PhD - Science / Analysis of charcoal from Middle Stone Age layers at Sibudu Cave, KwaZulu-Natal, shows evidence of environmental change during the Last Glacial. Layers analysed encompass the end of the cold stadial, Oxygen Isotope Stage (OIS) 4, and the warmer interstadial, OIS 3. Layers are divided – on the basis of lithic industry associations and taxonomic content – into the Howiesons Poort (HP) (dated to ca. 61 000 years ago), and the early, middle and late post-HP assemblages (ca. 60-55 000, 55-50 000 and 50-33 000 years ago respectively). This project aims to identify evidence for environmental change, characterise this change using qualitative and quantitative analyses, and compare the results to evidence from other proxies at Sibudu Cave and elsewhere in South Africa. HP layers (GS, GR, GR2) are dominated by evergreen forest taxa, including Podocarpus spp., Buxus sp., Brachylaena sp., Sapium/Spirostachys and Ptaeroxylon obliquum. Kirkia sp. suggests a warm, woodland savanna habitat grew beyond the forest vegetation. Early post-HP layers (Eb, SPCA, BSp) contain taxa from evergreen, riverine forest communities, including Erica spp., Leucosidea sericea, and Rapanea melanophloeos. Some of the taxa in these layers suggest a shift in vegetation, possibly related to the marine regression of the Last Glacial, bringing taxa currently found further inland towards the site. Fewer evergreen forest components, and more bushveld taxa, are present in the middle post-HP (RSp, OMOD, MOD) than in the previous layers. Some of the taxa are only found in northern South Africa in regions that are significantly drier than modern KwaZulu-Natal. These layers also contain more Acacia spp. and other Fabaceae taxa and fewer Erica spp. than the samples from the early post-HP. This may be a result of environmental change, a change in wood selection, charcoal fragmentation, or sampling bias. Layer Bu, within the late post-HP, contains evergreen and deciduous taxa many of which are found in KwaZulu-Natal today. Kirkia sp. again provides evidence for a dry habitat not iv currently found in the region. Many Types were defined in Bu, which may indicate a vegetation community for which there is currently no reference material. Temperature and moisture indices produced using the Factor Analysis suggest warm and moist conditions during the HP layers. During the early post-HP conditions became cooler with intermediate moisture levels. Subsequently, conditions were warm and dry (middle post-HP) and then warm with a little more moisture indicated (late post-HP). Good fuelwoods were routinely collected during the post-HP. In contrast, the HP layers are dominated by Podocarpus spp. and many of the good fuelwoods, such as Acacia spp. and Erica spp., are absent. This pattern may be a result of changes in the environment, sample bias or a development of awareness of wood properties between the HP and post-HP occupations. The charcoal results corroborate palaeoenvironmental interpretations provided by seeds and macrofauna from Sibudu Cave. When the Sibudu Cave data are combined with data from other sites it is apparent that, although conditions in the summer rainfall region during the Last Glacial were generally dry, there is evidence for localised variation in vegetation and climate.

This dissertation describes the technological behaviors represented by the ~500-thousand-year-old stratum 4a lithic assemblage from Kathu Pan 1 (KP1), Northern Cape, South Africa, and situates new evidence from this site into evolutionary context. The findings highlight the significance of the early Middle Pleistocene in Africa for understanding behavioral evolution in later Homo. The stratum 4a assemblage at KP1 represents a mainly flake and blade-based industry that employed multiple strategies to produce blanks that were retouched into a variety of forms, including unifacially retouched points. Diverse core reduction strategies at KP1 suggests that KP1 hominins were flexible to the demands of local raw materials, consistent with increased degrees of ‘behavioral variability’ and adaptability. Several lines of evidence indicate that the KP1 points were used as spear tips. Points from sites ~300 thousand years ago (ka) and younger were often used as weapon tips, and evidence for this behavior can now be pushed back to ~500 ka, with important implications for cognition and social behavior among early Middle Pleistocene hominins. Raw materials in the KP1 assemblage were acquired from multiple local sources. Based on comparisons with a sample from the underlying stratum 4b Acheulean assemblage, the stratum 4a assemblage does not exhibit major changes in the kinds or quality of raw material exploited; thus, the technological changes represented by the stratum 4a assemblage are not explained by changes in raw material. New evidence from KP1 poses problems for current models that link the appearance of Middle Stone Age technologies to speciation and dispersion ~300 ka. Middle Stone Age technologies appear in the African archaeological record by ~500 ka. The new timing for the origins of Middle Stone Age technologies provides a parsimonious explanation for technological similarities between the lithic assemblages of Neanderthals and modern Homo sapiens, who share a common ancestor in the early Middle Pleistocene. Limits imposed by the nature of the African archaeological record and chronometric analyses may explain why the antiquity of these technological changes was not previously recognized.

