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Journal of Human Evolution 52 (2007) 243e261
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The ‘human revolution’ in lowland tropical Southeast Asia: the
antiquity and behavior of anatomically modern humans
at Niah Cave (Sarawak, Borneo)
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Graeme Barker a,*, Huw Barton b, Michael Bird c, Patrick Daly d, Ipoi Datan e,
Alan Dykes f, Lucy Farr g, David Gilbertson h, Barbara Harrisson i, Chris Hunt j,
Tom Higham k, Lisa Kealhofer l, John Krigbaum m, Helen Lewis n, Sue McLaren o,
Victor Paz p, Alistair Pike q, Phil Piper r, Brian Pyatt s, Ryan Rabett a, Tim Reynolds t,
Jim Rose g, Garry Rushworth u, Mark Stephens b, Chris Stringer v,
Jill Thompson w, Chris Turney x
a
Received 5 April 2006; accepted 31 August 2006
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McDonald Institute for Archaeological Research, University of Cambridge, Downing Street, Cambridge CB2 3ER, UK
b
School of Archaeology and Ancient History, University of Leicester, Leicester LE1 7RH, UK
c
School of Geography and Geosciences, University of St. Andrews, St. Andrews, Fife KY16 9AL, UK
d
Asia Research Institute, National University of Singapore, Singapore 117570
e
Sarawak Museum Department, Tun Abang Haji Openg Road, 94566 Kuching, Sarawak, Malaysia
f
62 Lowerhouses Lane, Huddersfield HU5 8JY, UK
g
Department of Geography, Royal Holloway, University of London, Egham TW20 0EX, UK
h
School of Geography, University of Plymouth, Plymouth PL4 8AA, UK
i
Op e terp, Jelsum 9057 RG, Netherlands
j
School of Archaeology and Palaeoecology, Queen’s University Belfast, Belfast BT7 1NN, UK
k
Oxford Radiocarbon Accelerator Unit, Research Laboratory for Archaeology and the History of Art, Dyson Perrins Building,
South Parks Road, University of Oxford, Oxford OX1 3QJ, UK
l
Department of Anthropology, Environmental Studies Institute, Santa Clara University, Santa Clara, CA 95053, USA
m
Department of Anthropology, University of Florida, Gainesville, Florida 32611, USA
n
School of Archaeology, Newman Building, University College Dublin, Belfield, Dublin 4, Ireland
o
Department of Geography, University of Leicester, Leicester LE1 7RH, UK
p
Archaeological Studies Program, University of the Philippines, Diliman, Quezon City 1101, Philippines
q
Department of Archaeology, University of Bristol, 43 Woodland Road, Bristol BS8 1UU, UK
r
Department of Archaeology, University of York, The King’s Manor, York YO1 7EP, UK
s
Interdisciplinary Biomedical Research Centre, College of Science and Technology, Nottingham Trent University, Nottingham NG11 8NS, UK
t
Birkbeck College, Faculty of Continuing Education, University of London, London WC1B 5DQ, UK
u
Department of Geography and Environmental Sciences, University of Bradford, Bradford BD7 1DP, UK
v
Department of Palaeontology, The Natural History Museum, London SW7 5BD, UK
w
Department of Archaeological Sciences, University of Bradford, Bradford BD7 1DP, UK
x
GeoQuest Research Centre, School of Earth and Environmental Sciences, University of Wollongong, Wollongong NSW 2522, Australia
* Corresponding author. McDonald Institute for Archaeological Research, University of Cambridge, Downing Street, Cambridge CB2 3ER, UK.
E-mail addresses: gb314@cam.ac.uk (G. Barker), hjb15@le.ac.uk (H. Barton), michael.bird@st-andrews.ac.uk (M. Bird), aripd@nus.edu.sg (P. Daly), ipoid@
sarawaknet.gov.my (I. Datan), alandykes@nascr.net (A. Dykes), l.r.farr@rhul.ac.uk (L. Farr), bdglbrtsn@aol.com (D. Gilbertson), b.harrisson@tiscali.nl (B.
