can be represented by the following
under comparable conditions. equation:
Nuclear reactions caused by neutrons are of
interest in archaeological geology and geochem- 36
istry because such reactions are used for XZA ðn; γ Þ Y Aþ1
Z , for example, C1ðn; γ Þ C1
35
8.12 Neutron Activation Analysis (NAA/INAA) 233
The products of (n,γ) reactions may be either the radioactive material, usually do so with their
stable or unstable. Unstable nuclides produced energy unchanged. Secondly, since gamma rays
by neutron irradiation are radioactive and the are emitted in monoenergetic groups, gamma
product nuclides decay with characteristic half- energies can be used to determine the isotope
lives. As a result of slow-neutron irradiation, a which has emitted them. The half-life of the
sample composed of the stable atoms of a variety nuclide, which emitted the gamma rays, serves
of elements produces several radioactive as an additional check on the radioactive isotope
isotopes of these “activated” elements. This created by neutron bombardment. The gamma
induced activity of a radioactive isotope of an rays are detected and displayed using devices
element in the irradiated sample depends on called gamma-ray spectrometers, which exhibit
many factors, including the concentration of the energies of the detected gamma rays as a
that element in the sample. This is the basis for series of peaks. The spectrum is calibrated by
using neutron activation as an analytical tool. use of an energy-versus-intensity plot made
In routine laboratory practice, neutron activa- with reference to gamma rays of known energy.
tion involves (1) the irradiation of some sample These spectra have a tendency to have relatively
with neutrons to produce radioactive isotopes; sharp peaks, which correspond to gamma ray
(2) the measuring of the radioactive emissions absorption in the detector through the photoelec-
from the irradiated sample; and (3) the identifi- tric effect. These sharp peaks are usually
cation, through the energy, type, and half-life of superimposed on and/or interspersed with rela-
the emissions, of the radioactive isotopes pro- tively broad peaks, which result from scattering
duced. Irradiation of a sample with neutrons is of gamma rays through the Compton Effect.
carried out with one of three types of neutron Few, if any, investigators use the Compton
sources—reactors, accelerators, and radioactive peaks for interpretive work. Most work is done
sources. Neutrons produced in nuclear reactors with the relatively sharp photoelectric peaks,
represent the strongest source of neutrons in the which will be spread along the energy spectrum.
sense of producing the most induced radioactiv- The height of the photoelectric peak, if it is not
ity in the sample. In this case, the sample is superposed on the broad elevated background
directly inserted within the reactor. In the other energy caused by Compton scattering, is directly
two types of neutron sources, very often, the proportional to the intensity of the radioactivity
radioactivity induced, within a sample, may be of the isotope that produces the peak. The photo-
too weak to measure when produced by neutron peak plot can still be used in quantitative analysis
bombardment in ways other than nuclear but is less sensitive because of the presence of
reactors. The least desirable technique for neu- background.
tron irradiation is through the use of radioactive Generally, more than one gamma-ray energy
sources. Radioactive sources such as Califor- spectrum is taken at successive periods of time,
nium do emit neutrons, but others produce which are on the order of the half-life of the
alpha particles that are absorbed by materials radioactive isotopes expected. In successive
wrapped around the source to produce neutrons. spectra, some series of peaks diminish in height
The stronger the neutron source, therefore, the faster than others and in a manner predictable
more isotopes will reach a detectable level of from the half-life of the isotope producing the
radioactivity. The measuring of radioactive particular gamma rays. Good examples of this
emissions from the irradiated sources almost are the isotopes of metallic elements typical of
always involves the detection of the gamma radi- ancient coinage such as silver (Ag) and copper
ation from the sources. There are two reasons (Cu). Typical isotopes of copper are 64Cu and 66
why gamma rays are used. Firstly, of all the Cu, and those of silver are 108Ag and 110mAg. For
radioactive emissions, gamma rays are the least example, silver-108 has a half-life of 2.4 min
influenced by the structure of a material. A siz- while silver-110m’s is 253 days. Their respective
able fraction of the gamma rays, which escape gamma ray energies are 636 KeV (108Ag) and
234 8 Instrumental Analytical Techniques for Archaeological Geology
412 KeV (110mAg). NAA, like ICP, requires very elemental composition of the temper, if suffi-
little of the artifact, mg-level amounts as a rule, ciently specific to a particular group, might then
to do the analysis. In this regard, NAA can be serve as a marker of that group regardless of
considered “nondestructive.” where the clay was obtained.
The digestion and removal of tempering
materials, such as shell, can be done using rela-
8.12.1 Provenance Determination tively weak acids without altering the bulk com-
position of the ceramic clay. If this is done, the
Provenance studies involve characterizing and neutron activation of the clay can address the
locating the natural sources of the raw materials question of the clay source without the interfer-
used to make artifacts of clay, stone, and metals ence of extraneous, non-source minerals
and thus establish the pattern of trade and introduced by the temper. Whatever the specific
exchange (Tite 1992). For ceramics, the use of sample preparation, the application of NAA in
neutron activation analysis began early on with ceramic studies has been legend and immensely
pioneering work done by Edward Sayre and, productive for archaeology. In a recent study of
later, with his colleague Garmon Harbottle, at Mayan ceramics, the authors conclude that
Brookhaven National Laboratory, in the United “Clearly, NAA ‘works’ in differentiating produc-
States (Sayre and Dodson 1957; Harbottle 1976). tion communities that use discrete source areas”
For most elements, the ratios of stable isotope (Arnold et al. 1999). In numerous other preced-
abundances are invariant. The relative ing studies, the same can generally be said of the
abundances of elements found in a particular success of NAA as a technique for the study of
sample are a function of where the sample is archaeological provenance.
found. This makes the identification of prehis-
toric ceramics and trade goods, such as flint and
obsidian, by element composition possible
(Bishop 1992; Glasscock 1992; Hoard 8.13 An Example of Neutron
et al. 1992; Glasscock et al. 1994, 1996; Ambroz Activation Analysis: Coinage
et al. 2001, Descantes et al. 2001). Tykot (1996) and a Celtic Mint: The
asserts that NAA, together with XRF, and Titelberg, Luxembourg
increasingly ICP have proven the most success-
ful in determining sources of obsidian. The Titelberg is a massive flat-topped mountain
Ceramic sourcing involves the definition of of Jurassic limestones and clays, which stands
compositionally homogenous samples of 100 m above the Chiers River’s course in south-
unknown origin (Arnold et al. 1999). The pottery western Luxembourg. Atop this mountain, a tall
of a particular group of people can be traced rampart, up to 9 m high at present, typical of
through the location of the source of clay used oppida, enclosed a 50 ha settlement, most
for the pottery and determination of the trace famous for its Augustan and Imperial Gallo-
elements in that clay. This is at the heart of Roman remains including extensive metallurgi-
what is called “the provenance postulate” which cal evidence of foundries for the production of
assumes groups of homogenous pottery samples, coinage—a mint. The Titelberg is commonly
of unknown origin, represent geographically regarded as being the main oppidum, or fortified
restricted sources (supra). However, inclusion town, of the Treveri.
of temper in the clay before firing might vary Since coins normally attributed to the Treveri
the trace elements characteristic of the clay are found in the pre-mint-foundry levels, at the
deposit itself. Even when inclusion of temper site, obviously these are not the oldest of the
creates a problem in variation of trace elements Treveran mints. The mints themselves provide
of the clay deposits, the temper might itself be affirmation that Allen’s and Nash’s contention
characteristic (cf. Greenough, supra). The that the bulk of bronze Celtic coinage came
8.13 An Example of Neutron Activation Analysis: Coinage and a Celtic Mint: The. . . 235
after the Roman Conquest applies to this part of Floor using neutron activation analysis (NAA)
Gaul (Allen in Nash (ed.) 1980). (Garrison et al. 1977) (Table 8.2).
Ceramic coin molds have long been known as The focus of this study was to assess the
a common find in Iron Age oppida, but rarely has efficacy of NAA as a means of detecting and
the structure in which coinage manufacture took characterizing metals used in the minting pro-
place been identified. One of the few such finds is cess. The mold fragments were the primary
a middle La Tene village cellar in northern items analyzed because of their sheer number in
Champagne at Celles-les-Conde (Aisne), France, relation to the much fewer coins or coin blanks
and may have been the workshop of recovered at the site. Less than a dozen coins
counterfeiters rather than an official mint. Thus, were included in the analysis.
the virtually unique identification of a structure The assay of the coins and molds using NAA
as a Celtic mint north of the Alps gains added demonstrated the method’s efficacy in detection
significance from the fact that a number of mint of metal type using the isotopes of silver, gold,
foundries from different times have been uncov- copper, zinc, and tin (Table 8.4). The challenge
ered, here, making it possible to follow the onset was greater in the case of the molds because of
and development of coinage at the Titelberg. the lack of any obvious macroscopic evidence for
Among the coins recovered are a silver “seated metal. The ten coins were examined, parsed as
person” coin, a Republican Roman coin of six and possibly a seventh being copper based
155–133 BC, and a coin showing a person with with three being silver based. The rubbings of
dressed hair, in the bottommost layer of the 14 mold fragments were divided into one set of
house cellar. six samples taken within the “holes” and a set of
The lowest-lying Gallic coin is the type eight samples from the “sides.” Of those six
depicting confronted wild boars. rubbings taken within the holes, only two
The Dalles House saw the greatest production samples produced evidence of metal—15.0;
of coin flans, to judge from the fact that 16 % of 22.2 μg/g of Ag. No samples from within the
the 1179 coin molds recovered were found in this holes produced evidence for copper. The samples
level. An iron nozzle of a bellows was still in from the mold sides were basically negative with
place at the bronze-smelting pit (Fig. 8.13). The only one sample producing evidence for metal—
Dalles (House) Floor dates to the Early Augustan Cu—in the amount of 10.7 μg/g.
Period of 30 BC-1 AD by both dendrochronology Six scrapings taken from within (4) and with-
and by artifact typology (Rowlett et al. 1982). out (2) the holes produced consistent evidence
The Dalles Floor of the mint foundry measures for metal coinage. Oddly, only noble metals were
somewhat wider than the Foundation House, and detected with absolutely no evidence for copper.
one of its fireplaces lay farther to the north In the four scrapings from within holes, the
(Fig. 8.13). Another fireplace was in the middle Au/Ag ratios and total amounts were largely
of the rather narrow early cellar at the south end consistent with amounts expected for Augustin
of the building. Both fireplaces had clay linings Period coinage. The highest amounts measured,
as did an outside fireplace built up of dry stone in Au/Ag ratio amounts, were 172:84.5 and
walling, found much collapsed, which apparently 349:252. The ratios for the other two hole
served as a baking oven at the end of the SE scrapings were 13:6.5 and 18:19.5. The two
comer of the cellar. In any case, this exterior samples of scrapings from the sides of molds
fireplace was virtually devoid of the numerous produced ratios of only 3.7:5.8 and 3.9:6.2.
fragments of slag and metal droplets and coin While scrapings and rubbings produced evidence
molds so common in these buildings and most for the presence of metal, scrapings were, by far,
frequent in the Dalles Floor mint. the more effective means of adequately deter-
The author analyzed several coins and coin mining metal type and amount, yet, even there,
mold fragments (Fig. 8.14) from the Dalles the results are not entirely definitive. A more
236 8 Instrumental Analytical Techniques for Archaeological Geology
Fig. 8.13 Upper, plan of Dalles Floor (green); lower, Dalles Floor (green) in stratigraphic section
8.14 Electron Spin Resonance (ESR) 237
Table 8.2 Isotopes utilized in NAA analysis of coins and Molds from strata Light Brown I and II are
molds from the Titelberg both dated to the Augustin Period. The relatively
Isotope half-life Energy of gamma-ray high Au/Ag ratios are consistent with Roman
Element (t1/2) (keV) coinage of this period. These results were not
Silver (AG) 253 days 412 consistent with a later study of mold fragments
110
Ag from the sites of Villeneuve-St. Germain and
Silver 2.4 m 636 Mont Beuvray (Bibracte) (Chevallier
108
Ag et al. 1993) where X-ray fluorescence was used
Gold (Au) 2.7 days 412
198 to basically do a qualitative “presence-absence”
Au
of coinage metals. The detection limits of that
Copper 5.1 m 1039
(Cu) instrumentation resulted in largely negative
66Cu results demonstrating the need for the use of
Zinc (Zn) 13.7 h 439 more quantitative procedures such as NAA
69m
Zn or ICP.
Zinc 243 days 1115
65
Zn
Tin (Sn) 9.5 m 325
125m
Sn 8.14 Electron Spin Resonance (ESR)
Tin 245 days 55
119m
Sn Stern and Gerlach, in a landmark experiment,
demonstrated that the electron has the property
of spin. As such, it has a component known as the
comprehensive study using many more of the spin angular momentum. The spinning electron
over 1100 mold fragments would surely produce behaves like a small bar magnet or magnetic
a more complete picture of both adequacy of this dipole in that it has a magnetic moment defined
procedure for assessing Gallo-Roman minting as:
technology.
238 8 Instrumental Analytical Techniques for Archaeological Geology
the levels of magnetic field strength, say 100 Hz. To measure magnetic susceptibility, we place
Recalling the basic equation for ESR spectros- the material in the magnetic device—a balance,
copy, the sample will absorb the microwave radi- bridge, or meter. The susceptibility measurement
ation (resonance) at some value of the g-factor. is obtained by measuring the net magnetic
To date, in archaeology, ESR has been moment, I, per unit volume or mass in the applied
increasingly used, in the last two decades, for magnetic field, H. The equation to do this is as
dating purposes (Wagner 1998), whereas in follows:
mainstream chemical analysis, it has been used
I ¼ κH
for studies of the properties of numerous
compounds and materials. In some recent cases, where κ is the susceptibility. For paramagnetic
ESR has been used to evaluate heat treatment of materials, κ is positive. For diamagnetic
flints (Dunnell et al. 1994) and to provenance materials, it is negative; for ferro- and
marbles (Baı̈etto et al. 1999). ferrimagnets, it will be strongly one or the
other. The magnetic susceptibility measure is
dimensionless which means it has no units, it is
8.15 Magnetic Susceptibility simply a number. Except in devices like the
Guoy magnetic balance, the paramagnetic
The impression of a magnetic field on a material response will be ferro- or ferrimagnetic, in either
will induce a magnetic response. The nature of modes – /+.
that response is a direct result of the electronic The induced magnetism of common ferro- or
structure of the material’s constituent atoms. We ferrimagnetic materials is shown in Tables 8.1a
have seen that the source of a paramagnetic and 8.1b. As a general rule, rocks, particularly
response, ESR, is the unpaired orbital electrons igneous ones, are more magnetic than sediments
in the valence (outer) shell of the atom. Diamag- or soils. Rocks can range as high as 101/g to
netic magnetism results from the precession or 1, while sediments are more commonly in the
distortion of electronic orbitals in a magnetic range of 105 to 106/g (cf. Table 9.3).
field. All materials are diamagnetic (Verhoogen Magnetic susceptibility measurement devices
1969). Certain crystalline materials have an are the simplest of all magnetic instrumentation.
overlaps of the electronic orbitals of their constit- The measurement of magnetic susceptibility, for
uent atoms. This “coupling” of the orbital mag- the study of chemical species in solution, has a
netic moments results in coupling in either long history. The body of magnetic theory that
parallel or antiparallel directions producing a supports these inquiries is some of the better
strong spontaneous ferromagnetic response such understood principles in recent science. Only
as magnetite. The antiparallel response is found recently have earth scientists—geophysicists
in an antiferromagnetic material. Strong magne- mostly—and some archaeological geologists
tism is observed in ferrimagnetic materials. The have taken an interest in the use of susceptibility
response is qualitatively similar to as an analytical tool. In the latter case, it is
ferromagnetics. The difference between the two because the magnetic susceptibilities of soils
is that the magnetic ions in the ferrimagnetic reflect their parentage (Sharma 1997). Soils
material align more readily in an antiparallel derived from igneous and metamorphic rocks,
direction. The ferrimagnet’s crystalline structure notably those of more mafic character, have
is more complex than the ferromagnet with greater amounts of magnetite and, therefore,
sublattices that create the parallel or antiparallel appreciable magnetic susceptibilities. Soils of a
magnetic response. The overall response, in an highly organic nature, as can be found in archae-
applied magnetic field, is either ferri- or antifer- ological settings, can have elevated amounts
romagnetic depending upon the material. Spinal of maghemite, as can be seen, which is signifi-
and garnet are two ferrimagnetic minerals. cantly stronger than hematite. Because of the
240 8 Instrumental Analytical Techniques for Archaeological Geology
production of both maghemite and the increase in Beginning in 1965, CL became of interest to
remnant magnetization due to fire such as hearths geologists. The hot-cathode CL microscope
and conflagrations (Le Borgne 1960; Mullins consists of a hot tungsten cathode under a vac-
1974), the anthrosol has magnetic variations uum, the accelerating voltage ranges between 2.5
just beginning to be appreciated in archaeolog- and 50 KeV, and current densities are between
ical geology (Marmet et al. 1999). 5 and 10 nA/mm2. A monochromator with a
Tite and Linington (1975) suggested that spectral range of 350–850 nm is fitted between
magnetic susceptibility of anthropogenic the cathode and viewing optics. CL microscopy
sediments and soils could be viewed as a proxy is practiced in two differing procedures:
for past climates. Magnetic susceptibility is hot-cathode CL and low-temperature CL. To
viewed as a result of paleoclimatic controls date, the hot-cathode method has been most
such that when pedogenesis is high, as during used in archaeological geology.
interglacials, so is magnetic susceptibility In archaeological geologic studies, CL has
(Kukla et al. 1988; Ellwood et al. 1994, 1995). made its biggest impact in the provenance studies
Magnetic susceptibility of Swedish soil catenas of white marbles. CL studies have divided white
has shown a close association of susceptibility marbles into three major families based on lumi-
with particle size—alluvium showing low values nescent color. Calcitic white marbles have a
and coarser grained sands and gravels showing dominant orange or blue luminescence, while
higher values (Linderholm 2007). Studies of dolomitic marbles show a red luminescence. By
deep sea sediments have shown a close correla- combining CL with grain size, texture, and, most
tion of magnetic susceptibility to mineralization important, stable isotope analysis, finer
and grain size as well (Maslin 2000; Kennett and distinctions can be obtained between marbles
Baldauf et al. 1994; Bond et al. 1993; Seidov and (Barbin et al. 1991, 1992). The excited mineral,
Maslin 1999). calcite, dolomite, etc., produces different colors
of luminescence that originate from various
impurities in the crystal lattice. The lattice defect
in carbonates, most used for CL, is that of Mn2+,
8.16 Cathodoluminescence zircons with Dysprosium (Dy3) and Europium
Microscopy (CL) (Eu2+); apatites with Mn2+, Dy3+, and Samarium
(Sm3+); and Fluorite Eu2+ and Eu3+ centers.