This dissertation describes the technological behaviors represented by the ~500-thousand-year-old stratum 4a lithic assemblage from Kathu Pan 1 (KP1), Northern Cape, South Africa, and situates new evidence from this site into evolutionary context. The findings highlight the significance of the early Middle Pleistocene in Africa for understanding behavioral evolution in later Homo. The stratum 4a assemblage at KP1 represents a mainly flake and blade-based industry that employed multiple strategies to produce blanks that were retouched into a variety of forms, including unifacially retouched points. Diverse core reduction strategies at KP1 suggests that KP1 hominins were flexible to the demands of local raw materials, consistent with increased degrees of ‘behavioral variability’ and adaptability. Several lines of evidence indicate that the KP1 points were used as spear tips. Points from sites ~300 thousand years ago (ka) and younger were often used as weapon tips, and evidence for this behavior can now be pushed back to ~500 ka, with important implications for cognition and social behavior among early Middle Pleistocene hominins. Raw materials in the KP1 assemblage were acquired from multiple local sources. Based on comparisons with a sample from the underlying stratum 4b Acheulean assemblage, the stratum 4a assemblage does not exhibit major changes in the kinds or quality of raw material exploited; thus, the technological changes represented by the stratum 4a assemblage are not explained by changes in raw material. New evidence from KP1 poses problems for current models that link the appearance of Middle Stone Age technologies to speciation and dispersion ~300 ka. Middle Stone Age technologies appear in the African archaeological record by ~500 ka. The new timing for the origins of Middle Stone Age technologies provides a parsimonious explanation for technological similarities between the lithic assemblages of Neanderthals and modern Homo sapiens, who share a common ancestor in the early Middle Pleistocene. Limits imposed by the nature of the African archaeological record and chronometric analyses may explain why the antiquity of these technological changes was not previously recognized.

abstract: In recent years, southern Africa has figured prominently in the modern human origins debate due to increasing evidence for precocious behaviors considered to be unique to our species. These significant findings have included bone tools, shell beads, engraved ostrich eggshell, and heavily ground and engraved ochre fragments. The presence of ochre in Middle Stone Age (MSA, ~250-40kya) archaeological sites in southern Africa is often proposed as indirect evidence for the emergence of symbolic or artistic behavior, a uniquely modern human trait. However, there is no remaining artwork from this period and there is significant debate about what the ochre may have been used for. With a few exceptions, ochre has gone largely unstudied. This project tested competing models for ochre use within the Pinnacle Point (PP), South Africa research area. Combined results from characterization and sourcing analyses, color classification, heat treatment analysis, and hafting experiments suggest MSA ochre is tied to early symbolic or ritual behavior. / Dissertation/Thesis / Ph.D. Anthropology 2012