Harrisson), c.hunt@qub.ac.uk (C. Hunt), thomas.higham@archaeology-research.ox.ac.uk (T. Higham), lkealhofer@scu.edu (L. Kealhofer), krigbaum@ufl.edu
(J. Krigbaum), helen.lewis@ucd.ie (H. Lewis), sjm11@le.ac.uk (S. McLaren), victor.paz@up.edu.ph (V. Paz), alistair.pike@bristol.ac.uk (A. Pike),
phil_piper2003@yahoo.ie (P. Piper), brian.pyatt@ntu.ac.uk (B. Pyatt), rjr21@cam.ac.uk (R. Rabett), te.reynolds@bbk.ac.uk (T. Reynolds), j.rose@rhul.ac.uk
(J. Rose), g.rushworth@bradford.ac.uk (G. Rushworth), ms338@le.ac.uk (M. Stephens), c.stringer@nhm.ac.uk (C. Stringer), j.b.thompson@bradford.ac.uk
(J. Thompson), turney@uow.edu.au (C. Turney).
0047-2484/$ - see front matter Ó 2006 Elsevier Ltd. All rights reserved.
doi:10.1016/j.jhevol.2006.08.011
244
G. Barker et al. / Journal of Human Evolution 52 (2007) 243e261
Abstract
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Recent research in Europe, Africa, and Southeast Asia suggests that we can no longer assume a direct and exclusive link between anatomically modern humans and behavioral modernity (the ‘human revolution’), and assume that the presence of either one implies the presence of the
other: discussions of the emergence of cultural complexity have to proceed with greater scrutiny of the evidence on a site-by-site basis to
establish secure associations between the archaeology present there and the hominins who created it. This paper presents one such case study:
Niah Cave in Sarawak on the island of Borneo, famous for the discovery in 1958 in the West Mouth of the Great Cave of a modern human skull,
the ‘Deep Skull,’ controversially associated with radiocarbon dates of ca. 40,000 years before the present. A new chronostratigraphy has been
developed through a re-investigation of the lithostratigraphy left by the earlier excavations, AMS-dating using three different comparative pretreatments including ABOX of charcoal, and U-series using the Diffusion-Absorption model applied to fragments of bones from the Deep Skull
itself. Stratigraphic reasons for earlier uncertainties about the antiquity of the skull are examined, and it is shown not to be an ‘intrusive’ artifact.
It was probably excavated from fluvial-pond-desiccation deposits that accumulated episodically in a shallow basin immediately behind the cave
entrance lip, in a climate that ranged from times of comparative aridity with complete desiccation, to episodes of greater surface wetness,
changes attributed to regional climatic fluctuations. Vegetation outside the cave varied significantly over time, including wet lowland forest,
montane forest, savannah, and grassland. The new dates and the lithostratigraphy relate the Deep Skull to evidence of episodes of human activity
that range in date from ca. 46,000 to ca. 34,000 years ago. Initial investigations of sediment scorching, pollen, palynomorphs, phytoliths, plant
macrofossils, and starch grains recovered from existing exposures, and of vertebrates from the current and the earlier excavations, suggest that
human foraging during these times was marked by habitat-tailored hunting technologies, the collection and processing of toxic plants for
consumption, and, perhaps, the use of fire at some forest-edges. The Niah evidence demonstrates the sophisticated nature of the subsistence
behavior developed by modern humans to exploit the tropical environments that they encountered in Southeast Asia, including rainforest.
Ó 2006 Elsevier Ltd. All rights reserved.