Cathodoluminescence (CL) is the emission of The orange luminescence family contains
photons in the visible range of the electromag- most of the calcitic marbles from quarries such
netic spectrum after excitation by high-energy as Mount Pentelikon and Thasos in Greece:
electrons in an electron microscope. CL occurs Naxos, Paros, and Pteleos in the Cyclades;
when a valence electron is excited to the conduc- Carrara and Lasa in Italy; and Dokimeion in
tion band in a solid and another conduction band Turkey. Blue luminescing marbles are less easy
electron “falls” into the valence level vacancy to characterize because the cause of the CL col-
with an emission of visible light photo at varying oration is not established. The blue emission is
frequencies (Heard 1996; Barbin et al. 1992; observed in marbles with manganese present in
Ramseyer et al. 1989). It is an effect coincident the calcite at levels below 5 μg/g. Red
with several other forms of stimulated emission luminescing marbles are exclusively dolomitic
such as primary and secondary X-ray emission (greater than 50 % dolomite). Representative
and secondary and backscattered electrons. The marbles include those from Carrara, Italy;
energy difference between the conduction and Marmara, Turkey; and Paros and Naxos, in the
valence levels, only a few eV, determines the Cyclades (see following Table 8.3).
wavelength of the luminescence. CL can be used to characterize surface
The CL emission spectrum typically lies texture and composition of minerals in
within the 200–900 nm range. geologic and ceramic materials. Traditional
8.17 Infrared and Raman Spectroscopy 241
optical microscopes can be fitted with CL stages Picouet et al. (1999) have used CL in the study
such that low-voltage electrons are produced of quartz, feldspar, and calcite grains in pottery as
which can produce CL in materials under exami- potential tool for provenance studies—the sepa-
nation. While useful, it is best to use the broader ration of late Neolithic-early Bronze Age pottery,
range and higher accelerating voltages produced from archaeological sites in western Switzerland
by SEMs for high-resolution and precise CL and eastern France. Akridge and Benoit (2001)
measurements. These devices can readily mea- have examined the CL in chert artifacts from the
sure both color and intensity rapidly and Ozark Mountains of the central United States.
quantitatively. These cherts showed predominately orange CL
Research (Heard 1996; Yacobi 1994) suggests with an occasional blue CL observed. As chert is
that the combination of CL and other forms of principally considered a microquartzite (Gerrard
spectroscopy (BSE, EDS, etc.) can provide impor- 1991), the CL properties are those of quartz. In a
tant information on the composition and unifor- study of geological quartz, Walderhaug and
mity of ceramic materials such as clays, cements, Rykke (2000) suggest that the crystallographic
and silicate glasses that readily luminesce. For orientation of the quartz grains may have a signif-
instance, the temperature of heating or firing can icant effect on observed CL.
be examined by the presence or absence of CL
related to monoclinic phases of oxides such as
CaO. Heating to a degree that eliminates the mono- 8.17 Infrared and Raman
clinic phase removes all CL. Additionally, quartz Spectroscopy
grains, seen in BSE images, of relatively uniform
density, have intensities related to grain growth Single atoms do not emit or absorb infrared radi-
and boundary behavior. Such behavior should be ation (Goffer 1980, 2007). Molecules absorb
related to phase changes in quartz found in infrared frequency radiation in the 2.5–16 μm
ceramics as either temper or as amendments to wavelength range. As a consequence, nearly all
the mineral suite used in the particular ceramic molecular compounds show some degree of
such as porcelains. absorption in the IR part of the electromagnetic
242 8 Instrumental Analytical Techniques for Archaeological Geology
spectrum. It is best used as a qualitative rather analysis, compares well with XRD. Wisseman
than a quantitative technique. et al. (2012) report results accurate to 1–2 %
As such, it is the most widely used spectro- at the 95 % confidence level for oxides in the
scopic method for analysis of organic pipestone such as hematite, for example. They
compounds and mixtures. Double-beam IR, cite these results as more accurate than XRD
NIR (near-infrared), and FTIR (Fourier trans- using good standards (supra). Since many of
form IR) have come to dominate this area of the pipestone sources, but not all, “catlinite,”
spectroscopy, and as a result of the new for instance, were flint claystones, the instrumen-
chemometric computing methods used with tal comparison is probably valid as both
these instruments, the quantitative capabilities techniques give robust spectra for clay minerals.
have increased dramatically. Field-hardened Both NIS and XRD provide high precision within
FTIR units have been deployed at Kebara Cave the same sample (cf. Chap. 10 for a discussion of
in Israel (Weiner et al. 1993). accuracy and precision).
The use of FTIR at the Kebara site illustrates Raman spectroscopy has developed into a
the potential of the use of IR spectroscopy in much-used instrumental technique for archaeo-
archaeology. The researchers were able to detect logical science and cultural heritage studies
the presence/absence of calcium hydroxyapatite (Smith and Clark 2004; Dubessy et al. 2012).
or dahllite—in cave sediments. FTIR was thus As noted, it uses the Raman Effect wherein a
able to map the concentrations of bone and to laser beam (532 nm (green), 488 nm (blue),
discriminate these areas from those of bone dis- 785 nm (IR)) produces nonresonant excitation.
solution, due to diagenesis and areas of partial There is an energy shift (ΔE) between the inci-
bone preservation (supra). As mentioned above, dent and scattered photons which can be used to
in the section on mass spectrometry, FTIR has characterize molecules. Recognizing this effect
been coupled to gas chromatography with poten- won Raman the Nobel Prize in 1930. Typical
tially interesting results for archaeology. outputs of a Raman instrument are, of course,
Shoval and Beck (2005) point to minerals characteristic spectral peaks which can indicate
formed during firing such as sanidine, mullite and chemical bonds in materials. Metals, unfortu-
other the temperature minerals—(cf.Chap. 6) as nately, do not produce Raman spectra due to
“fingerprints” in IR spectra for production their high-order crystalline nature. Peak width is
methods of ceramics. Using FTIR, these authors a measure of crystallinity, whereas peak intensity
identified Si-O/Al-O deformation consistent with indicates orientation and thickness of a crystal.
firing temperatures between 800 and 900 C in For example, however, magmatic materials
Mesoamerican ceramics. Additionally, IR spectra do lend themselves to Raman analysis. In polished
can identify rock and mineralogic inclusions in thin sections, carbonates, apatite, are easily seen as
heterogeneous ceramic samples. Ostrooumov well as silica, plagioclase, and epidote. Combined
(2009) has created a spectra database of more with SEM-EDS as on some instruments (Wall
than 250 different mineral and stone materials et al. (2014), phase mapping and chemical analysis
for use in geoarchaeological studies using IR can be done effectively and quickly.
methods. The major limitations of Raman spectroscopy
Emerson et al. (2013) and Wisseman for mineral, notably metals, identification, as
et al. (2012) have utilized near-infrared spectros- pointed out by Killick (supra) are:
copy (NIS) to examine various “pipestone”
quarries that were sources of stone during the 1. As noted above, some crystals with face-
Hopewell Period (100 BC to AD 300) principally centered cubic (fcc) crystal structure are not
in the midwestern United States. These studies Raman active (i.e., do not produce Raman
build on earlier XRD studies conducted by peaks). These include metallic Al, Ni, Cu,
Gunderson (1987). NIS, as a quantitative instru- Rh, Pd, Ag, Ir, Pt, Au, and Pb and the mineral
mental technique for chemical/mineralogic galena (PbS).
8.18 Instrumental Geochemical Techniques and Their Availability to Archaeology 243
Archaeologists, while more scientifically versed Archaeological science has presented a verita-
than most, can and do share these concerns. For ble cafeteria spread of both geochronological
museum specimens and artifacts that are subject techniques—radiocarbon, uranium series, electron
to repatriation (see the discussion in the last spin resonance (ESR), optical-and-thermolumi-
section of this chapter), NAA is not the method nescence (OSL, TL)—and geochemical methods.
of choice. As archaeological geologists, it is appropriate to
XRF and NAA are remarkably comparable in increase the application of both these dating and
their results for obsidians particularly in the analytical tools in archaeology. In a personal sur-
mid-Z and part of the high-Z region for more vey of brochures and catalogues from commercial
than 17 elements analyzed in common. This analytical laboratories preparatory to this book, I
comparability of analytical results now extends noted offerings of routine assays of 66–70
to ICP-MS and PIXE as well. What this means to elements by ICP-MS and 29 elements by NAA.
the archaeologist is that any laboratory In the XRF of common metallic oxides, 11 were
employing XRF-EDS, XRF-WDS, NAA, PIXE, routinely analyzed by the WDS method. As we
or ICP-MS will provide valid and comparable have seen in the discussion of obsidian, the Uni-
results. To a great degree, Shackley’s versity of California’s Hearst Museum routinely
conclusions concerning the applicability of ana- analyzes 17 elements. Table 8.4 summarizes the
lytical techniques to obsidian studies can be analytical methods and their detection limits. The
extended to the great majority of archaeological latter analytical parameters occur in relatively
materials—either inorganic or organic in nature. higher concentrations (μg/g to %), while trace
When the researcher is not comfortable in elements and rare earth elements (REE) are more
their own knowledge, consultation with either often found μg/g to ng/g concentrations. In the
specialists or commercial laboratories can help. decision on which geochemical protocol to use,
This is not to say competency in assessing the the X-ray and electron probe techniques provide
relative merits of instrumental geochemical relatively inexpensive and quick analyses of the
techniques will not increase. Today it is common higher concentration elemental parameters.
for the field archaeologist to select, collect, and For parameters that occur in lower frequency
submit radiocarbon samples without consultation and concentration, the ICP and particle-based
unless it is to decide whether to choose the con- methods (NAA, PIXE) provide equal analytical
ventional, beta-counting radiocarbon technique, access for archaeological inquiry. Almost any
or the atom-counting AMS method. archaeological material is analyzable ceramic,
It is also not uncommon for more and more lithic, faunal, botanical, sediment, and soil. If
archaeologists to subscribe to or be familiar with the technique requires digestion of the sample
international specialty journals on archaeometry and is, thus, destructive, the compensation is
and archaeological science such as Archaeometry; that relatively small amounts are needed (mg-g
Revue d’archeologie and the Journal of Archaeo- levels). In one study of archaeological sediments
logical Science. Add to this trend the gratifying where we recovered in only a few gram amounts,
addition of more technically oriented articles in it was gratifying to find that only milligram
more traditional archaeological journals such as amounts were needed to assess elemental and
Antiquity, Journal of Field Archaeology, and minerals present. At the end of the study involv-
American Antiquity. Articles on the geochemical ing textural, geochemical, and modest
analysis of English ceramics have recently geochronological analyses, we were left with
expanded the format of the journal Historical some remainder of all our samples. Given the
Archaeology. All of this reportage of instrumental analytical power and precision of conventional
geochemical analysis in publications commonly instrumental geochemical techniques, there are
read by the archaeological community increases few items of archaeological interest that cannot
both knowledge and awareness of their usage on be examined with little or no sacrifice of that
commonly held research questions. material. Where even the destruction of any
8.19 A Closing Quote or Quotes 245
part of an artifact is unthinkable, the nondestruc- the specific analytical case such as that of the
tive whole sample methods—XRF, NAA, small corncob. In that case, the results were (1) a
EMPA/SEM, and LA-ICP-MS—are available. reliable age determination of direct evidence for
Having reported so glowingly to the reader, it early corn horticulture in the American Southeast
is instructive to recall my own frustration with the and (2) the loss of a singular, exhibitable example
loss of a singular piece of early horticulture in the of that early plant domestication.
United States—a small, carbonized corncob—in a
desire to obtain chronological information with
the AMS radiocarbon technique. One of the 8.19 A Closing Quote or Quotes
major “selling” points of AMS is the proportion-
ally small sample needed to calculate an artifact/ Stos-Gale (1995) in her review of isotope archae-
item’s age. While it is true that μg samples can be ology quotes Gunter Faure’s introduction to his
used, most dating laboratories will insist on the 1977 book on isotope geology, and it seems as
sacrifice/digestion of as much of the sample as appropriate in this context as hers: “The time has
possible. Theory and practice are often at odds in come to introduce this subject into the curriculum
246 8 Instrumental Analytical Techniques for Archaeological Geology
in order to prepare geologists in all branches of our Where Stos-Gale specifically speaks of isoto-
science to use this source of information. Although pic studies, David Killick, writing in 2015,
the measurements on which isotope geology is observes, more broadly, “The practice of archae-
based will probably continue to be made by a ology has been utterly transformed over the past
small but expanding number of experts, the inter- 15 years by an infusion of (or greatly improved)
pretation of the data should be shared with scientific methods.” To complete Killick’s state-
geologists who are familiar with the complexity ment, I would simply add “archaeological sci-
of the geological problems.” Stos-Gale suggests ence.” Scientific, instrumental techniques, as
perhaps the time has come to substitute the word described herein, have, indeed, been transforma-
“archaeology” for that of “geology.” tive in the practice of modern archaeology.
Metallic Minerals, Ores, and Metals
9
Fig. 9.1 Central Vinča culture area (left); detail showing early Balkan mines (right)
Asian cultures. The task was not easy as copper The production of copper by the ancients
had a high melting point—1080 C. Experiments required a pyrotechnology that could smelt the
to try and reproduce pure copper metal, using copper-bearing ores such as malachite CuCO3
ores and materials available to early Cu(OH)2, chalcocite Cu2S, and chalcopyrite
metallurgists, have met with mixed results CuFeS2.