L’utilisation de l’ocre, interprétée comme la preuve d’une cognition complexe et dans certains cas d’un comportement symbolique, est l’un des traits culturels les plus controversés en contexte paléolithique. Les analyses systématiques de ses différentes phases de traitement sont rares, particulièrement en Afrique de l’Est, malgré l’importance de cette région pour l’étude de l’origine de l’homme moderne. Le but de cette thèse est de reconstruire la chaîne opératoire du traitement de l’ocre à la grotte du Porc-Épic (Dire Dawa, Éthiopie), site clef de la Corne de l’Afrique, afin de déterminer sa fonction et son rôle au sein de populations MSA. Nos résultats montrent que cette collection d’ocre est la plus abondante connue jusqu’à présent dans un site paléolithique, avec 40 kg d’ocre (n = 4213 pièces), 21 outils de traitement et deux galets ocrés trouvés dans des niveaux de ca. 40 ka cal BP. L’analyse de la distribution spatiale a permis de déterminer que la séquence n’a pas été perturbée significativement. Nous avons identifié des zones d’accumulation d’ocre interprétées comme des aires consacrées au traitement de ce matériel. L’analyse technologique a permis d’identifier une grande variété de traces d’utilisation. A travers une analyse par μ-Raman, MEB-EDS et DRX nous avons démontré que les meules et broyeurs ont été utilisés pour traiter différentes types d’ocre. La variété de matières premières et des techniques de traitement indiquent une production de poudres de différentes couleurs et textures, adaptées à des fonctions diverses. Une continuité dans le traitement de l’ocre a été mise en évidence le long de la séquence et interprétée comme le reflet d’une adaptation culturelle transmise au cours du temps. Des analyses rugosimétriques ont montré que l’ocre était traitée pour produire des quantités réduites de poudre. Cela, ainsi que la présence d’un galet possiblement utilisé comme tampon, semblent indiquer une utilisation de l’ocre pour des activités symboliques. Une analyse ethnoarchéologique de l’ocre chez les Hamar (Éthiopie) nous a permis d’évaluer la complexité du traitement de ce matériel et de souligner sa fonction à la fois utilitaire et symbolique. / Ochre is one of the most controversial features found at Palaeolithic sites. It is often interpreted as proof of behavioural complexity and, in some cases, as a marker of symbolically mediated behaviour. Detailed reconstructions of ochre processing techniques are rare, particularly in East Africa, despite the fact that it is one of the most significant areas for the study of the emergence of Homo sapiens. The aim of this thesis is to conduct a detailed reconstruction of the ochre chaîne opératoire at Porc-Epic Cave (Dire Dawa, Ethiopia), key site for the East African Middle Stone Age (MSA). Our approach permits the function of ochre and its significance for late MSA groups to be explored. Our results show that this site has yielded the largest known MSA ochre collection, comprising 40 kg of ochre (n = 4213 pieces), 21 ochre processing tools and two ochre stained artefacts from levels dated to ca. 40 ka cal BP. The analysis of the spatial distribution suggests that no major post-depositional reworking occurred at the site and allowed us to identify ochre accumulations, interpreted as areas devoted to ochre processing. Different types of modification marks were identified. SEM-EDS, μ-Raman and XRD analyses conducted on ochre residues from the processing tools suggest that these tools were used to process different types of ochre.The variety of raw materials and processing techniques indicates that ochre powder of different coarseness and shades was used for a variety of functions. Our results identify patterns of continuity in ochre acquisition, treatment and use, interpreted as the expression of a cohesive cultural adaptation, consistently transmitted through time. Rugosimetric analyses show that ochre was probably processed to produce small amounts of ochre powder. Additionally, a pebble possibly used as a stamp was identified. This seems to suggest a use of ochre for symbolic activities. An ethnoarchaeological analysis of ochre use among the Hamar, Ethiopia, allowed us to evaluate the complexity of the ochre chaîne opératoire and to highlight its use in both functional and symbolic activities.