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Keywords: Behavioral modernity; Dating; Subsistence; Tropical environments
Introduction
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Debates concerning the ‘human revolution,’ the emergence
of cognitively-modern human behavior, have traditionally
focused on the appearance in the European archaeological
record ca. 45e30,000 years ago of material culture thought
to indicate the cognitive complexity of early Homo sapiens
compared with other archaic hominin species (Mellars,
1989, 1996, 2005). However, the re-dating of fossil human
remains at several key Aurignacian sites has shown some
remains to be intrusive (Conard et al., 2004), casting doubt
on the assumed direct correlation between Aurignacian material culture and anatomically modern humans. At the same
time, research in sub-Saharan Africa has demonstrated ancestral instances of many of the behavioral characteristics of the
European Upper Paleolithic (McBrearty and Brooks, 2000),
whilst highlighting the dangers of transposing behavioral
type-markers from one region to another (Henshilwood and
Marean, 2003). Notions of a straightforward pathway to modernity are all the more difficult to sustain in the case of Southeast Asia. Even though the region is still far less researched
than Europe or Africa, the evidence suggests that when anatomically modern humans entered ‘Sundaland’dthe vast
land mass created by sea-level lowering that linked much of
what is now Island Southeast Asia to the mainland in the
Late Pleistocene (Voris, 2000)dit was inhabited by at least
one other species of Homo, H. floresiensis (Morwood et al.,
2004, 2005), and perhaps H. erectus (Swisher et al., 1996;
Dennell, 2005; but see Grün and Thorne, 1997; Storm et al.,
2005). The remains of H. floresiensis are reported to be
associated with stone technologies that have some of the
characteristics of the European Upper Paleolithic (Morwood
et al., 2005; Brumm et al., 2006). As Trinkaus’ (2005) recent
review of the fossil evidence for early modern humans demonstrates, discussions of the development of modernity should
now insist on greater scrutiny of the evidence on a siteby-site basis to establish secure associations between the
archaeology and the hominins. This paper presents one such
investigation.
The Great Cave of Niah is one of a system of enormous
caverns on the northern edge of the Gunong Subis, a limestone
massif on the coastal plain of Sarawak (East Malaysia) in
northern Borneo (Wilford, 1964; Fig. 1). The West Mouth is
situated ca. 15 km from the South China Sea, with its entrance
lip at ca. 50 m above sea level (3 490 0900 N, 113 460 4200 E). A
campaign of major excavations was conducted by Tom and
Barbara Harrisson in the 1950s and 1960s immediately
inside several of the entrances, especially in the West Mouth
(Harrisson, 1957, 1958a, 1958b, 1959a, 1959b, 1965, 1972).
The find that brought the excavations to international attention
was the discovery in February 1958 of an anatomically modern human skull, the so-called ‘Deep Skull’ (Brothwell,
1960; Fig. 2). Charcoal collected near its location the previous
year yielded an uncalibrated (but corrected for Suess effect:
Vogel and Waterbolk, 1963) radiocarbon date of 39,820
1,012 BP (GrN-1339C). Another date of 41,720 1,012 BP
(GrN-1338C) was originally published by de Vries and
Waterbolk (1958), which was also influential, but subsequently found to be a mixture of samples and regarded by
de Vries as invalid (Krigbaum, 2001). In the 1950s and
1960s, these were the earliest dates for anatomically modern
human remains anywhere in the world (Harrisson, 1959a).
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G. Barker et al. / Journal of Human Evolution 52 (2007) 243e261
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Fig. 1. The location of Niah Cave in Island Southeast Asia at the Last Glacial Maximum (LGM) of the Late Pleistocene, with sea levels ca. 120 m lower than today,
with no allowance for tectonically-induced changes (redrawn with changes from Voris, 2000). Inset: interior view of the West Mouth (ca. 150 m wide and ca. 75 m
high)dthe archaeological zone is in the top right-hand corner (Photograph: G. Barker).
ca. 5,000e2,500 years ago. Since these excavations, Niah’s
West Mouth has been regarded as pre-eminent in the archaeology of Island Southeast Asia for the length and significance of
its occupation sequence (e.g., Bellwood, 1997).