(Killick 2014). Perhaps, the use of compounds Notably, first the oxide then sulfide ores
or alloys—copper- antimony, copper-arsenic, or together with other ores such as the fahlerz
copper-tin—creating a eutectic (lowered melting or “gray ores” and arsenates were important
point) was accidently discovered early by these sources for smelting purposes. It is the oxide and
specialists. Without present-day archaeological sulfide ores (cf. Tables 9.2a, 9.2b and 9.1) that
evidence, this is purely conjecture. were demonstrably used first by ancient
Killick (2014) and Notis (2014) both give metallurgists. However, the presumed sequence
excellent reviews of the geochemical and ther- of use—oxides then sulfides and arsenates as well
modynamic barriers that early metallurgists as fahlerz—has been called into question by recent
had to surmount. These chemical and physical research on early smelting sites. Bougarit (2007)
constraints determined, in large part, which has examined slags from 20 early sites, and his
ores and subsequent metals were possible results indicate a contemporaneous exploitation of
given the primitive technology of the oxide and sulfide ores at least five of these. The
Neolithic. following reactions have been suggested for early,
simple hearth/crucible smelting:
The two reactions in the copper smelting of
oxide ores are
9.3 Metallurgy: Copper to Bronze
ðHeatÞ ðCuCO3 CuOH2 ! 2CuO þ CO2 " þ H2 O "
Durman (1988, 1997) distinguishes three major
and then CuO is reduced by carbon monoxide,
steps (and several intermediate stages) in the
development of copper metallurgy. These are ðHeatÞ CuO þ CO Ø > Cu þ CO2
cold hammering, the “lost wax” or “cire perdue”
casting technique, and the metallurgy of arsenic Silicate impurities in the ore react with the
bronze. In light of more recent discoveries, this CuO to form the slag
scenario is overly simplistic. In the following CuO þ SiO2 Ø > ðCuOÞ2 : SiO2
chronologue, a progression that will be
discussed, further, is shown. Iron oxides, intentionally or accidentally, in
co-smelting with the copper ores, increased the
copper yield thusly:
Early Metallurgy: A Chronologue
ðCuOÞ2 * SiO2 þ Fe2 O3 þ 3CO Ø > 2Cu
I. Native metal as stones/nuggets
þ ðFeOÞ2 þ 3CO2
II. Native metal stage (cold hammering cutting,
of copper, gold, silver, meteoric iron) Heat is not enough to extract the metal from the
III. Ore stage (from ore to metal). Smelting of ore—metal minerals plus gangue—the host or
ores, then, alloys invented with composition country rock. As we see in the above reactions,
of the primary factor. (Copper combined carbon monoxide, from charcoal, was necessary
with arsenic (in ores), with tin as additive to reduce the metal. The presence of iron oxides,
producing bronze; antimony and zinc for which often occurred naturally, increased the
brasses; gold and silver naturally or as alloy copper yield (van der Merwe and Avery 1982).
to form electrum in coinage) The carbonate ores presented less of a prob-
IV. Iron stage (processing as primary factor-cast lem to the smelters and were processed in the
iron; wrought iron; steel) simple bowl-shaped hearths or small, open
250 9 Metallic Minerals, Ores, and Metals
Table 9.1 Major mineral processes and deposits by origin (Carr and Herz 1989)
Genesis Process Representative deposits
1. Igneous processes
Intrusive rocks Cooling from magma Construction materials
Magmatic Crystallization or concentration by differentiation Diamonds, nickel, platinum group,
processes of mafic magma at great depth chromite, titanium iron
Hydrothermal Form from felsic, water-rich near surface magma Copper, lead complexes and sulfides, tin,
pegmatites feldspar, beryl
Hydrothermal End stage of magmatic activity, water-rich Clays, porphyry copper, sulfides
alteration solutions
Replacement and Final stage, fills fractures, and replaces original Lead and zinc sulfides, silver lead, gold,
vein deposits minerals tin
Porphyry deposits Disseminations into country rock and borders of Copper, tin, molybdenum
intrusive
Extrusive rocks Low temperature in volcanic rocks Silver, gold, sulfur
Exhalative Submarine volcanogenic, “black smokers” Iron-copper-zinc sulfides
2. Sedimentary processes
Solution transport Precipitates by changing Eh-pH Iron ore, limestone, copper, manganese,
phosphorus
Bacteriogenic Anaerobic sulfur-fixing bacteria organic reduction Sulfur, gypsum, uranium, iron,
manganese, sulfides
Evaporation Evaporation of seawater in enclosed basins, Gypsum, salt
lagoons, etc.
Clastic Weathering and transport of heavy residual Placer deposits, gold, gems, cassiterite
minerals
Residual Weathering in place, residual “lag” minerals Clay, iron
3. Metamorphic processes
Contact Around or near igneous intrusions Graphite, Al silicates, tin, gold-silver, lead
metamorphism
Regional Widespread, associated with orogenesis Slate, marble, serpentine, asbestos,
metamorphism graphite, talc, emery, garnet
crucibles to form small “puddles” of 98–99 % (<3000 kg cm2) than stone or the latter alloy of
pure metal. In low-grade ores (less than 2 % copper—bronze. This tensile strength was
copper), such as those from porphyry, the copper enhanced by hammer working of the tool after
must be concentrated by smelting procedures. In casting.
the Anatolian region, experimentation may have To produce metal from the sulfide ores, early
been as early as the eighth millennium BC. Sites smiths may have resorted to “roasting” also
such as Çayönü and Çatal Hüyük in Anatolia known as “dead-roasting” the sulfide ores to oxi-
are where native copper implements date to the dize them of “impurities” such as arsenic
seventh century BC at the former (Braidwood (As) and antimony (Sb). Cu2S remains as a cal-
et al. 1981) and beads of copper and lead were cine. If the gangue, generally siliceous rock, such
found in Levels VII (ca. 6200–6500 100 BC) as a chalcopyrite (Fig. 9.2), is part of the smelt,
and VIII (ca. 6250 BC) (Mellaart 1966). then it will naturally “flux” the melt. “Matte
By the early sixth millennium, smelting, as we smelting,” was a technique within the
have seen, was used to produce copper tools in capabilities of early metallurgists, and along
the Balkans, and shortly thereafter, assuredly, in with “co-smelting” was described by Agricola
Anatolia, such as knives, sickles, and woodwork- (Hoover 1912; Dibner 1958). Matte smelting of
ing adzes. Copper metal in pure form is quite sulfide ores involved the production of a “matte”
malleable and has decidedly less tensile strength by open hearth or crucible smelting. This matte is
9.3 Metallurgy: Copper to Bronze 251
bronze alloy and casting by use of the last wax copper, but only became a pasty mass of iron and
process (cire perdue). impurities. The production of iron in antiquity
In Grecian antiquity, bronze was utilized in was not a melting operation; it was a reducing
building as fasteners and even for truss in the operation. Too much heat, such as the 1540 C
Pantheon. Beyond these uses, the metal was used necessary to liquefy iron, would in ancient
primarily in weaponry and tool manufacture. furnaces only serve to reoxidize the iron, thereby
Bronze was important from the physical metallur- producing no metal. The object is to reduce
gical standpoint in that the armor of ancient Fe3O4 to metallic FeO.
Greeks probably conferred military advantage in Today, this is accomplished with blast
Battle of Marathon. Persian arrows failed to pene- furnaces, but in the early days, the smiths roasted
trate Greek armor largely because the “dents” the iron ore in a forge called a “pit forge” or later
caused by the arrows were not fractures or a “bloomery forge” (Fig. 9.6). To achieve the
penetrations that could cause serious wounds or required temperature, some form of device was
death. This was in part due to the energy of the needed to create a draft. The first smiths utilized
arrow itself which was reduced by the use of blow pipes illustrated here. The result of this
sinew or tendon bowstrings, which, upon flexure, crude smelting was a pasty mass of iron, slag,
had a lower Young’s Modulus and therefore less and charcoal called a “bloom.” With further
stiff. The toll at Marathon was over 6000 Persians heating and hammering at 1250 C, the bloom
lost compared to 192 Greeks. Archery and could be consolidated into a wrought iron imple-
Young’s Modulus were factors 1700 years later ment. When hammered, the fluid slag and oxides
at Crecy, France, in 1346, where English bows, were squirted out and the iron particles welded
strung with stiffer flax, would impart kinetic together. This slag “gangue” was termed fayalite.
energy to the arrows more efficiently allowing
iron-tipped English arrows to penetrate French
armor. The French iron armor, unlike the Greek
bronze, fractured and the arrows penetrated to kill
thousands of French cavalry and infantry. Blyth
examined this technological effectiveness of
Greek armor against arrows in the Persian War
(490–479 BC) (Blyth 1977).
Seventy percent of iron comes in Fe2O3, the producing “cast” iron. In China, the bloom was
hematite form; Fe3O4 magnetite is a major ore; left in the furnace until it melted. Since the melt-
and siderite, FeCO3, or carbonate ore. Iron ing point of steel falls with increasing carbon
oxides, such as hematite, increase Cu yields. content, if it absorbs over 2 % C, it will then
melt at 1150 C, forming a liquid called “cast
ðCuOÞ2 SiO2 þ Fe2 O3 þ 3CO iron” (Williams 2009). Such high carbon content
Ø > 2 Cu þ ðFeO2 Þ SiO2 þ 3CO2 iron is brittle and impractical for weapon and tool
manufacture as it can be “cast” but not forged.
Magnetite can be “calcined” to Fe2O3 (Fe3O4). Why did iron, then, replace bronze? One the-
Siderite, after being calcined, yields FeO: ory suggests that iron properly carburized (the
addition of carbon) produces an alloy with desir-
FeCO3 Ø > FeO þ CO2 "
able cutting and durability properties. This alloy
By further reduction, at melting, the metallic iron is steel. A carbon content of 0.2–0.3 % gives
remains. steeled iron a strength equal to that of unworked
However, unlike copper reduction, the endo- bronze; raised to 1.2 %, the steeled iron has a
thermic requirement for actual reduction to iron tensile strength of 140,000 psi. If the blacksmith
metal was beyond the technological capabilities then cold hammers the steeled iron, a tensile
of early metallurgists. Fifteen hundred degrees strength of up to 245,000 psi can be obtained—
Celsius was out of reach to early metallurgists more than double that of cold-worked bronze!
except in China and Southwest Asia/India. The In the bloomery furnace, the fuel and ore
“west” or Europe was constrained to a bloomery charge pass down the stack where at 800 C CO
technology which only partially melted the iron reduces the FeO to FeO flakes. With rising tem-
leaving silica impurities in “bloom” ingot that perature (~1200 C), the metal agglomerates and
had to be further refined and hammered by the forms wustite (FeO; iron II) subsequently
smiths. forming a wustite-fayalite slag. This allows the
Bloomery iron was a poor substitute for a iron-silica particles to pass the high temperature,
well-made bronze—with a tensile strength of oxidizing zone above the tuyeres, unscathed
about 40,000 psi compared to the strength of (with high-grade ores, SiO2 must be added to
pure copper at 2250 kg cm2. Hammering brings form the slag). Below the tuyeres, the furnace
the strength of iron to almost 7000 kg cm2. A atmosphere is reducing again. Slag flows to the
bronze with 11 % tin has a tensile strength after bottom of the furnace, being tapped off, where
casting of 4500 kg cm2 and a strength after cold possible, with the bloom forming a layer above
working of 8500 kg cm2. Further, bronze could the bowl (van der Merwe and Avery 1987). The
be melted and cast at temperatures reached by bloom is ready for the forge where it can be
early furnaces. Iron could be cast only after steeled by the introduction of carbon. The carbon
adding as much as 4 % carbon to the bloom was picked up by the iron from the white hot
which in turn caused the cast metal to be charcoal at 1200 C.
extremely brittle. Bronze corroded little, iron Before the introduction of blast furnace, the
rusted properly easily. forced-draft bloomery furnace was the pinnacle
By 2500 BC, an iron industry existed in cen- of early iron-smelting technology. Recently,
tral India and by 1500 BC sites have large heaps archaeology has produced a heretofore unknown
of cinders and slag. Hittites developed iron for furnace type—a wind-driven technology that
weaponry by 1400 BC as well (Souckova- took advantage of monsoon winds of the Indian
Sigelová 2001; Killick 2014) which also attested Ocean. Found on the island of Sri Lanka by Gill
by Egyptian accounts of the in 1274 BC. Cast Juleff, this unique furnace design was found at
iron metallurgy was developed in the Far East as 77 sites on west, windward-facing ridges. The
well as Southwest Asia. By 500 BC, China was front wall of the furnace faced the wind rising
256 9 Metallic Minerals, Ores, and Metals
to the ridge crest with the multiple tuyeres This latter product may be a predecessor to
introducing a strong draft to the ore charge. The the famed but, as Bronson (1986) notes,
genius of this furnace design uses the larger “romanticized and (over) hyped” wootz steels
fraction of the airflow passing over the front of Medieval times. The appearance of this tech-
wall to create a pressure gradient between the nology in the first millennium AD adds to the
tuyeres and the top of the wall thus enhancing preeminence of the Indian subcontinent (includ-
the flow through the bloom14. Juleff reports ing Sri Lanka) in the evolution of iron metallurgy
temperatures of 1500 C concentrated inside the (Forbes 1964; Bronson 1986). The diffusion of
front wall yielding up to 17 kg of bloom and carbon into the iron, within a sealed crucible
high-carbon iron metal per charge. (Fig. 9.7), is temperature dependent—after 9 h
metals. Here, the copper-bronze metallurgy com- underground shafts and tunnels (Fig. 9.8). The
mon elsewhere—Northern Africa, Asia, Europe, second mine, Mbiri, is a single excavation where
and the New World—was not dominant in cen- only about 15.5 m3 of magnetite-rich gneiss was
tral and southern Africa where bloomery iron taken. It is the difference in the ore quality
rose to prominence. This iron metallurgy, like between the two mines that Wenner and Van
its copper counterpart, was small scale and is der Merwe’s study centered on determining
characterized by a simple, relatively uniform why the largest quantity was mined at the site
technology 100. While conducted by iron smiths of poorest ore—Ncherenje.
at small furnaces, the demand for iron in South- The Ncherenje ore was truly low grade, rang-
ern Africa after 1000 AD can be described as ing from only 6.6 to 21.3 wt.% Fe2O3. The Mbiri
universal. The beginning of the second millen- ore averaged 58 % magnetite (Fe2O3). Why
nium AD saw the growth of towns with wide- would the metallurgists focus on the extraction
spread trade in metals. Major sites such as Great and use of such poor ore? Wenner and van der
Zimbabwe and Botswana show significant Merwe determined the answer lay in the indige-
change in the elements of fabrication technology, nous smelting technology available. The geolog-
diversification in the metals mined to include tin ical settings of the mines are described in detail.
and gold, and the trade of cast ingots of copper Nchenenje and Mbiri both lie within a heteroge-
and tin, particularly at Zimbabwe. neous association of Precambrian Age igneous
An example of a study of this African metal and metamorphic rock, termed the Malawi Base-
tradition is illustrative of the role geology has in ment Complex. Much of the bedrock is covered
the archaeology of metallurgy. This study was by an extensive regolith that varies, below the
carried out by David Wenner and Nicholas Van soil, from 1 to 8 m in thickness. Ncherenje
der Merwe on iron mining and smelting in North- contains three basic rock types—gneiss,
ern Malawi. Their research was carried out at two cataclastite, and granite. The Early Iron Age
contrasting, well-preserved Iron Age mines on miners obtained their ores from the soft, highly
the Nyika Plateau of Malawi. The first mine, weathered material in their varied workings
Ncheranje, had around 1600 m3 of ore mined abandoning these as they encountered unweath-
over a linear distance of 3 km from shallow ered rock. Four weathering types defined at
pits, large excavations, and a number of Ncherenje. Analyses of these types indicated
9.5 A Metallurgy for the Common Man: African Iron 259
that the illite replaced feldspar in the quartz feld- Merwe carried out XRF studies reproduced in
spathic zones with kaolinite and fine-grained iron Tables 9.2a and 9.2b. The difference in the iron
oxides forming from the mafic phases. It is in the content is obvious.
highly weathered type 4 rock that the iron oxides Surely the ancient smiths had a practical under-
(and clay) are most abundant (5–20 %). standing of ore quality. This was apparent after
The Mbiri mine occurs within a single homog- further study of the slags produced by the respec-
enous rock unit mapped as cordierite gneiss tive ores in earlier ethnographic studies (Schmidt
although most of the mining activity took place 1978, 1981; Killick 1991; Childs 1991). The
in the regolithic portion. Magnetite veinlets modem smiths of Malawi, using a two-step natu-
(1–2 m wide) occur within this partially weath- ral-draft and forced-draft smelting procedure
ered bedrock. Table 9.2a lists the sample maximized the iron-poor Ncherenje ore’s poten-
descriptions for the Mbiri mine. To corroborate tial in one critical aspect of iron manufacture—
their initial suspicions as to the variety in grade production of slag (SiO2). While rich in iron, the
of the two mines, ores Wenner and van der Mbiri magnetite could not produce fayalitic slag
(Fe2SiO4) due to a lack of silica. Additionally, the
Table 9.2a Whole-rock chemical analyses of samples low-temperature (1200 C) natural draft furnaces
from the Mbiri mine
could not melt the high-grade Mbiri ore. To cir-
14 14 V 15
cumvent this conundrum, the ancient smiths chose
SiO2 15.66 11.37 40.70
the “best” ore for their metallurgy. That ore was
TiO2 4.94 5.07 5.07
the silica-rich, iron-poor Ncherenje stock. The
Al2O3 13.07 10.77 14.92
slag and free iron produced in the first smelt was
FezO3 58.71 64.82 47.48
MnO 0.28 0.85 0.26
followed by a second re-smelting of the fayalite in
MgO 0.40 0.38 0.42 the smaller forced-draft furnace. The product was
CaO 0.00 0.00 0.01 a bloom sufficient to produce the utensils and
Na2O 0.16 0.18 <0.1 tools required by the consumers—farmers and
K2O 2.97 2.62 2.68 herders of Ancient Africa. So common yet so
P2O5 0.14 0.20 0.13 abundant an ore was largely the reason iron met-
H2O- 0.56 0.50 0.57 allurgy spread throughout Africa and elsewhere
LOI 3.52 2.66 4.97 (Fig. 9.9).