Ce travail de thèse présente une nouvelle lecture technologique des industries lithiques qui documentele Middle Stone Age de la fin du Pléistocène moyen en Ethiopie. Il s’appuie principalement sur une ré-analyse detrois sites majeurs de Gademotta et Kulkuletti (Région du lac Ziway, Vallée du Rift éthiopien), initialement fouillés par F. Wendorf, R. Schild et collaborateurs en 1972. Le croisement des donnés technologiques sur cesindustries à l’échelle locale permet d’aborder la question des dynamiques évolutives qui accompagnenl’émergence des premiers Homo sapiens dans la Corne de l’Afrique. Alors que les traditions techniques montrent une forte stabilité au cours du temps, notamment parl’emploi majoritaire d’une grande diversité de méthodes Levallois de débitage pour la production d’éclats et delames, se dégagent des caractéristiques techniques spécifiques qui se révèlent être des marqueurs régionaux echronologiques. Un changement majeur s’opère sur le plan conceptuel et se caractérise par une augmentation dela prédétermination des morphologies d’outils au débitage, notamment des outils phares du Middle Stone Age les outils à bords convergents (pointes). Ce changement s’accompagne d’une diminution du recours aufaçonnage et du développement de méthodes Levallois dévolues à la production d’éclats triangulaires. Encorollaire, le recours au procédé technique du coup de tranchet latéral, fréquemment appliqué aux outilstriangulaires façonnés dans les phases anciennes, diminue puis disparait au profit d’outils aux bords peutransformés. L’étude met également en exergue la maîtrise de la production laminaire Levallois, dès les phasesanciennes, antérieures à 280 ka, ainsi que la production ubiquiste de petits éclats laissés brut comme un objectifdu débitage Levallois et non Levallois à part entière. Cette étude renseigne les changements comportementaux à l’œuvre aux lendemains de l’Acheuléen, àune période charnière de l’évolution humaine, qui demeure peu documentée. Cette phase initiale du MiddleStone Age est un jalon essentiel dans la Préhistoire africaine qui annonce les phases plus récentes de la périodedurant lesquelles se multiplient les manifestations de comportements symboliques dans certaines parties ducontinent, ainsi que l’emprunt de routes de sortie d’Afrique par l’Homo sapiens. / This thesis presents new technological insights concerning Middle Stone Age (MSA) lithic industries from the end of the Middle Pleistocene in Ethiopia. Based mainly on a reanalysis of three major occupation sites from Gademotta and Kulkuletti (Lake Ziway Area, Main Ethiopian Rift Valley) initially excavated by F. Wendorf, R. Schild and collaborators in 1972, a local-scale comparison of the technology from these three nearby sites enables the evolutionary dynamics accompanying the emergence of Homo sapiens in the Horn of Africa to be discussed. While most of the technical traditions are stable through time, particularly the use of a broad diversity of Levallois methods for producing flakes and blades, several technical idiosyncrasies are also evident and can be considered strong regional and chronological markers. A major conceptual change is characterised by an increase in the predetermination of tool shape during the core reduction process, especially for the major MSA tool group – tools with convergent edges (points). This shift is accompanied by a decrease in the use of shaping techniques (façonnage) and the development of Levallois methods for the production of triangular flakes. The use of the lateral tranchet blow technique, frequently applied to triangular tools during the oldest phases, also decreases and then disappears with tools bearing little transformation becoming dominant. Furthermore, this analysis documents well-developed technical skills evident in earliest occurrences (before 280 ka) of Levallois blade production coexisting with the ubiquitous and independent Levallois and non Levallois production of small flakes. This study highlights behavioural changes evident during the still poorly documented post-Acheulean period, a turning point in human evolution. These initial stages of the Middle Stone Age are crucial for African prehistory as they set the stage for subsequent periods which see not only an increase in symbolic behaviours, but the expansion of Homo sapiens out of Africa.

En Afrique Australe, plusieurs sites attribués au Middle Stone Age (MSA) ont livré de grandes quantités de blocs « d’ocre », suggérant une longue tradition d’exploitation, bien avant l’occurrence des premières peintures rupestres. Les indices sur la fonction de ce matériau et le but pour lequel il a été utilisé sont rares, ce qui a conduit à plusieurs hypothèses. Certains auteurs leur ont associé des comportements symboliques tandis que d’autres ont montré qu’une utilisation « utilitaire » était possible. La question de la fonction et du rôle qu’occupait l’ocre est par ailleurs centrale dans le contexte du MSA, étant donnée l’émergence de plusieurs innovations, production de perles, de motifs gravés et technologies de taille spécifiques. Le site de Diepkloof Rock Shelter apparait particulièrement propice pour tenter de comprendre les comportements associés à l’exploitation de l’ocre, du fait de sa longue séquence fouillée récemment. Ce travail propose d’aborder les différentes étapes de l’exploitation de l’ocre, de la collecte des matières premières à l’utilisation, à partir de l’étude des blocs. Plusieurs méthodes d’observations et d’analyse physico-chimique (MEB-EDS, DRX, ICP-MS, TL, TEM et PIXE) ont été mises en œuvre pour identifier les matières premières, leur provenance, et les transformations opérées. Des prospections et une comparaison avec un corpus géologique ont permis de déterminer l’origine géologique des objets. Des expérimentations et une étude des traces d’usure ont permis d’identifier les transformations. Les résultats obtenus indiquent que des distances supérieures à 20 km ont été parcourues pour l’acquisition de certaines matières premières, dont on constate qu’elles sont plus riches en fer que celles accessibles localement. Les matières premières ont été presque systématiquement abrasées pour produire de la poudre. Ces résultats sont compatibles avec une fonction comme agent siccatif, couvrant ou colorant. Enfin, la continuité avec laquelle l’ocre est exploitée à Diepkloof malgré les changements survenus dans les techno-complexes, ainsi qu’un usage différent par rapport à d’autres sites, suggère que l’ocre a pu jouer un rôle dans les relations sociales inter et intra-groupes. / During the Middle Stone Age hundreds of ochre pieces were discovered on numerous southern Africansites long before the first occurrences of rock paintings, suggesting an important tradition of ochreexploitation. How this material was used remains however uncertain: while symbolic uses are often assumed,archaeological evidence also suggest utilitarian functions. The function and the value attributed to ochrematerials are of high interest for an overall perspective of the Middle Stone Age context, associated with theemergence of different innovations such as new lithic technology, bead production and geometric engravings.The site of Diepkloof Rock Shelter offers a unique opportunity to discuss these questions over a long recentlyexcavated MSA sequence. In this work the modalities of selection and transformation were investigated bystudying the main witnesses of ochre exploitation, the raw and processed pieces. The nature of the rawmaterials, their geological origin and the processing steps were determined by using macroscopic observationand different analytical methods (SEM‐EDXS, XRD, ICP‐MS, PIXE, TL and TEM). Surveys were carried out andarchaeological pieces were compared with geological materials in order to define where they come from.Experimentations have been performed in order to identify mechanical and chemical transformation. Theresults obtained show that some raw materials come from relative long distance, and that they are richer iniron oxide than more local sources. Wear traces indicate that ochre were ground to produce powder, whichcould function as drying agent, protective coating, or pigment. The continuity of this material’s exploitation allover the sequence, and regional uses of this material suggested by the comparison of Diepkloof with othersites, led us to assume that ochre may have favoured intra and inter‐group socials relationships at this time.