Although the Harrissons and their collaborators published
numerous interim reports and specialist papers, they never
published a final comprehensive report on the site with detailed consideration of the evidence of the stratigraphic
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The Deep Skull was found in a trial trench (‘EE’ in the
Harrisson excavation system, but referred to by them as
‘Hell’) excavated a few meters east of the cave lip and
a few meters south of a rock overhang in the northwest corner
of the West Mouth (Fig. 3). The Harrisson excavations also
found evidence for the subsequent human use of this part of
the West Mouth in the later Pleistocene and early Holocene,
the latter including hundreds of ‘Neolithic’ burials dating to
Fig. 2. The ‘Deep Skull’: (left) at the moment of its discovery in 1958; (right) after consolidation, next to a modern human skull (Left photograph with permission
of Sarawak Museums; right photograph: J. Krigbaum).
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G. Barker et al. / Journal of Human Evolution 52 (2007) 243e261
in the Hell Trench area that tended to be defined in terms of
color: ‘yellow clay’; ‘pink-red silts’ with significant incorporation of ‘clay lumps’; ‘pink and white’; and ‘bone under ash’
(Harrisson, 1961). These imprecise and unclear terms were
used to describe the section in each locality, but no overall lithostratigraphy was developed from them. Rather, T. Harrisson
believed that the site’s stratigraphy could be understood
through the slow and incremental accumulation of airfall
guano and other residual materials including human and other
biological remains (Gilbertson et al., 2005). The new investigations (Barker et al., 2002; Gilbertson et al., 2005; Stephens
et al., 2005) have: established the principal features of the geomorphologic/stratigraphic succession and have demonstrated
that it is radically different in nature and origins to that
described by the original excavators; accurately located the
main archaeological layers; provided a new radiocarbon chronology; related these findings to each other and to the key
artifactual, faunal, and botanical remains preserved in the Harrisson Archive in Sarawak Museum.
The field mapping and section logging have employed the
lithofacies concept of Reading (1996), which recognizes that
distinct bodies of sediment can be distinguished on the basis
of their lithology and geometry. These properties reflect the
geomorphic processes and depositional environment, and
mean that deposits with similar characteristics may have
formed at different times, and similar types of deposit or
depths within a sequence do not necessarily imply similarities
in age. Likewise, considerable attention was given to interpolating the geometry of deposits, as well as the contacts between lithofacies, to facilitate the recognition of episodes of
deposition, erosion, deformation, and soil formation.
Following the success of three initial Accelerated Mass
Spectrometry (AMS) dates on charcoal obtained using the
ABOX method of pre-treatment (Bird et al., 1999), the Oxford
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locations of the Deep Skull and related finds. One suspicion
sustained through the decades since has been that the Deep
Skull might be intrusive from one of the later ‘Neolithic’
burials (e.g., Kennedy, 1979; Bulbeck, 1982; Solheim, 1983;
Bellwood, 1997; Wolpoff, 1999; Storm, 2001). The absence
of detailed published information on the paleogeography,
stratigraphic relationships, paleontology, and archaeology of
the cave-entrance sequence also inhibited the interpretation
of the large archive of archaeological remains from the Harrisson excavations. Published results based on a later small-scale
excavation (Majid, 1982) meant that a greater understanding
of the site was disseminated, and this work became the principal point of reference on Niah in the wider literature, but it
also indicated that some pivotal issues remained unresolved.
In 2000, a renewed program of fieldwork under the
auspices of the Sarawak Museum was initiated within and
around Niah to establish the cave’s complex history. The
work has involved a comprehensive site-reconstruction based
on surviving sequences and the extensive materials collected
during the Harrisson excavations (Barker et al., 2002; Barker,
2005; Gilbertson et al., 2005). This paper reports our findings
regarding the Pleistocene stratigraphy of the West Mouth and
the antiquity of the Deep Skull, and provides insights into the
character of early modern human activity at Niah through
analysis of associated evidence.