Total 100.41 99.42 99.59 In modern-day Tanzania and Malawi, van der
LOI loss on ignition Merwe and Avery (1987) and Killick (1991)
Table 9.2b Whole-rock chemical analyses of samples from the Ncherenie mine
Sample number 1 2 4 8 9 10 11 12 13
SiO2 56.95 37.37 41.07 35.73 51.47 52.46 68.06 48.25 40.94
TiO2 1.38 1.16 2.21 2.29 1.45 1.38 0.66 0.22 1.10
Al2O3 19.73 31.5 30.33 27.37 22.21 20.41 15.27 4.05 28.26
Fe2O3 11.57 15.22 12.91 21.30 11.72 14.11 6.55 35.38 12.87
MnO 0.00 0.08 0.08 0.18 0.32 0.12 0.08 2.41 0.12
MgO 0.56 0.56 0.22 0.26 0.88 0.96 1.18 0.48 3.04
CaO 0.02 0.00 0.00 0.00 0.02 0.02 0.00 0.00 0.00
Na2O 0.12 0.92 0.00 0.00 0.34 0.42 0.26 0.08 1.10
K2O 3.30 5.96 0.18 0.10 4.96 3.06 1.76 0.76 7.00
P2O5 0.10 0.38 0.06 0.3 0.30 0.64 0.24 0.60 0.10
H2O- 0.34 0.06 0.50 0.14 0.58 0.24 1.78 0.08 0.18
LOI 5.84 6.38 12.12 11.57 5.79 6.25 5.74 5.99 5.24
Total 99.93 99.51 100.06 99.66 99.58 99.75 100.30 99.64 99.93
LOI loss on ignition
260 9 Metallic Minerals, Ores, and Metals
describe the production of high-carbon, “steeled” mines, produces 20–30 kg blooms after 5 days
blooms. In Tanzania, the iron process is called (Killick 1991).
Buhaya technology (van der Merwe and Avery,
supra). The process used in Malawi has no par-
ticular name. In the former, long tuyeres (60 cm)
extend into the shaft furnace and a bellows 9.6 Metallic Minerals and Ore
provided forced air to the interior. The air is Genesis
drawn back and forth by the bellows allowing
heated air to reenter allowing high temperatures Carr and Herz (1989) summarize, in Tables 9.2a
of upward to 1800 C. In this hot, reducing envi- and 9.2b, the origins for most metallic minerals.
ronment, the wustite-fayalite slag passed to a bed Bateman, in his earlier synthesis (1950), makes
of wet grass on the furnace bottom. The slag is clear the diversity of geologic sources for metallic
reduced, growing an iron-rich bloom on the fur- minerals and their ores. As Rono (1984) points
nace floor. out, the recognition that metallic mineral deposits
The Malawi smiths use draft furnaces, one tall are concentrated by hydrothermal processes
(>2 m) and the other type only 1.4 or so meters in at seafloor spreading centers together with
height. Traditional Phoka smelters, of northern ore-forming processes such as massive sulfides
Malawi, use a two stage smelting process. Their in volcanogenic rocks on land, was a major conse-
drafts typically do not produce high furnace quence of the plate tectonic revolution (Frankel
temperatures (supra). The first stage of the 2012). Whereas the genetic role of tectonogenesis
Phoka smelting procedure involves a natural was geology’s signal contribution to twentieth-
draft furnace operating at or below 1200 C century science, the association of igneous activ-
which processes the low-grade Ncherenje ore ity with metallic mineral deposits had a long his-
into slag and some free iron metal (Fig. 9.10). tory beginning with the nineteenth-century French
The slag is then re-smelted in a smaller forced- geologists Elie Beaumont and Gabriel Auguste
draft furnace at 1400 C (Fig. 9.10). The iron is Daubrée and the German Theodor Scheerer.
produced from the fayalite. The low-grade iron, Hydrothermal activity first associated with
lateritic, as described in the foregoing on open volcanogenesis then oceanic spreading centers
9.6 Metallic Minerals and Ore Genesis 261
Fig. 9.10 Malawian iron manufacturing, 1982, Chulu, showing large (macroscopic) iron inclusions produced
Malawi; above, left, furnaces prior to firing; above, in by the smaller, forced-draft furnace (Photographs by
operation; above, right, micrograph (1000) showing Nicholas van der Merve)
iron (bright spheres) in bloom matrix; right, bloom
is, today, considered the prima facie reason for fluids or vapors, with a volumetrically lesser
ore-forming processes (Keith et al. 2014). amount by saline liquid condensates. However,
Metals such as copper (Cu), molybdenum these vapors rapidly become dilute at lower
(Mo), gold (Au), tin (Sn), and tungsten (W) in temperatures and pressures, such that they lose
porphyry and related epithermal mineral deposits their capacity to transport metals as chloride
are derived predominantly from the associated complexes. They do retain significant
magmas, via magmatic-hydrothermal fluids concentrations of sulfur species, and given pro-
exsolved upon emplacement into the mid- to pitious geochemical conditions such as pressure,
upper crust (Richards 2011). The bulk of the temperature, and oxygen fugacity of mineral
metal flux into the porphyry environment may solutions—fO2—a primary control over magma
be carried by moderately saline supercritical sulfide which, in turn, accounts for differing
262 9 Metallic Minerals, Ores, and Metals
amounts of copper, gold, and siderophile Porphyry Cu-(Au) deposits are found in associa-
elements in sulfide ore mineralizations (Keith tion with mantle derived arc magmas worldwide,
et al. 2014; Jugo 2009). regardless of crustal type (oceanic or continental)
Operative to hydrothermal settings is Nernst’s or thickness (Kesler 1973). Tin and especially
law—the intermixing of two solutions containing tungsten commonly accompany molybdenum
salts of varying solubility which result in the into porphyry deposits as trace metals and
precipitation of one salt at the expense of the by-products, but they also form a class of
other by the decrease of the one salt’s solubility porphyries on their own, associated with S-type
in the presence of another salt with the same ion. granites in continental orogens (Hart et al. 2005).
The Hercynian tin granites of Europe and the
Ex : Fe CO3 Zn CO3 CaCO3 or Siderite Bolivian and SE Asian tin belts are examples of
Smithsonite Calcite: such deposits, with mineralization occurring in
Likewise, ores may replace other minerals in host skarns and greisens around the granite intrusions
rock by metasomatism. It is associated with meta- (Meinert et al. 2005).
morphism. The hydrothermal fluid solutions— Ore minerals are typically classified as either
either diffusional or infiltrational—act as a sol- hypogene or supergene, which indicates the direc-
vent thereby replacing one mineral with another tion of the fluids involved in their creation—hypo,
without melting, a mass transfer process. from “below” or ascending, and super(ra), from
The underlying concept of metasomatism is the “above” or descending. This mineralization is also
acid-basic interaction of hydrothermal fluids and characterized as “primary” and “secondary.”
their general evolution as they cool through time Bateman (1950) correctly notes confusion arose
from an early alkaline to an acidic stage. This from the use of “secondary” so supergene has
process is termed epigenetic through paragenesis. subsequently been used as the better term. The
Minerals so produced are called metasomes. Troodos massive sulfide complex, on Cyprus,
Skarns (Goldschmidt 1912) are typical of provides an excellent example of ore formation
metasomes and can form flat bodies along the via these two mechanisms. Hutchinson (1965)
metamorphic contacts as veins, pipes, etc. cross- identified deposits with a sulfide content of
ing the carbonate and/or the silicate rocks. 40–99 % with those with the highest copper and
Metasomes form at the contact between a zinc content having the highest sulfide content.
silicate rock (or magmatic melt) and a carbonate The ore bodies were composed primarily of
rock. These rocks consist mainly of Ca-Mg-Fe- pyrites with chalcopyrite, the most prevalent, and
Mn silicates. In the so-called magnesium-rich marcasite, a minor component. Pyrrhotite is absent
skarns, the creation of new, metasomatic facies in Cyprus ores. Sphalerite is found. These were
depends on P-T conditions and chemical activity hypogene deposits but the Troodos ore bodies
that are typified by phlogopite-diopside, phlogo- have been exposed to extensive surface
pite-forsterite, magnetite-forsterite, diopside- weathering thereby permitting supergene forma-
monticellite, and monticellite-brucite as tion of secondary copper sulfides to include
examples of replacement “pairs.” chalcocite, bornite, and covellite along with
In the tectonic setting, of a subduction zone, secondary sulfates. Gold and silver are present
most base and precious metals would be expected at Troodos but in only minor amounts. Killick
to have at least moderate solubilities in the hot, (2014) notes that supergene enrichment results
relatively oxidized, saline aqueous fluids exsolved from the oxidation of pyrite yielding sulfuric
from the downgoing slab. Pb, As, and Sb are acid and ferrous sulfate. The former leaches
strongly mobilized by such fluids. Lead, which is copper from the oxidized hypogene deposits
significantly enriched in the continental crust (and precipitating the copper as chalcocite at the top
crustally derived sediments) relative to the mantle, of the hypogene zone.
is the only metal for which a clear sedimentary An ophiolite is a section of the Earth’s oceanic
source can be inferred in some island arc magmas. crust and the underlying upper mantle that has
9.6 Metallic Minerals and Ore Genesis 263
been uplifted or emplaced to be exposed within As shown in Fig. 9.11, an ophiolite complex
continental crustal rocks. Ophio is Greek for consists of a stratigraphic sequence trending
“snake”; lite means “stone” from the Greek upward from the ultramafic mantle through gab-
lithos. The term ophiolite was originally used bro thence sheeted dikes and pillow basalts all
by Alexandre Brongniart (1813) for an assem- beneath a sedimentary cover. In sequence,
blage of green rocks (serpentine, diabase) in the 1.5 km of basalt overlies roughly 1.5 km of
Alps. Steinmann (1927) later modified its use to diabase dikes which, in turn, overly 4 to 5 km
include serpentine, pillow lava, and chert (aka of gabbro. The gabbro overlies the mantle rock
“Steinmann’s trinity”), again based on their (dunite/peridotite) at its base (Carlson and Miller
occurrences in the Alps. 2005). At Troodos, Hutchinson (1965) identified
With the recognition that ophiolite sequences the bulk of the ore bodies in the upper and lower
being formed at oceanic spreading centers, in pillow lavas.
the late 1950s to early 1960s, these assemblages As mentioned, current thinking has ophiolites
provided structural analogs for oceanic crust and being primarily the result of volcanic activity at
seafloor spreading. It is widely accepted that an intraoceanic subduction zone, and this
ophiolites represent oceanic crust that had been followed by collision of the subduction zone
emplaced on land. Ophiolites have played a with a continental margin. Ophiolites that were
central role in modern plate tectonic theory by emplaced associated with active margin settings
virtue of their creation at intraoceanic subduction range from large accreted thrust sheets to small
zones followed by collision of the subduction slices within accretionary prisms and back-arc
zone with a continental margin. The sheeted basins (Robertson 2006).
dike complex within the Troodos ophiolite, Whichever their origin, the Troodos pyrite
on Cyprus, was recognized by Gass (1968), deposits are some of the best described and oldest
Hutchinson (1965), and others as having mined deposits in the world. In the central Medi-
formed by the intrusion of magma, since no terranean, it has long known that some of the
older wall rocks are preserved within the richest copper deposits in Europe are located in
complex. The Eastern Mediterranean region is the eastern Alps including the Trentino-Alto
characterized by one of the largest concen- Adige/Südtirol region in Italy (Preuschen 1973)
trations of ophiolites anywhere in the world, (Fig. 9.12). The Alpine deposits encompass copper
thereby providing much of the porphyry ores and iron-copper sulfides, fahlores (polymetallic
exploited in antiquity. sulfides), and occasionally galena (Oxburgh
264 9 Metallic Minerals, Ores, and Metals
Fig. 9.12 European metal deposits with central European mines highlighted
1968; Zuffardi 1977; Lutz and Pernicka 2013). deposited mainly where impervious schists over-
Fahlores are important European and Andean lie the more porous limestones/marbles. Mined
ores. Most famous of the central Mediterranean levels are conventionally referred to as the first
ore deposits are those of Laurion (Fig. 9.13). (1) (uppermost) and third (3) (lowest) contacts.
Figure 9.14 illustrates the geologic situation at The illustration (Fig. 9.14) shows how the ancient
Laurion. It is basically an alternation of schist and miner might follow the contact level. Also shown
calcite layers with the argentiferous lead ores are rows of ancient galleries at Thorikos itself,
9.7 Model Studies for the Analysis of Metal in Archaeological Geology 265
Fig. 9.14 Schematic of Laurion’s geology of alternating cerussite (PbCO3). The principal silver ore mineral is
schist and limestone with metal bearing contacts (1–3) silver chloride, cerargyrite (AgCl), and silver sulfide
between them. The ore contacts, 1 and 3, the richest. (Ag2S). The latter is mixed with galena, PbS
Argentite: “silver ore” is associated with the lead ore,
• Illustrate technology and general chronologi- smelting by virtue of iron minerals being able
cal period for the site, e.g., if % high, metal ~ to combine with silica. At Feinan sites like
“early” or % low, metal ~ “late,” well- Timna (Fig. 9.15), copper has been found below
developed metallurgy the slag.
• % of SiO2 fluxed ~ high temperature pro- Whereas evidence for early copper smelting
cesses, “later” metallurgy may be “thin on the ground” by the Iron Age,
• Point to oxidation products that were present notably Iron Age IIB-IIC (ca. 900–500 BC)
smelting sites at Feinan and Khirbet en-Nahas
Henderson (2000) notes that the earliest firm show massive evidence (>100,000 tons of
evidence for a smelting technology comes from slag!) (Rothenberg and Merkel 1995; Hauptmann
the Feinan area (Jordan). Hauptman (1989), et al. 1985; Hauptman z1989; Levy et al. 2014).
Rothenberg and Merkel (1995), Kafafi (2014), In iron slags, the following minerals can be
and Levy et al. (2014) emphasize the importance seen microscopically (after Williams 2009):
of the Feinan to early metallurgy. A full-fledged
smelting technology converted gangue to liquid Ferrite crystals are pure iron, Fe, and appear as
(slag), which was tapped or poled off (cf. earlier irregular white areas. Only the grain
discussion re: matte smelting, etc.). Rothenberg boundaries are actually visible. Vickers hard-
and Merkel (supra) report the presence of bowl- ness is 80–120 HV. Pure iron does not harden
shaped hearths for Chalcolithic copper produc- on quenching.
tion at Timna. Pearlite is a mixture of iron and iron carbide
Henderson reiterates the point that the archae- containing up to 0.8 % C. It has a gray, lamel-
ological evidence for smelting has always been lar appearance. It forms when steels are
“thin on the ground.” If the archaeologist is for- cooled in air after forging. Vickers hardness
tunate to recover the actual metal, then impurities can be up to 250–300 HV. Most steels (hypo-
may provide clues as to smelting. Fayalitic eutectoid, below 0.8 % C) are mixtures of
residues point directly to high temperature ferrite and pearlite.
Martensite forms in quenched steels. It appears partially fused sandy clay; some had large grains
like laths, with some triangular symmetry. of quartz and feldspar and varied from black,
Vickers hardness, depending upon C%, varies brown, yellow brown to gray, or whitish in
from 200 to 800 HV. color. Fayalite, along with wustite, iron oxide,
Bainite also may appear in quenched steels. It was present mineralogically.
appears as a feathery or needlelike material. The slag varied macroscopically in texture
Vickers hardness is 200–400 HV. and/or color from sandy-clay slag, gray dense
Cementite, iron carbide, Fe3C, may be found as slag, to iron oxidized slag. Figure 9.15, a back-
part of pearlite, or as separate areas in a net- scattered electron image, shows a typical slag
work, or even appearing like needles, in texture. Also found were slag droplets, nodules,
hypereutectoid (above 0.8 % C) steels and and hearth bottom slags.
also in cast irons (over 2 % C). The Vickers The plano-convex hearth bottom slag was the
hardness of cast iron can be 400 HV, although most common form. Again, Serneels interpreted
pure cementite is much harder. Cast iron does it as representative of a smithy and not a smelting
not harden on quenching. In annealed cast operation. Estimates of the quantity of iron
irons, the cementite may break down into worked, at the site, were 5000 kg over a period
iron and carbon (graphite). of 10–20 years.
microstructures were unable to determine the car- (supra). WDX microanalysis of another wootz-
bon contents of Viking-age swords. An analysis type Medieval period sword using a CamScan
of supposed Ulfberht swords in the Wallace Col- MX2600 gave a carbon content from point analyses
lection, London, by the United Kingdom’s which varied from 0.59 to 2.33 %. An average of
National Physical Laboratory (NPL) used scan- 15 points gave 1.4 % C, which is in accordance
ning electron microscopy (SEM) to determine the with a wootz-type steel (Williams 2009).
carbon contents of the steel samples provided. The carbon so absorbed into the iron produced
NPL analyzed very small specimens (1 mm in a “wootz” steel which is characterized by its hard-
diameter) from Viking-age swords obtained ness. Such steeled iron could be brittle as well
from various museums in Norway and Finland. (Bronson 1986) but, in general, the Ulfberht-type
NPL results showed that the swords were swords with either all-steel blades, or blades with
made of imperfectly melted steel—consisting of large and hard steel edges, achieved superior
a mixture of iron and carbonaceous materials strength and hardness (Hošek et al. 2012).
heated together to give high-carbon steel The recent analytical results at NPL and
(~1.4 % C). The NPL results match descriptions Cambridge suggest that Vikings had brought cru-
of ancient sword making in Herat (in modern cible steel back to Scandinavia and integrated
Afghanistan) described by ninth century Arab ancient Arab steelmaking methods with their
philosopher and writer Al-Kindi (Bronson own sword smithing. It would confirm, by exten-
1986). Al-Kindi specifically mentions Herat as sion, the existence of an important trade route
well as “Serendib” (modern-day Sri Lanka) as from the Middle East to the Baltic area—down
wootz steel centers (Bronson 1986). Crucible the Volga and across the Caspian Sea to Iran—
processes were in use outside of the subcontinent that was in use until at least the eleventh century.
in Iran and Syria as early as the twelfth century On the Iranian Plateau, as we have seen,
AD and perhaps earlier (Bronson 1986). crucibles were used, as opposed to furnaces, in
Asian steel was, thus, made by the crucible copper production until 3000–2500 BC (Frame
process known as the “wootz process,” which 2009). While this does not imply a direct techno-
involved heating pieces of bloomery iron for logical link in the use of crucibles for a much
hours to days, in sealed crucibles, with a carbon- later wootz steel production of the Middle Ages,
containing material—charcoal or leaves—until it serves to remind us that crucible use had a long
enough carbon had been absorbed to form steel history in SW Asia and India.