Faculty of Science School of Geography,Archaeology and Enviromental Studies 0310392a smami2003@yahoo.co.uk / Points are often the most abundant retouched lithics in MSA collections yet very little research has been done on their functions, especially in southern Africa where it has always been assumed that points were spears. This paper reports on the results of a technological analysis of two types of points from Rose Cottage Cave, South Africa. The study aims at examining the possibility that thick, broad points from various post-Howiesons Poort layers dating between 50 000 and 28 000 years ago were used as spearheads that were thrust at prey, while the narrow, thin points from one of the final MSA layers, Dc, (between 31 000 and 29 000 years old), were used as arrowheads that may have transported poison to prey. The results indicate that the former type of points were more likely to have been used as spearheads while the latter type were more likely to have been arrowheads.

Scholars of the Late Pleistocene in Southern Africa have recently sought to develop models explaining long-term variation between Middle Stone Age and Late Stone Age assemblages in terms of variability between “macrolithic” vs. “microlithic” toolmaking systems associated with shifts in hunter-gatherer ecology and land use patterns. While it has often proven extremely difficult to actually test many models, recently developed methods allow us to do so in novel ways. In this dissertation, I use new archaeological data from excavations of two sites in the Namib Desert, as well as new approaches to sourcing lithic artifacts to examine the hypothesis that contrasts between terminal Pleistocene (ca. 15-20 ka BP) and early Holocene (ca. 6-12 ka BP) occupation phases at the two sites represent adaptive responses primarily driven by changes in fluvial regimes and the resource productivity of riparian corridors. Analyzing the lithic assemblage compositions and locating probable source areas for raw materials suggests that terminal Pleistocene groups likely centered land use strategies more toward upland areas east of the study sites and periodically followed broad riparian corridors into the desert itself. Early Holocene groups expanded their ranges and more intensively targeted resources on the open desert plains, dunes, and beaches of the coastal lowlands. My results suggest environmental change may be partially responsible for driving this shift, but new data and methodological tools are needed to address factors like fluctuations in regional population size that may have been driving shifts in the late Pleistocene record of this unique region of Southern Africa.

Stone tools have a critical role to play in our understanding of the behavior of early humans. In particular, the types of raw materials that are present in stone tool assemblages, and the sources from which they are acquired, provide information relating to decision making processes, planning, organization of technology, and group mobility. The characterization of Stone Age lithic artifact assemblages from two rockshelter sites in southern Tanzania, Magubike and Mlambalasi, allowed for the evaluation of inter- and intra-assemblage variability. Raw material characterization was conducted using macroscopic and microscopic analyses. Numerous raw material sourcing studies have been undertaken on Stone Age lithic assemblages recovered from sites in Tanzania and the rest of East Africa. Generally these studies have concentrated on identifying the sources of a particular type of stone raw material such as chert, obsidian, and basalt; however, rarely are the attributes of the whole assemblage examined. Furthermore, few archaeologists describe stone materials in terms of their basic petrographic characteristics. Both of these weaknesses are the direct result of the lack of a standardized methodology for describing lithic raw materials, thus this dissertation outlines a strategy for raw material sourcing, with a focus on description and grounded in geoarchaeological theory. When combined with typological and technological analyses, the results of the raw material analyses suggests the exclusive use of locally acquired lithics.