Statistics in Archaeological Geology
10
than this. As well as basic concepts, we shall look B” may have five observations. Presence-
at ways used in the examination of large data sets absence data are nominal scaled.
that involve more than two variables—the For ordinal scales, ranking is implicit
so-called multivariate analytical methods. A although the ranks may not be of equal magni-
few, brief examples, from archaeology and mod- tude such as the Moh’s hardness scale
ern DNA studies of early hominids, will be used (cf. Chap. 6). Observations within ordinal classes
to illustrate the techniques or topics under dis- have an order. Grade categories are ordinally
cussion. The reader should take away in this scaled, e.g., A, B, C, D, and F imply rank within
chapter a sense that statistics offer ways to the grade categories of an A! F order. Ranking
solve problems that may not be done otherwise. is relative just as is magnitude.
Most observations, in what is termed
parametric statistics, are interval scaled. Interval
10.2 Descriptive Statistics scale data improves on ordinal data as this scale
has a continuum of integers divided as equal
Descriptive statistics consists of the methods for whole or decimal numbers. Size is scaled along
organizing, and summarizing information is a interval scales as is temperature and dates. Interval
clear and organized way. In contrast, inferential data is arithmetic such as 2 + 2 ¼ 4; 2 1 ¼ 1.
statistics consists of the methods used in drawing Ratio scale data are typified by geometric or
conclusions based on information obtained from progression relationships. For instance, 22 ¼ 4;
a sample of a population (Weiss and Hassett 82 ¼ 4 is ratio scale data. The distinction to be
1993). Inferential statistics is, sometimes, today, noted is that when one converts between interval
referred to as “frequentist statistics”—using scales addition and multiplication is necessary.
measures such as sample size and so-called When one converts between ratio scales (e.g.,
p-values (Flam 2014). Modern statistics is prin- length in centimeters to inches), only multiplica-
cipally that of inferential statistics. We begin our tion is necessary, hence the term ratio. The ratio
discussion with descriptive statistical measures. scale has an absolute difference in observations,
Scales: One area that will not be examined in and it has a natural, non-arbitrary zero point.
any depth is that of nonparametric statistics or Measurements of mass, length, time, velocity,
the techniques used in the evaluation of issues etc. are scaled on a ratio basis.
using ordinal or nominal scaled data. One impor-
tant technique is that of chi-square (χ 2) and that
will be discussed in some detail. Additionally, 10.2.1 Variables
many data sets have non-normal distributions.
These either have to be transformed to normal Mention should be made of the important distinc-
form or dealt with using nonparametric tests such tion between the characteristics of the
as chi-square. With these caveats stated, we observations we collect as data. Characteristics
shall, nonetheless begin the discussion with of the members of a population vary and are
these and other types of scales. termed variables. The two kinds of variables
Scale types include (1) nominal, (2) ordinal, are either (1) continuous or (2) discrete. An anal-
(3) interval, and (4) ratio. The types of scales ogy from human genetics illustrates this differ-
differ on how the observations that make up a ence—the gene(s) for human skin color are
sample relate to one another. The simplest basically continuous—the wide range in human
relationship between observations is that of the skin coloration from white through brown to
nominal scale. The nominal scale accounts only black, while the gene for human eye color, and
for identity such as “type A,” “type B,” etc. That that for blood groups, is relatively discrete, e.g.,
is to say, it is “categorical,” non-ranked data. An blue, brown, or gray/green; A, B, AB, and O.
example would be rock or pottery types. Within The continuous variable may assume any
“type A,” there may be ten observations; “type value within a set range such as fractional
10.2 Descriptive Statistics 273
numbers such as 30.5, 63.4, 73.5, or 75.1. By using the t- and f-tests. These will be discussed
comparison, the discrete variables would take further in the following sections.
on only whole number values such as 30 coins, Even in this world of spreadsheet software and
25 rocks, etc. One normally does not refer to the graphical presentation of data, the need for an
fractional values of coins such as 30.5 “dimes,” extended description of frequency plots exists.
but it is perfectly appropriate to describe height The frequency plot-bar graph, pie chart, etc.
as 30.5 cm or mass as 125.25 g. For populations, shows, in graphical form, how often a particular
the values of variables are parameters; for variable is observed. The variables are discrete in
samples, they are statistics. Measurements on nature. A hidden danger with the ease with which
variables are observations or data. Sets of data software makes the production of these
drawn from a population of variables are presentations is that of appropriateness. Frequency
samples—the business of statistical inquiry. data should be displayed with bar charts, but X-Y
data should be shown using X-Y plots. Data visu-
alization is the first step in data analysis; therefore,
care should be exercised when applying software
10.2.2 Frequency Distributions,
to data. This injunction extends from statistical
the Normal Distribution,
packages included in spreadsheet programs to the
and Dispersion
more sophisticated forms like SPSS.
A plot of a set of continuous variables will
Table 10.1 lists the relation between types of
produce a similar looking graph, but since the
scales and their various statistical measures of
data is continuous, intervals must be chosen
central tendency.
within the continuum. An example is that of a
In this table, we observe that mode and
frequency spectrum such as encountered in a
median are calculated for nominal and ordinal
conductivity meter’s data set. The frequency
data, respectively, but one may use them for
spectrum can be displayed continuously from,
interval and ratio scales as well. In many cases,
say, 300 to 19,000 Hz. Values within this range
they are appropriate measures of central
can be measured and displayed as continuous
tendency. Under the tests of significance,
data. In actuality, most conductivity data is
chi-square examines the dependence between
displayed within set frequency intervals such
characteristics or “types” in a population. How
that only values at specific frequency settings
well they might be associated is contained in the
are plotted such as 300, 3500, 8250, 19,000 Hz,
value of the chi-square statistic—if the calcu-
etc. Counts or values of either discrete or contin-
lated chi-square value exceeds the tabulated
uous data produce histograms.
value, at the predetermined level of significance,
then the parameters are dependent or associated.
Likewise, the interval and ratio scales examine 10.2.3 The Normal Distribution
central tendency—dispersions—and association
is examined by correlation coefficients and A histogram or the frequency observations of
comparisons between sample means are made variables is often confused for the probability
Fig. 10.1 The normal distribution. (a) The area under median all have the same value. The probability p(x) of
the curve is, by definition, 1; (b) the measure of central occurrence of any observed values from 1 to 2 and 8 to
tendency is the mean, which is, again, by definition, zero; 9 (a two-tailed σ is shown in shaded areas). The range of
(c) the curve is perfectly symmetrical about the mean; (d) values in this example is 0–10 with the mean (x) ¼ 5.2;
the standard deviation, along with mean, completely 1.5σ indicates the standard deviations from the mean
defines the normal curve; (e) the mean, mode, and the (Adapted from Waltham 1994, fig. 7.7, p. 119)
distribution. The latter are histograms of the used discrete probability distribution. By its
probability of a variable and not its observed name, it implies that it is used in the study of
frequency. One of the most common probability two variables. It is like the normal distribution,
distributions is the normal distribution. The nor- and the other types have an area of 1. However, a
mal distribution can represent either discrete or mean of zero is singular to the normal distribu-
continuous variables. The great German mathe- tion alone. Other distributions where the mean,
matician, Carl Friedrich Gauss, in the context of mode, and median are not the same and display
determining the frequency of observable stars in skew. This parameter is commonly calculated in
a quadrant of the night sky, developed the basis sediment textural analyses typical of those
for the normal or “Gaussian” probability distri- outlined in Chaps. 4 and 5. The skewness of the
bution. The importance of the normal distribu- grain size or other particulate distribution, e.g.,
tion lies in its central role in statistics. Because it phytoliths, can be instructive. Another way of
introduces probability, it lies within the province thinking of skew is in terms of the symmetry
of inferential statistics. A major assumption of of a distribution. The normal distribution is sym-
normal distribution is that it characterizes the metrical with no skew. Other distributions—
frequency of occurrence of most continuously Poisson, Gumbel, Pearson Type III, etc.—can,
distributed populations such as Gauss’ stars. and typically will, display, nonsymmetrical
The normal distribution is graphically familiar curves. In fact, the Poisson is recognized by its
as the normal or bell-shaped curve (Fig. 10.1). sharp skew to the left axis and hence tells one
Key mathematical properties of the normal curve that the sample population can be described thus.
are: It is the normal distribution that is most com-
The normal distribution is a statistical con- monly assumed to underlie most phenomena.
struct which may or may not apply to any given This is formalized in the Central Limit Theorem.
data set. There are other types of probability The Central Limit Theorem states that the means
distributions of discrete variables that are impor- of samples from a population have a normal
tant to statistics such as the binomial distribution, distribution provided the sample size, n, is large
the Poisson distribution, and the negative bino- enough. Notice that the Central Limit Theorem
mial distribution. The most important of these is does not require the sampled population to be
the binomial distribution. It is the most widely normally distributed. This is important,
10.2 Descriptive Statistics 275
conceptually, as it allows inferential statistical as it may, it is the arithmetic mean that one
tests, such as the t-test, discussed below, to be encounters most often in parametric statistics
used on non-normal data. and this is what we shall discuss now.
10.3 Inference: Hypothesis Testing, of possible outcomes, we can calculate the prob-
Types of Error, ability for a particular outcome or event. If f is
and Sample Size the observed outcomes or events and N is the
total number of possible outcomes or events,
10.3.1 Hypotheses and Testing then the probability P (E) is
PðEÞ ¼ f=N
In the Scientific Method, the approach to evalua-
tion of phenomena is through the use of hypoth- The classic example for this is toss of the coin
esis testing. Statistics—those which we term with the “head or tail” outcomes so that P (E) is
inferential—aid in the evaluation of hypotheses.
A hypothesis is simply a statement that some- 1=2 or 0:5:
thing is true. As such, this statement can be
One notes that since the two possible outcomes,
tested. The null hypothesis is that which is actu-
head or tail, cannot happen at the same time, they
ally tested. An example of this method can be
are termed mutually exclusive. Independent and
illustrated by use of the CL of marbles. We can
mutually exclusive outcomes are sometimes con-
assert “All Carrara marbles show orange CL.” To
fused. They are not the same.
test this “null hypothesis,” we then examine a
Another illustration of rule 1 would be the
sample population of Carrara marbles. If one
presence of seven basalt stone tools in a sample
sample is found not to be orange, then the null
assemblage of 40 tools where P (E) for this
hypothesis is found to be false. A key aspect of
occurrence is 7/40 or 0.175.
scientific methodology is that a hypothesis must
By use of a rule termed complementation, the
be falsifiable. If the null hypothesis is incorrect—
probability of a non-basalt tool (P (not E) is
not necessarily “untrue”—then maybe an “alter-
simply
native” hypothesis is better such as the statement
“MOST Carrara marbles show orange CL.” ðPðnot EÞ ¼ 1 PðEÞ or 1 0:175 ¼ 0:0825
Another way of looking at this is to say that
“there is a high probability that a sample of These rules are central in the calculation of
Carrara marble will show orange CL” and that expected probabilities used to determine the
this mode will be observed in almost all cases. chi-square statistic as we shall see.
This second hypothesis is confirmed. Other fundamental laws of probability are:
quantify uncertainty. By rule (c) above, the mean, and a confidence estimate is a measure of
uncertainty lies between 1 and 0 with an how sure or confident we are that an observed
increased certainty (or concomitant reduction of value will lie within that interval.
our uncertainty) if the value lies closer to one One way of expressing the distance of an
than zero. observational measurement, x, away from the
mean is the Z-statistic or Z-score. The Z-score is
calculated as follows:
10.3.3 Types of Error
Z ¼ ðx 0Þ=σ
In statistical inference, a decision to reject the For example, a 0 ¼ 728 mm and 73 observation,
null hypothesis when it is really true is called a x ¼ 801, we define—as a new statistic—the
Type I error. Likewise, the acceptance of the null standard error of the mean, given by
hypothesis when it is false is called Type II error. pffiffiffiffi
The probability of making a Type I error defines σ 0 ¼ S= N
the significance level or α. The probability of
making a Type II error is denoted as β. To illus- z ¼ 1 means the value of x is exactly 1 standard
trate this, we can suppose that the rejection error from the mean and will occur, in the
region for a hypothesis is at the two standard one-tailed case, 34 % of the time. Here again, it
deviation level or has a probability of 0.9544. If is best to use the parameter, s0, for the sample
our estimate—mean—falls within the rejection distribution’s standard error rather than that of
region and it is really a member of that popula- the population, or instead of N, we choose n 1
tion, then we have a Type I error. Cannon for the denominator and derive the square root.
(2001:186) illustrates this with regard to The standard error of the mean observed from the
zooarchaeological assemblages. In his example, samples was drawn from the sample population.
if one concludes there is a trend in relative abun- To calculate the Z-score, one must use sigma (σ)
dance (of species) in sample assemblages when or the population parameter.
in fact there is not, then this is Type I error. For our example:
Z ¼ ð801 728Þ=73 ¼ 73=73
or z ¼ 1
10.3.4 Confidence Interval
and the Z-Score One can use the Z-score to determine the proba-
bility of finding a specific value in a normally
To use statistics in the tests of hypotheses, we can distributed population. One must use a table of Z-
examine a set of sample values and determine scores to convert to curve area. For Z ¼ 1, this is
their mean and compare that to an expected value self-evident, but for fractional values, a table of
or a hypothesized value. Generally, we have an Z-scores is necessary. I have introduced this tech-
idea of the “population” mean so we can assess nique for inference more to illustrate the concept
our samples against this parameter. Additionally, of standard error than to imply it is commonly
the use of mean implies a range of values for the used. Because the sigma is so rarely known, the
population. Anything outside this range, typi- Z-score is of limited value. Statisticians such as
cally expressed in terms of the standard devia- W.S. Gossett, in 1908, developed the Student’s
tion, is considered in rejection region of the t-distribution and the t-test, which are more com-
population. We name the range of values in our monly used than Z. The t-distribution has a simi-
population as the confidence interval. larity to the normal curve and as sample sizes
The confidence interval, or CI, can be become large enough closely approximates it.
observed or calculated as we shall see in our The t-score, determined by the t-test, differs
discussion of the Student’s t-distribution below. from the Z-score in that the standard deviation of
The CI is simply an interval of numbers about a the population must be estimated. This is not
278 10 Statistics in Archaeological Geology
surprising as most population parameters are not many coins must we examine with microprobe
well known at first if ever. The confidence inter- or PIXE analysis before we can make valid
val, CI, used in the t-distribution is calculated as inferences as to their composition as a group?
follows: How different this can be since by inspection of
formulae like that for the standard error of the
C:I: ¼ 0 þ ðt0:05, n1 Þðs0 Þ
mean has n clearly defined, e.g., Sx ¼ σ==n. If
We can intuitively estimate the age range of an we know the standard error and the standard
archaeological site based on ceramics or we can deviation, then n is immediate. Generally, we
estimate the range in the size of ceramic vessels do not know the parameters for a population we
of a particular phase or period. From that intui- wish to study.
tion, we can then estimate the standard deviation An important element in the discussion of
to a first approximation. After more rigorous how large a sample, n, is necessary for valid
study of a large suite of samples that estimate estimates of population mean follows from
can be refined such that the population’s considerations of the probability of that sample
variability is more correctly known1. estimate being reliable for the population. A
In calculating the t-score, the value is very basic definition of the probability of a mean is:
much dependent on sample size because the stan- Pr ¼ lim Xn =N
dard error is that of the sample, s, where n is now N!1 j
n 1. The calculation is similar to that of the
Z-score. The direct calculation of t is as follows: As the limit approaches some N, the value of Pr
will be equal to 1 (Johnson and Leone 1964). It
t ¼ ð0 μÞ=sx follows from this that as n increases, so will the
probability that the sample mean will approxi-
This score can be compared to tabular values of mate that of the population. This is the Law of
t to examine whether a mean lies within a specific Large Numbers. Another important factor in
confidence interval. For example, if a t-score of choosing sample size is the homogeneity or het-
2.3 is calculated, it exceeds the tabulated t-score erogeneity of the population. Homogeneous
of 1.984 so this mean is unlikely to be within the populations require smaller samples and hetero-
sample population’s range or exceeds the signifi- geneous ones require larger samples. What is the
cance level for the test. difference between two means? If the difference
Another measure of variation one can use, as is large, then the estimate is “crude” and requires
it is expressed as a readily identifiable percent fewer observations. If the difference is a fine one,
value, is the coefficient of variation (CV). It is then n will increase accordingly. There is some
calculated using the standard deviation and the help in the concept of detectable difference as
mean: one does not need to know σ precisely, only the
CV ¼ 100 s=0 ratio between the difference, S, and σ (Sokal and
Rohlf 1981).
Notice that this parameter is unadjusted for the For purposes of discussion, let us examine an
sample size. example using Homo erectus skulls.
Homo erectus samples, how large a sample where z ¼ 1.29 and is determined by our level of
would be required to be 90 % confident that confidence, 0.10. Hence, σ 0 ¼ 11.627 and by
they would average greater than 920 cm3 in formula (10.2), after rearrangement,
cranial capacity?
or n ¼ ð132=11:627Þ2
In this problem, we set the level of probabil- n ¼ 129 skulls
ity, e.g., how probable is our estimate. This done, Having reached this value for n, it is equally
the sample size determines precision and not valid to ask if sample size of 129 H. erectus
population size (Kish 1965). This is echoed by skulls is really realistic given the rarity of fossil
Lazerwitz (1968) in the statement that population remains of this hominid. It probably isn’t.
size has nothing to do with the size of the proba- This determination of sample size assumes σ
bility sample from that population. Certainly, as is known. If σ is not known, then a preliminary
Lazerwitz points out, the relative homogeneity of sample is necessary to estimate this parameter.
the population will influence the sample size. Past surveys can aid in this problem. Kish (1965)
The Central Limit Theorem (see Thomas has suggested that if σ is not known, we
1976) states that if “random samples are repeat- can guess CV, the coefficient of variation,
edly drawn from a population with a finite mean where CV ¼ σ=0: CV is far less variable than
μ and variance σ 2, the sampling distribution hence with an estimate of CV and 0 we can
of the standardized sample means will be “guess-timate” σ.
normally distributed with μ0 ¼ μ and the Another, more common method is suggested
variances σ 2 ¼ σ 2/n. The approximation becomes by Thomas (1976) where
more accurate as n becomes larger.
Key to all this discussion of sample size is that μ ¼ np
for valid implementation of any of these
formulae, one must draw the sample in a manner where n ¼ no. of trials and p ¼ the probability of
such that the assumptions of statistical theory are occurrence and, from the rule of complementa-
applicable (Cowgill 1964). This necessitates that tion, q ¼ 1 – p, implying that
the samples be drawn in a randomized manner. σ ¼ =npq
With these assumptions and the new parame-
ter σ 0_, we can now calculate the sample size by This approach assumes that some notion of
suitable manipulation of the following two probabilities for events is known.
formulas: Lazerwitz (1968), when p and q are not
known, utilizes the fact that the numerator in
Z ¼ 0 μ=σ 0 ð10:1Þ
the formula for the variance of a sample propor-
and tion reaches its maximum value when the
proportion is 0.5. Utilizing this value, a conser-
σ 0 ¼ σ 2 ==n ð10:2Þ vative estimate for sample size by the following
formula:
From the above problem, we substitute the fol-
lowing values into (10.1); 935 cm3 ¼ μ, ð2Þ2 pq
n¼
920 ¼ 0, and σ ¼ 132 cm3. Solving for σ 0_, ð2SE ðpÞÞ2
where SEðpÞ ¼ =pq=n:
920 935
σ0 ¼
1:29 The general formula is:
280 10 Statistics in Archaeological Geology
may resort to multivariate methods which will and its (assumed) normally distributed variation.
allow the evaluation of likeness or difference in The value of 228 μg/g, in our data, is outside this
the sample populations. In the rubric of statistics, population.
one measures the parameters versus the specific
cases, or vice versa. Those samples with similar
variability, which meet statistical tests of similar-
10.4.2 Data Analysis of More than
ity such as chi-square, Kolmogorov-Smirnov, One Variable
Mann-Whitney U, Student’s t-tests, etc., can be
The eminent statistician, John Tukey, enjoins us
reasonably assumed to represent the same or
similar populations (Hawkes 1995). Underlying to plot the data. . .“there is no excuse for failing
to plot and look” (1977). This should be the first
these tests is the assumption that most parent and
step in data analysis. In plotting single variable
sample populations are normally distributed, that
the average or mean of the population of sand data, we look for the central tendency in the
distribution of the occurrences of that variable
grains—grain size—lies near the center of the
in populations. Our measures of dispersion and
size distribution, and that all other sizes lie to
either side of the mean creating the familiar bell- tests for fit or membership, within a sampled
population, validate (or invalidate) the behavior
shaped curve or frequency distribution. If all is
of that variable. For instance, if the amount of
well, and your distribution is normal, then sam-
pling measures will work. If not. . . bound phosphorus is increasing in an archaeolog-
ical site, then we can speculate on the intensity of
the occupation at that location. If we take our
10.4 Data Analysis inquiry a step further, we may wish to examine
the variation in phosphorus amount relative to a
10.4.1 Example 2: Single Variable second variable such as either time or space.
Data-Phosphorus in Soils Pollen studies of sediments of archaeological
interest reveal variations in individual plant spe-
In this example, observations are made on the cies, arboreal or non-arboreal. These variations
presence of P2O5 in the sediment samples. From in particular plant species are typically plotted in
Chap. 7 we have seen that the analysis of labile or so-called pollen diagrams. In these familiar
bound phosphorus is an important chemical indi- bivariate plots, the pollen amounts for a species
cator of archaeological sites. In nine samples (n), are compared to their distribution across time. If
we observe a range of phosphorus from 192 to we assign the variable name, y, to the pollen
228 μg/g. The calculated mean is 218 μg/g P2O5 amount of a given plant species, then, in mathe-
in the sediments. The variance, s2, is 124.36 and matical parlance, it can be viewed as functionally
the standard deviation, s, equals 11.1 μg/g. The related to a second variable, x, which in the
standard error of the mean, s0, is 3.7 μg/g. example here is time. Written as a function of
What is the variability? If we use the coeffi- time (x), pollen intensity is:
cient of variation, it is
y ¼ f ðxÞ
CV ¼ ð11:1Þð100Þ=218 or 5 %
causal relationship. Correlation does not imply variable Y on another variable x, which exist in
causality. In the study of causality, we try to direct variation, is:
discover for the underlying conditions that exist
between x and y such that (1) y may never occur y ¼ βx
without x, a logically necessary condition, or where β is the population parameter for slope
(2) x is always followed by y of which it is “a” and whose range is –1 β 1. In a perfect
cause, but necessarily the only cause. This sec- correlation between x and y, y ¼ x and β ¼
ond situation is termed a logically sufficient con- 1. The perfect negative correlation is the
dition. It is possible to establish correlation with case of minus (1). If there is no correlation,
statistics but not causality. y 6¼ x and β ¼ 0.
In statistics as in other experimentally based In common practice, the correlation coeffi-
inquiry, experimental design provides greater cient is written as r and is equal to r ¼ byxs_/sy.
certainty and, certainly, increased efficiency in Here, b is the slope of the regression of x and
testing relationships in x and y. Good experimen- y, and this is multiplied by the ratio of the stan-
tal design attempts to formulate exploratory stud- dard deviations of x and y.
ies that will hopefully isolate variables who do Graphically, we can examine correlation in
exist in some causal relationship and then design the regression of a least-squares plot
tests that accurately portray the frequency of (Fig. 10.2): (a) one is a case (least-squares fit
occurrence that supposed relationship. without Snaketown) of a relatively strong corre-
Implicit in the determination of the frequency lation in x and y and (b) a case (least-squares fit
of the concomitant occurrence of x and y is an with Snaketown) of a strong but somewhat
increased reliability in the suspected causation. reduced correlation. The least-squares method
Another aspect of good experimental design is is so named for the procedure’s criterion on
the accuracy of measurements of x and y. Repeat- making the sum of squares for deviations (Δy),
able replicates (precision) of accurate measures from the regression line, as small as possible
of x and y increase the reliability of observed (Pentia 1998: Personal Communication).
correlations and reduce or minimize bias in an Another way of stating this is that the mean
experiment. Bias is related to error, systematic or square (Δy)2 difference between the data and
otherwise, and is generally related to measure- the straight (regression) line should be a mini-
ment in statistical tests (Kempthorne and mum. A brief explanation of this is as follows:
Allamaras 1986). One can express bias as the The equation y ¼ a þ bx, based on two values of
residual errors in a data set as that of the root- x and y, clearly defines a line, but when we
mean-square (RMS) error of an estimate (mean, introduce a new, second, value for x, simply
average). called, x1, the solution is not y but y1 which is
now equal to a + bx1 and differs from the line y
¼ a þ bx by Δy . The process for fitting a line to
a series of xn, yn pairs is called linear regression.
10.4.4 Least-Squares Analysis From this procedure, we can evaluate the corre-
and Linear Regression lation coefficient, r.
Two ways of calculating r involve
The simplest relationship between more than one (a) calculation of b, the slope (y2 y1)/(x2 x1)
variable is bivariate—x and y. The simplest rela- or (b) a direct method of using x and y. The first,
tionship between x and y is linear such that (a), is:
y ¼ a þ bx hX i X
b¼ ð x 0Þ y = ðx 0Þ2
e.g., the slope-intercept equation for a line. The
general linear model for n the regression of one and
10.4 Data Analysis 283
Fig. 10.2 Linear regression. Two correlations between age in years before the present (BP). The line width for
the observed alpha-recoil track (ART) density in mica each pottery type track density value is the standard
inclusions used as a tempering agent for prehistoric Hoho- deviation (Garrison 1973; Garrison et al. 1978)
kam pottery (“Sacaton Red,” “Vahki Plain,” etc.) versus
The correlation coefficient, r2, is a ratio of the these artifacts into bronze and copper artifact
variance—that of the original variance in Y to classes. Simple regression analyses for bivariate
that the sum of squares of residuals or deviations, pairs of x, (in all three cases the value of Cu) and
Δy, from the regression line of best fit (Fig. 10.2). y, (alternately Sn then Zn). The correlation
Values of r2 could be 1or zero with the values coefficients for each paired regression were:
somewhere in between. A high correlation coef-
ficient means a good fit of the regression line to 1. Cu vs. “high” Sn (greater than 5.19 %)
the observed data. artifacts, r ¼ 0.97, r2 ¼ 0.94
For example: 2. Cu vs. “low” Sn (less than 5.19 %) artifacts,
r ¼ 0.53, r2 ¼ 0.28
r 2 ¼ 0:78, a high, positive correlation in x and y; 3. Cu vs. Zn (n ¼ 21) artifacts, r ¼ 0.68 r2
or r 2 ¼ 0:25, a weak correlation ¼ 0.46
The case, least-squares fit without Snaketown,
has an r2 of 0.8, while the other case, Only in case (1), Cu (x) vs. “high” Sn amounts
least-squares fit with Snaketown, has an r2 ( y) is the correlation significant (r2 ¼ 0.94).
that is slightly less, indicating that the correlation To determine the significance of the r value,
between the two variables, alpha track density in this case 0.97, a t-test should be done on either
and age, is strongly positive (Fig. 10.2). the slope parameter, β, or on the r value itself.
Hawkes (1995) lists the following Either is easily done. For β, or b, the test is
descriptions for the correlation coefficient.
t ¼ b 0=sβ
r ¼ o; no linear relationship
0:5 < r < 0:5 weak negative linear relationship For a t-test of r, we use the following formula:
0 < r < 0:5 weak positive linear relationship We compute the standard error, sy.x, by
0:8 < r < 0:5 oderate negative linear relationship
0:5 < r < 0:8 moderate positive linear relationship pffiffiffiffiffiffiffiffiffiffiffiffiffi
1:0 < r < 0:8 strong negative linear relationship sy:x ¼ 1 r 2 =n 2
0:8 < r < 1:0 strong positive linear relationship
r¼1 exact positive linear relationship where n is simply the number of x-y
r ¼ 1 exact negative linear relationship comparisons. The t-test becomes
pffiffiffiffiffiffiffiffiffiffiffiffiffi
t ¼ ðr oÞ= 1 r 2 =n 2
10.4.5 Example 3: Alloys in Iron Age
Note its similarity to the test using the slope
Metallurgy
parameter, β.
In regression studies, there are two variations,
An example least-squares analysis of data from a
termed Model I and Model II or Bartlett’s
rather straightforward PIXE study of the compo-
method. They differ in how the variable x is
sitional makeup for a suite of Iron Age
handled. In Model I regression, x is fixed and
(80058 BC) metal artifacts to ascertain their
set as such in the experiment; in Model II both
nature as to either: (a) copper, (b) bronze, or
x and y are random. Model I regression studies
(c) brass. The difference being based on the
are common in psychological, educational, and
occurrence of tin (Sn) is less than trace amounts
agricultural testing. In most instances, and in
in bronze; the occurrence of zinc (Zn) is similar
particular when dealing with archaeological and
compositional amounts (~10 %) in brass, while
geological phenomena, Model II regression is
only copper (Cu) predominates at levels of
done. Thomas (1976) states that “r” is meaning-
97–100 % in “pure” copper artifacts. In the data
less in Model I regression. The correlation anal-
from Table 10.2, one observes little variation in
ysis assumes a bivariate normal distribution
Zn, which is consistently at trace levels, while the
which is not the case when x is nonrandom and
variation in Sn is such as to suspect a separation in
fixed. This is to say the statistics of r and r2 are
10.4 Data Analysis 285
10.4.7 Paired Comparisons or Paired Recently (1997), the fossil remains of the
Difference Experiments original 1856 Neanderthal find were assayed
using modern DNA analysis (Krings
One can view paired difference comparisons as et al. 1997). A sample of the right humerus
“before-and-after” types of tests. For instance, from the ancient hominid was used to obtain a
one can, say, map the positions and/or the 360 base pair (bp) sequence of mitochondrial
amounts of elements in artifacts for comparison DNA (mtDNA). This sequence was then com-
before-and-after something has been done to the pared to modern human reference standard as
material such as the weathering of a surface. well as 994 contemporary human mitochondrial
One can use a reference material for compari- lineages (478 Africans, 494 Asians, 167 Ameri-
son as well. What the paired comparison test can Indians, and 20 Australian/Oceanian
seeks to discover is the presence of any differ- individuals) together with 16 nonhuman, chim-
ence in the two samples and to quantify that panzee, lineages for a total of 2051 human and
difference (Hawkes 1995). One could use the 59 common chimpanzee sequences. This study
sequence of two tree-ring samples for compari- was done to address questions of the phyloge-
son. Certainly, a comparison that yields no dif- netic relationship of Neanderthals to modern
ference in two ring sequences implies a similar human populations as well the great apes. The
age for both. This is what is done in dendrochro- null hypothesis would be something of the nature
nology to achieve a “match” between two sample of no difference in the 360 bp Neanderthal
sequences. The dendrochronologist, in this case, mtDNA sequence and modern humans. A second
desires to find no difference in the match null hypothesis might be no difference between
between the unknown and the master reference Neanderthals and the great apes based on the
tree-ring sequence. In paired comparisons of DNA comparison.
sequenced data, one can be looking for similarity In a pair-wise comparison of the respective
or difference. An excellent example of both the mtDNA sequences, some interesting results were
type of data and the utility of the test can be obtained. As illustrated in Fig. 10.3, the observed
found in recent studies of Neanderthal mtDNA differences in human-Neanderthal sequences
sequences. averaged 25.6 2.2 differences, between
10.5 Exploration: Multivariate Approaches to Large Data Sets 287
relationships between the samples based on the Jackson take issue with this approach suggesting,
derived and measured distance from centroids of instead, that “less is more” with regard to the
the clustered samples. Figure 10.4 illustrates the number of analytical variables used in certain
use of PCA to isolate elemental groupings in analyses (Baxter and Jackson, supra). Their
marbles from Mount Pentelikon, Greece. Pike point, in the context of multielement-
(n.d.) has evaluated the use of NAA data of multivariate analyses, is that too often the choice
Pentelic marbles in an exploratory study of dis- of many variables may obscure the perception of
criminating prehistoric quarries. We see a typical actual patterns (supra; Fowkles et al. 1988;
bivariate plot or “biplot” of the first two principal Kzanowski 1988). Kzanowski illustrates this by
components illustrating correlation of elements pointing out that sample size may militate
in the marbles. Closely spaced elements indicate against the use of too many variables, particu-
strong correlations. larly where, in cluster or factor extraction, the
An important question raised by Baxter and number of cases, used in the analysis, must
Jackson (2001) concerns variable selection in exceed the number of variables used. Instances
artifact compositional studies. These authors where this injunction has been ignored extend
point out that compositional studies such as back to the early days of the use of multivariate
those just described proceed from a first principle statistics in archaeology, in general, and in
used in biological numerical taxonomy—“the archaeometry, in particular. Certainly, in these
greater the content of information in the taxa of cases, some form of variable reduction seems
a classification and the more characters on which mandated along with the use of PCA.
it is based, the better the classification will be” A good example of not only variable reduc-
(Sneath and Sokol 1973). Because instrumental tion but variable selection is that of Speakman
methods, such as NAA and the ICP variants (cf. et al. (2011a, b). In this study, Speakman and his
Chap. 7), routinely determine 30–40 elements coresearchers compare the discriminatory capa-
per sample, it would appear that they meet the bility of pXRF and INAA for prehistoric
foregoing injunction. Harbottle (1976) affirmed Mimbres pottery. PCA of compositional data
this approach in his influential paper. Baxter and from both instrumental procedures were
290 10 Statistics in Archaeological Geology
League, ca, 1590, the Mohawk and Seneca tribes predetermined categories—vessel types, axe
were examined as proxy data for increasingly varieties, weapons, sites, etc.—to make tests of
strong political ties—a league between these association, independence, and significance. The
widely separated Great Lakes cultures. A cluster chi-square statistic basically measures departures
analysis of elemental means (13 elements) was for the average (Drennan 1996).
done for each archaeological case (site) to iden- Categories are often called nominal data.
tify natural groupings in the data and to indicate They allow us to simply enumerate observations
whether the site samples clustered into Seneca- within them—87 hand axes, 13 Solutrean points,
Mohawk groups. Kuhn and Sempowski’s results 23 burins, 47 dolmens, etc. If the categories are
support a coalescence of the powerful League at arranged in some rank order, then we are dealing
the end of the sixteenth century or the early with the next scale of data—rank. Categories
seventeenth century. Kuhn and Sempowski contrast to measurements made on interval or
utilized principal components and discriminant ratio scales. These measurements are quantified
function analysis as well. and used in the parametric tests we have
In all cases of factor analysis, it is often diffi- discussed earlier. In the use of the chi-square,
cult to determine precisely what the new group- we assume no order or rank and we simply
ing of variables or cases means. In the analysis of examine the proportion of the observations
ancient coins, the separation of key elements— within categories such as those of types. Types
noble versus base metals—can enable the inves- cannot be ranked, whereas categories of size can.
tigator to assign, with some confidence, identities Still we count the representative shards of types
to the factors separated on the basis of these we recover and arrive at their numerical
metallic elements. In ceramics, the composi- proportions. These values can then be used in
tional variability of differing wares can often be the calculation of the chi-square statistic.
used to isolate distinctness or similarity. This is The chi-square statistic is calculated as
particularly useful when one routinely can obtain follows:
reliable estimates for 30 or more elements using
ICP or NAA making factor analysis methods χ 2 ¼ Σ ðOi Ei Þ2 =Ei
essential for discriminating association among
where Oi is the observed number in any category
the key combinations of variables represented
and Ei is the expected number in any category.
by the factors. Singleton et al. (1994), in their
The number of items in category is counted
study of prehistoric pottery clays with AAS (cf. -
and then compared to those of another category
Chap. 7), have utilized both cluster analysis and
by use χ2. This value is then compared to some
DA. Their results, first using DA to discriminate
chi-square distribution (Fig. 10.7). By way of
key chemical elements, led the researchers to
example, the simplest chi-square comparison is
refine their analysis to four elements that defined
that of the 2 2 chi-square table.
the spatial variability of the pottery.
Table 10.4 Contingency table for winged versus provided some quantitative measure of group
socketed axes (level, type, age, etc.) membership and
Winged axes Socketed axes Total difference.
Level A 20 30 50 Similar to the normal distribution, the area
Level B 20 10 30 under the chi-square curve is equal to 1. In
Total 40 40 80 Fig. 10.7, one quickly observes that these curves
are skewed to the left for smaller degrees of free-
dom. It is also apparent that as the number of
In the table are listed the number of
degrees of freedom increases, the chi-square dis-
observations of, say, the occurrence of Bronze
tribution approaches the shape of the normal dis-
Age metal axe types—winged and socketed—in
tribution. Chi-square is used on large and small
two levels of a site. We ask the question whether
samples. In small samples, only a very strong
there is a measurable difference in the occurrence
difference/similarity is significant as in our exam-
of the axe types found in these two excavation
ple. In larger samples, weak or small differences
levels. The table is constructed thus (Table 10.4):
are magnified. Recall our recent discussion of
The observed values are apparent. To arrive at
variable selection here as well. In terms of signifi-
the expected values, Ei, for winged axes in
cance, the larger the sample size, exaggeration of
level A, required by the chi-square formula,
small differences, within categories, is a possibil-
1 multiplies the row total, 50, by the column
ity. As in all cases of the use of parametric and
total, for winged axes, 40 and divides this value
nonparametric statistical measures, one must
by the grand total 80. Each “cell” of this table is
always consider sample size.
calculated in a similar manner. These individual
To end this chapter, and overall, this discussion
cell values are then summed as follows:
of techniques for archaeological geology, let me
χ 2 ¼ ð20 25Þ2 =25 þ 30 252 =25 paraphrase Simon A. Levin, in his MacArthur
Award Lecture of 1989 (Levin 1992), wherein he
þ 20 152 =15 þ 10 152 =15
χ 2 ¼ 1 þ 1 þ 1:66 þ 1:66 notes that “the simple statistical (or analytical)
χ 2 ¼ 5:33 description of patterns is a starting point; but
correlations are no substitute for (a) mechanistic
Comparing this value to tabulated chi-square understanding.” Statistics, and the other
values gives a measure of the similarity or techniques, discussed in the preceding chapters,
difference in these categories form level A to allow us to describe phenomena and patterning in
level B. The number of degrees of freedom for archaeologically interesting phenomena across a
a table is the product of one less the number of wide range of scales. It is, however, for the archae-
columns and one less the number of columns. ological geologist to use these techniques to infer
Since the number of rows and columns are conclusions of archaeological consequence.
equal to two, the calculation is 1 1 ¼ 1 df .
At one degree of freedom, χ 2 ¼ 5.33 and 5.33
lies between the tabulated values of 3.841 and 10.5.5 The Next “New” Thing?:
5.412. These values represent significance at the Bayesian Analysis
0.05 level (3.841) and the 0.02 level (5.412). and Archaeological Age
Our measured value is closer to that of the 0.02 Determination
level so the similarity is significant at a very high
level of confidence. In this result, it is highly Thomas Bayes, an eighteenth-century English
plausible that the materials are contemporaneous Presbyterian minister, versed in mathematics,
and differ from the other level. Like our multi- attempted to calculate the probability of God’s
variate examples, the statistical analysis has existence (Flam 2014). With his attempt, the
294 10 Statistics in Archaeological Geology
Fig. 10.8 For an assumed set of 6 samples #1 to #6 from applied, one can see its tendency to divide the period
the Hallstatt period (750–400 BC) with ages of 750 BC into six parts of equal size (black curves). Due to the
(#1), 745 BC (#2), 740 BC (#3), 735 BC (#4), 730 BC flatness of the calibration curve, the general shape of the
(#5), and 725 BC (#6) indicated by vertical thin lines, the individually calibrated and of the “sequenced” probability
corresponding 14C ages were looked up in the calibration distributions is the same which true ages ever are
curve. Due to the flatness of the calibration curve, we get assumed. In our example, the posterior 95 % confidence
the same 14C age of 2455 BP for all six samples. After intervals of samples #4, #5, and #6 are not in agreement
adding a random scatter of 40 year, we obtain the with their assumed true ages. All the calculations (single
following 14C ages: 2546 BP, 2490 BP, 2402 BP, 2446 calibration and sequencing) were performed with OxCal
BP, 2386 BP, and 2491 BP. By individual calibration, the v2.18 (Ramsey 1995) using the INTCAL98 14C calibra-
samples can no more be assigned to distinct regions. The tion curve (Stuiver et al. 1998). The program normalizes
resulting probability distributions (gray curves) rather the individual and the “sequenced” probability
cover the whole Hallstatt period. These probability distributions to the same maximum (probability) value
distributions correspond to our simulated 14C measure- (Italics added for emphasis)
ment data. After the Bayesian sequence algorithm is
296 10 Statistics in Archaeological Geology
a reasonable guess or estimate, but the assigning those derived using traditional statistical methods.
numbers to subjective judgments can produce As in all things, the more information available
results that may not measure up to estimates generally improves the result—whether using
made from observations, after the fact, such as frequentist or Bayesian methods.
Theory and Practice in Geoarchaeology:
A Brief Discussion with Examples 11
by reviewers of his 1982 work for promoting the ecology in the production of an archaeological
topics of site formation, modification, and record of that ecology and its attendant behavior.
destruction as human ecology which, strictly The Society for American Archaeology
speaking, they are not (Pope 1986). Cultural (SAA) defines context as follows: “Context in
adaptation is a central theme in ecological archaeology refers to the relationship that
anthropology and should be utilized for under- artifacts have to each other and the situation in
standing archaeology as human ecology. Human which they are found. Every artifact found on an
behavioral ecology specifically examines how archaeological site has a precisely defined loca-
human behaviors can maximize fitness within tion. The exact spot where an artifact is found is
given environmental parameters (MacArthur recorded before it is removed from that location.
and Pianka 1966; Thomas et al. 2008), without Context is what allows archaeologists to under-
attempting to determine the mechanism by which stand the relationship between artifacts on the
a behavior is transmitted. These analyses are same site and how different archaeological sites
most effective at the population level where are related to each other (http://www.saa.org/pub
adaptation operates, instead of attempting to lic/educators/03_whatis.html#06).”
address changes in individuals’ behaviors
(Bamforth 2002). This allows for an integrated
bio-cultural analysis that avoids the environmen- 11.2 Geoarchaeology
tal determinism of earlier evolutionary-based and Landscapes
anthropological theory. Instead, hypotheses are
crafted to operationalize the range of what is One current use of theory in geoarchaeology is
possible, as well as what is optimal, within a the study of “landscapes.” The retrodiction of
given landscape (Bird and O’Connell 2006:146; these landscapes from geological/geomorpholog-
Kelly 1995:109). Human behaviors that do not ical data reifies landscape as a viable concept for
follow optimal models are usually interpreted as describing past environments and the cultures
cultural and/or as suboptimal responses to that interacted and modified them. Landscapes
periods of environmental instability and lack of per se are theoretical constructs just as “types”
perfect knowledge of the environment or as miss- which are commonly used in the description of
ing critical variable(s) in the model (e.g., archaeological materials. Like artifactual types,
Broughton 2002; Matsumura et al. 2010). This such as ceramic types, landscapes are arbitrary
approach builds on Binford’s (1980) basic model constructions aimed at facilitating research
for foraging versus collection/logistical activities (Lohse 1995; Chap. 8). Landscapes are not syn-
and patterns of mobility, allowing insights not onymous with natural environments. Landscapes
only into the types of occupations seen in the are synthetic (Jackson 1984). Landscapes allow
archaeological record but also the potential the description and categorization of a multitude
resource bases that both allow and constrain of disparate variables—climate, soils, fauna,
those occupations. flora, etc.—that otherwise would be evaluated
By 2008, Butzer had identified archaeo- singularly. The construction of landscapes allows
taphonomy as the intersection between the for the conjunction of those variables into a logi-
human past and the processes of geomorphology. cal theoretical system for use in comparison
He argued that “The logical charge for across space and time. Archaeological contexts
geoarchaeology is to identify and assess the role can and should be interpreted with an eye toward
of the filters (cultural and physical) and processes landscape transformation. Emphasis is placed on
that impact the ‘coming together’ of those mate- documenting the passage from stable (soil
rial residues and their transformation into an forming) to depositional (dynamic) environments
archaeological record” (supra). Butzer no lon- and linking these transitions to an archaeological
ger saw geoarchaeology as human ecology per se record at the local to regional scales (Stein 1993).
but as a powerful way to discern the role of that Geoarchaeological investigations provide the key
11.3 Geoarchaeology at the Scale of Sites and Artifacts 299
began to recognize more primitive tools such as (Clarke 1968) held that, at best, artifact types are
stone choppers and, then, more elaborate theoretical generalizations of patterns of size,
structures, such as Stonehenges and earthen shape, and inferred use. Classification does not
mounds, as the creations of prehistoric people. denote function nor does repetition infer proof or
The question of scale has direct relevance to verification (Lohse 1995). Archaeological theory
the definition of what is or is not an artifact. holds that all cultures consist of patterned pro-
Artifacts too large to be transported become duction and interactions of their constituent indi-
“site features” or “site structures.” Very large vidual members and that the patterns of
artifacts, like stelae or menhirs, remain vaguely (artifactual) debris result from the action of
and arbitrarily delineated between the portable those individuals (Schiffer 1972, 1976). It is in
object and the stationary “site” (Dunnell 1988). this domain that geoarchaeology can contribute
Before workers like Fladmark, artifacts too small to the difficult task of elucidating past human
to be recovered individually had been regularly behavior. Without entering into too much discus-
ignored, and their recovery limited to “samples” sion of epistemology and archaeological
of the matrix” (often called “soil samples” (Stein methodologies, it is suffice to say that
and Farrand 1985; Stein 1987; Dunnell and Stein geoarchaeology must, perforce, utilize theory in
supra)). Along the dimension of size, artifact its approach to anthropogenically created phe-
became, largely by default, synonymous with nomena, be it artifacts, features, or landscapes.
objects that can be picked up with the hand and The level of abstraction required is a function of
identified without magnification. Microartifacts the specific inquiry’s aims or goals.
denote all objects smaller than a given size that
otherwise qualify as artifacts (supra). So classi-
fied, the microartifact thus becomes a concern of 11.4 Geoarchaeology and the
the geoarchaeologist because, in the course of Origins of the Deliberate
their sedimentological and micromorphic stud- Human Use of Fire
ies, these materials are seen and identified.
All artifacts, features/structures, living Examples of current geoarchaeological inquiry
surfaces, and landscapes are equal in their iden- are those examining the presence and origin of
tification as constructs—heuristic or otherwise— fire in early archaeological settings (Karkanas
within a theoretical utility for a study of prehis- et al. 2007; Berna et al. 2012). Fire was one of
toric humanity. the first major ways that humans started affecting
Before we move to other considerations of the natural environment. There is considerable
theory in geoarchaeology, one should consider debate about when the earliest deliberate use of
some aspects of classification with regard to fire was, but it is clear that hominids controlled
artifacts. Artifacts have both size and shape or fire at least several hundred thousand years ago
morphology. Archaeologists have used both of (Goudie 2013). The earliest evidence for
these parameters to make the logical leap to hominin use of fire dates to more than a million
“function.” A bifacially flaked stone object is years ago. However, only when fire use became a
an “artifact” and a “tool.” The latter category regular part of human behavioral adaptations
refers to function. As Lohse has noted (1905), could its benefits be fully realized and its evolu-
researchers cannot assume the happy coinci- tionary consequences fully expressed. It remains
dence between morphology and postulated use. an open question when the use of fire shifted
Many times the artifact “type” such as projectile from occasional and opportunistic to habitual
point style is a point along a continuum of shapes and planned (Shimelmitz et al. 2014). Fire
and sizes that are classified within that specific provided humans with tremendous advantages:
type. Likewise, its function may lie along another cooking fires provided heat and light as well as
spectrum of possible uses—hide preparation, more digestible food; vegetation could be burned
cutting, abrading, etc. Binford (1964) and others to open up the landscape, making hunting easier,
11.6 Geoarchaeology and a Brief History of Archaeological Theory 301
and to direct herds of animals to slaughter. Fire Theodosius Project in Istanbul, Turkey, is an
could be used for protection from predators, for example of geoarchaeology integrating the strat-
eliminating vermin and noxious insects, for igraphic sequence into the context of the
improving the quality of some lithic raw materials harbor’s history as a whole (Bony et al. 2012;
(Wilson 2011). Fire has been cited as a key factor Perinçek 2010). A key finding of those studies
in the development of early social behavior by was a high-energy deposit interpreted as being of
serving a focal point for human groups tsunami origin and related to an earthquake of
(Wrangham 2009). Shimelmitz et al. (2014) stress 557 AD. A bio-sedimentological analysis of this
that identifying when habitual fire use emerged is facies measured coarse sands and gravels, cre-
of major importance for understanding human ated by two tsunami wave trains, containing
evolutionary history. Fire offered many potential reworked material such as woods, bones, marble
advantages to hominins (e.g., de Lumley 2006; blocks, amphora fragments, ceramics, coins,
Stiner et al. 2011), and its full impact on shells, and plant remains. Since Kremer’s
biological and behavioral evolution would have findings regarding the tsunami of 563 AD,
been felt only when fire became a routine compo- subsequent research in the Lake Geneva and
nent of hominin lifeways (Rolland 2004). Based elsewhere in the Alpine region (Schnellmann
on experience with deposits at Zhoukoudian and et al. 2006; Kremer et al. 2015) has
Qesem Caves, Israel (Karkanas et al. 2007), demonstrated that tectonics and debris flows
micromorphology has proven key for studying had common and important roles in lives of
the evidence for burning and other activities lacustrine cultures just as earthquakes have
related to the use of fire in Layer 8 at the Middle today in other landform contexts.
French Paleolithic site of Pech de l’Azé IV
(Goldberg and Sherwood 2006; Goldberg
et al. 2001; Dibble et al. 2009a, b). 11.6 Geoarchaeology and a Brief
History of Archaeological
Theory
11.5 Geoarchaeology and the Study
of Natural Disaster Schuldenrein (2007) makes the plea, in the stron-
gest terms, that geoarchaeologists must be for-
As illustrated in Chap. 3, the role of catastrophe mally trained in archaeology, and its theory, as
in historic explanation requires more than tex- well as earth science, since the modern practitioner
tural evidence. Geoarchaeology has proven to be is invariably asked to answer archaeological
the arbiter for both examples presented in this questions. Many contemporary geoarchaeological
textbook of tsunamic natural disasters, one in the projects in alluvial landscapes place increased
Lake Geneva and an earlier Bronze Age disaster focus on the synthesis of drainage-wide
in the Aegean. The geoarchaeological evidence chronologies and stratigraphies that have
for the Medieval disaster of 563 AD fell to implications for linked human settlement and cli-
Katrina Kremer to demonstrate conclusively matic models (supra). He is also correct, at least
(Kremer et al. 2015). At Crete the evidence for from the point of view of the USA, that
tsunamic destruction of coastal Minoan harbors geoarchaeology is practiced primarily within cul-
and towns has only been recently proven by tural resource management (CRM) contexts.
geoarchaeological studies by Bruins and his Geoarchaeology has come into its own as part
coworkers (Bruins et al. 2008). These examples, and parcel of both research and CRM archaeology
along with Yenikapi harbor, Istanbul, point out in North America since the 1970s, but was almost
the utility of identifying the very real role of always a component of Paleo-Indian archaeology
natural system processes into that of prehistoric since at least the 1930s (Holliday 2009). The USA
and early historic cultural systems, however is not alone in requiring specialists of all types—
dramatic. The Yenikapi harbor/Harbor of historical, zoological, botanical, malacological,
302 11 Theory and Practice in Geoarchaeology: A Brief Discussion with Examples
high seasonality of temperature. Future novel This assertion was the basis for his program of
climates will be warmer than any present climates building “middle range of theory.” The first aspect
globally, with spatially variable shifts in precipi- of the problem centers on the meanings which can
tation, and increase the risk of species reshuffling be assigned to patterning in artifact assemblages.
into no-analog communities and other ecological It is the epistemological problem of reliably
surprises (Williams and Jackson supra). Most establishing what we think such patterning
paleoecological studies that at least partially means, in terms of the behaviors and contexts we
parameterized from modern observations— ultimately want to study. This problem may be
actualistic—such as those that are geoarchaeo- broken down into three related parts, each of
logically based, may fail to accurately identify which has a different, discipline-specific “rem-
ecological responses to those novel climates. edy”: (1) unclear analytic concepts, (2) equifinality
One such example cited in this chapter involves of causes in patterning of assemblages, and
identifying the ecological response of the Norse (3) lack of information on faunal remains in
Greenland colonies to the onset of the Little behavioral or ecological contexts. Returning to
Ice Age. context as a construct, it is useful to distinguish
A strategy of deduction from uniformitarian two levels of “context”: behavioral context and
“laws” (e.g., Binford 1962, 1964; Freeman 1968) ecological context or the systemic and archaeo-
was a position reasserted in the debates of the logical contexts (cf. Schiffer 1972, 1986, 1987).
1980s by Richard Gould and others (1980; Gould Each is linked to the other by empirically
and Watson 1982). In her critiques of this posi- evaluable bridging statements (again, middle-
tion, Wylie (1982, 1985) argued these writers range theory). Any specific linkage between levels
had not considered that by using this form of an of a system is strengthened by additional, multi-
argument about the unobservable past constitutes ple, independent lines of information.
a special type of very strongly warranted anal- That a particular attribute or “cause” may not
ogy. She notes, further, that the “escape” from inevitably signify a closely specifiable natural,
analogy offered by scientific laws is really a behavioral, or ecological context or process is
refinement and elaboration of the analogical the problem of equifinality—(2) in the three-part
model of inference. Inference has implications epistemological problem outlined above (Lyman
for any research building or use in “middle- 1985). In terms of equifinality, different processes
range theory.” More and/or better ampliative can create the same pattern: the immediate
inferences can be based on patterning in the conditions of production (e.g., stone, bone, and
observed frequencies of various indices. Archae- certain physical attributes of force in their encoun-
ological epistemology, hypothesis formation and ter) are specifiable, but the circumstances—what
selection, and methods of inference are unavoid- most of us might call the agent-causing factors
ably analogical (Gifford-Gonzalez 1989, 1991). (e.g., a hammer stone versus a rockfall or flooding
Analogical reasoning based on well-controlled as causes for a cave’s bone deposits)—are, indeed,
actualistic research is a preferred strategy in separable from the patterns themselves. The
modern paleontological research. The uniformi- looming question is whether the proximate causes
tarian theoretical perspective and the actualistic are what we infer or even the idea of “trampling,”
research strategy that follows from it have been itself, is theoretical construct itself and merits its
basic to the generation of knowledge in the his- own inquiry. Perhaps, this is overly negative
torical sciences since modem geology began because recent geoarchaeological studies, care-
(Lyell 1830; Hooykaas 1970). fully framed and executed, have made significant
The late Lewis Binford (1962, 1964, 1978, contributions in improving our understanding of
1981) argued that archaeologists should name the Middle Paleolithic in France.
their materials, create relevant analytic In the case of the French rock shelter,
categories, and assign meaning to patterning in Fontéchevade taphonomic processes were found
their materials by analogy with modern cases. to be ultimately responsible for the distribution
304 11 Theory and Practice in Geoarchaeology: A Brief Discussion with Examples
as well as the overall nature of the artifactual and recognition, as Thomas Bayes had postulated,
biological remains found there (Chase et al. 2009; that outcomes are not equiprobable nor all signif-
Dibble et al. 2006). As sedimentological studies icant. The most important aspect of Bayesian
ascertained, the cave sediments were formed due approaches involves the recognition that the
to the action of very differing processes, with probability of a given result or outcome can
most of the materials coming from the overlaying rely on newer, but not necessarily “better,” data
plateau (through chimneys) and from the cave from other sources in any given inquiry.
walls and ceiling as eboulis. Restudy also In the use of relational analogies that are
indicated that only a few of the archaeological probabilistic in their predictions, there lays
finds were produced and/or introduced into the another methodological question: how do we
cave by humans during only occasional intermit- discern and account for these relationships? To
tent and short occupations of the cave. Harking establish whether strong linkages (necessary and
back our discussion of human agency for fire, the sufficient conditions, determining structures,
existence of hearths and activity zones suggested etc.) exist between archaeological deposits and
by earlier excavators found no support in the their production, we need enough contemporary
micromorphic and mineralogic data. Lastly, the (Bayesian?) cases to assess the supposed
Tayacian assemblage of Fontéchevade was regularities of the relationships. To evaluate
mainly produced by natural (formation) processes inductive generalizations drawn from such
as were any similar, if not all, assemblages of this observations, we need confirmatory research
kind elsewhere (supra). Fontéchevade illustrates which helps isolate the functional linkages in
the value of restudy of archaeological materials any regularities and assess whether these sup-
and their geologic context. Clearer lines of evi- posed linkages, indeed, operate in an uniformi-
dence weighed against better theoretical/concep- tarian fashion.
tual analogues eliminated much of the Prior to hypothesis testing, archaeologists typ-
equifinality, leading to a set of more parsimoni- ically employ analogy to evaluate the plausibility
ous explanations and refutation of earlier of bridging arguments which give objects and
incorrect ones. features a functional meaning. Archaeologists,
as should geoarchaeologists, select the more
plausible of alternative hypotheses about the
11.7 Enter Probability functioning of prehistoric systems through anal-
ogy with contemporary cases (Binford 1978).
Outcomes of the interaction of multiple variables Such uses of analogy are not unique to archaeo-
in ecosystems may be regular, but the observed logical reasoning and have been analyzed in
regularities are often better described in probabi- other sciences (e.g., Salmon 1967, 1982). Wylie
listic terms. In terms of archaeology, no matter (1989: 15) notes that they regularly marshal
how deterministic the relationship between the “independently constituted lines of evidence”
immediate causes of certain archaeological which “converge either in supporting or refuting”
assemblages, and even their links to specific their proposed linkages between past practices
causes, when archaeologists seek to set these and the materials studied. This, she argues, is
causes in behavioral and ecological systems, the a means of coping with a lack of strongly
probabilistic nature of the operations of these deterministic epistemic foundations for their
systems precludes extending the “if-then” logic inferences. Again, multiple, independent sources
of deterministic statements. Instead, if X, then of knowledge about analogues for archaeological
there is, say, an XX probability of Y. Explanation entities are required both to generate and to eval-
becomes a probabilistic statement to reduce uate “reconstructive hypotheses” drawn from
uncertainty. The recent interest in Bayesian archaeological data.
calculations particularly in regard to radiocarbon Accepting the analogical nature of most
dating (cf. preceding chapter) illustrates the archaeological reasoning requires that we face
11.8 Geoarchaeology, Theory, and Practice: Examples 305
and organization of Norse society in Greenland about this island of fire and ice, and the role of
(Berglund 1986; McGovern 1990; Buckland and volcanism, on a scale unique to Iceland, might
Panagiotakopulu 2001). Dugmore et al. (2007) have in regard to regional if not global climate
have argued for a sharply hierarchical later- changes. Greenland’s fate may have been more
Medieval society managed by partly foreign elites closely the result of Iceland’s “monsters”—Laki,
and dominated by the episcopal manor at Gardar Hekla, and Katla—and their possible exacerba-
in the Eastern Settlement and downplayed the role tion of an orbitally induced climate shift.
of the Latin church in Greenland, modeling a The earliest tephra associated with the Norse
much more autonomous set of complex colonization is called the “Settlement Ash” of
chiefdomships rather than a peripheralized colony 870 AD (Thorarinsson 1944; Haflidason
of a Medieval European core. Most current et al. 2000). Tephra layers deposited in Iceland
authors agree on the vital role of Norse decision- in historical time (~1100 cal. year BP) have often
making in response to the challenges of Inuit been identified and dated with relative accuracy
contact, climate change, and the increasing isola- by reasons of written records, in many cases even
tion from European markets (Dugmore supra). to the exact day of the tephra fall. Iceland’s high-
Changing Medieval economies and patterns of resolution tephrochronologic sequence has been
trade, rather than simple climatic deterioration, facilitated by the rapid formation of both peat
could have marginalized the Norse Greenland and loessic, and as a consequence, tephra layers
settlements and effectively sealed their fate. In of only a few years difference in age can be
the scholarship, there seems to be a decisive shift resolved in soil profiles. This provides a chrono-
away from simplistic explanations for the logical context rivaling dendrochronology in
settlements’ extinction that treat human adaptive temporal resolution. Iceland is not alone in the
(or a maladaptive) strategies as a dependent vari- use of tephrochronology for archaeological
able, but, nonetheless, Lynnerup’s (1998) model purposes. Germany has the Laacher See ash,
of gradual attrition of the communities and a final created by a massive explosive eruption at the
abandonment by the last families, moving first to beginning of the Holocene and a useful marker
the Eastern Settlement, and perhaps finally to for this period where present (Boggard and
Iceland, gains some support from the paleoecolog- Schmincke 1985; Moscariello and Costa 1997).
ical research. Outside of tephra, the geoarchaeology and
sedimentological studies of early Norse
settlements can be difficult. Sediment deposits
11.8.2 Medieval Iceland to AD at the Icelandic settlement of Reykholt in
1783–1784: Tephra and Time Borgarfjörour have produced only the biased
sample provided by charred plant remains and
Frankel (2012) on the third volume of his treatise no insects similar to those observed in Greenland
on continental drift theory and plate tectonics deposits (Sveinbjarnardottir 1992; Buckland
uses an aerial view of the Laki fissure of Iceland. et al. 2005). In Mývatnssveit, the important
The Laki eruption of 1783–1784 was the greatest re-excavation of Hofstair has similarly produced
human disaster in Icelandic history (Jackson no anaerobic sediments, essential for the overall
1982). Three hundred years after the human set- preservation of organic materials, although appli-
tlement of Greenland failed, the same fate almost cation of soil thin-section micromorphology and
befell its parent. As an Earth system generated biochemical techniques has provided important
cataclysm, the Laki eruption, in its scope, killed new data (Simpson et al. 1999). Molluscan and
proportionately as much of the Icelandic popula- fish remains from the same deposit showed a
tion as the Black Death did in Europe three to surprising marine connection (McGovern 1990)
four centuries earlier—almost one-third of the for a site next to Icelandic best known Salmon
inhabitants died of disease and famine (supra; River (Laxá), and this serves to drive home the
Grattan and Charman 1994). One cannot wonder overextended network of an early Medieval
11.9 Example 2: The Scull Shoals Mill Village Site, Oconee River, Georgia, USA 307
Fig. 11.2 A 1.5 m sediment core, using a cryoprobe at the Scull Shoals site, right (Photographs by the author)
using ground-penetrating radar (GPR), magne- the next 5 years (Winchester 2003). It is
tometry, and sediment coring (supra; Garrison subsequent to this period that the more
et al. 2002) (Fig. 11.2). Ferguson charted a long- devastating floods (1884) occurred, leading to
term alluvial cycle of the Oconee watershed that the closure of the mill and loss of the highway
has the peak of valley filling between 1800 and bridge at the town (supra; Skarda 2007). No
1930 with a steady headwater erosion/incision, direct meteorological link, however, has been
driven by natural factors, but with lateral made between the eruption and increased pre-
meandering and downstream (sediment) transfer cipitation in the American Southeast. It remains
below Scull Shoals (supra). It must be noted that a an open question but one that could be
large storage reservoir exists just below Scull investigated using a geoarchaeological
Shoals today and that any legacy sediments, that paradigm.
have been remobilized, reside there. If we would accept simple explanations, then
The storage of sediment is a common feature the demise of Scull Shoals is a cautionary tale of
of almost all alluvial systems. If not bed storage, habitat destruction—land clearance, erosion, and
then it is floodplain storage (cf. Chap. 2). John increased flooding—such that livability of the
Wesley Powell defined the concept of base level mill town became untenable, resulting in its ulti-
and the base level in the late nineteenth- and mate abandonment. Much like the original expla-
early twentieth-century Oconee River raised to nation for Greenland, environmental change and
point that, what had been floods contained within increased hardship led to the ultimate abandon-
the natural levees, became devastating floodplain ment of the Western and Eastern Settlements. In
inundations which occurred more and more fre- light of more recent scholarship based on a
quently (Hunt 1980). The sedimentological evi- broader inspection of data sets—glacial, sedi-
dence of these floods is clearly seen in Fig. 11.2. mentological, hydrological (in the case of Scull
One reason the cryoprobe core extends only Shoals and even Greenland (Larsen and Brock
1.5 m is that it “bottomed” into the oak flooring 2014)), economics, transportation, geomorpho-
of the now-buried mill’s lower level. logical, etc.—the explanations become more
There may even be a volcanological dimen- complicated. In both Greenland and the Georgia
sion to the demise of Scull Shoals. After the Piedmont, landscapes were altered to the point
well-known 1883 eruption of Krakatoa, average that economic practices that were sustainable in
global temperatures were up to 1.2 cooler for the past became less so. Add to this picture of
11.10 Concluding Thoughts 309
“natural” system change unfavorable changes in archaeogeophysical methodology called for the
the markets and economies of both the late- use of “multiple sensors” as way to enhance and
Medieval and postcolonial milieus, then “fail- support the interpretation of that form of data.
ure” becomes a more predictable result. One sensor—GPR—is good, GPR plus resistiv-
ity is better, etc. Hesse was calling for multiple
lines of independent evidence to increase confi-
11.10 Concluding Thoughts dence in the analytical results. Even at that, the
accuracy of the findings may not increase nor
Geoarchaeology or archaeological geology by the epistemic certainty of a result, because the
whatever name has developed a need and appli- method or methods used actually may not answer
cation for theory within its modern practice. the question at hand (Foulger et al. 2015). Those
Most, if not all, practitioners are cognizant of answers may lie elsewhere in the search
this and design their research accordingly. The for agency and causation. As scientists,
strength of support for an analytical result and geoarchaeologists must gauge their choice of
subsequent conclusion or conclusions increases methods by their adequacy in explanation. Parsi-
with strong analogues as well as multiple lines of mony and William of Ockham’s razor remains
evidence. Hesse et al. (1986) in a discussion of more than just useful tools.
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