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Fig. 3. Looking west over the Hell Trench (covered by the modern shelter visible in the lower foreground) to the cave rampart, with the rock overhang on the right;
this zone was the focus of Pleistocene human occupation in the West Mouth excavated by the Harrissons (Photograph: G. Barker).
The Pleistocene stratigraphy of the West Mouth of
Niah Great Cave
Most of the sediments in the archaeological zone of the
West Mouth of the Great Cave were removed by the original
excavations, notably at the exact location of the find spot of
the Deep Skull. The unpublished records suggest that the excavators recognized four recurrent types of ‘soils’ (deposits)
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G. Barker et al. / Journal of Human Evolution 52 (2007) 243e261
charcoal in the Harrison Excavation Archive. The locations
of the archaeological faces (sections) from which the new
charcoal samples were taken are identified in Fig. 4, and the
locations of the sample points in the Hell Trench sections
are shown in Fig. 5. The dates listed in Table 1 are shown
as both uncalibrated and calibrated, the latter calculated using
the Fairbanks’_0805 methodology derived from coral dating
(Fairbanks et al., 2005), though it should be noted that there
is no general agreement on the calibration of ages greater
than 26 cal. kyrs BP, and that the general applicability of the
Fairbanks calibration has been questioned (e.g., Reimer
et al., 2006).
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Radiocarbon Laboratory has dated a series of charcoal samples from the Niah Pleistocene sediments using different
pre-treatments, including the ABOX method, on sub-samples
of each sample. Optically Stimulated Luminescence (OSL)
dating was also attempted, but the guano-rich sediments
proved unsuitable with present approaches (Stephens et al.,
in press; Stephens, 2004). Two new Uranium-series (U-series)
age-determinations of bone fragments from the Deep Skull are
also reported here. The radiocarbon dates obtained by the
project relevant to the Pleistocene occupation discussed in
this paper are listed in Table 1. Some of them have been
obtained from charcoal collected in the field, others from
Table 1
Niah Cave Project radiocarbon dates on charcoal and (below) original Gröningen dates on charcoal from Late Pleistocene sediments in the West Mouth, Niah Great
Cave
3132
3131
3134(1)
3134(2)
3140
3143
3158
Litho-facies 2 ‘hearth’
Litho-facies 2 ‘hearth’
96e9900
99e10200
105e10800
108e11100
111e11400
114e11700
111e11400
48e6000
48e6000
72e9600
120e12300
1066
1067
1057
72e7800
2096
2085
2075
2078
2079
1015
1020
1027
10600
HELL
HELL
HELL
1
th
Au
HELL
ABOX
ABOX
ABOX
ABOX
ABOX
ABOX
ABOX
ABOX
ABOX
ABOX
ABOX
ABOX
ABOX
ABOX
ABOX
ABOX
ABOX
ABOX
ABOX
ABOX
ABOX
ABOX
ABOX
ABOX
A-B-A
A-B-A
ABOX
ABOX
ABOX
A-B-A
A-B-A
A-B-A
ABOX
Age (BP) uncalibrated
Age (BP) calibrated4
Niah-312
OxA-V-2057-27
OxA-V-2059-11
OxA-V-2057-28
OxA-V-2057-29
OxA-V-2057-30
OxA-V-2057-31
Niah-310
Niah-311
OxA-15621
OxA-15622
OxA-15623
OxA-15624
OxA-15625
OxA-15626
OxA-15126
OxA-15627
OxA-15628
OxA-15629
OxA-15630
OxA-V-2076-13
OxA-V-2076-14
OxA-V-2076-15
OxA-15164
OxA-11302
OxA-11303
OxA-V-2077-7
OxA-V-2077-8
OxA-V-2077-9
OxA-11549
OxA-11550
OxA-11034
OxA-V-2076-16
40,100 550
44,250 650
34,880 390
34,000 270
44,100 700
44,100 700
45,900 800
42,490 600
41,690 600
42,550 500
34,180 230
39,750 450
33,940 230
42,650 500
42,850 500
35,000 400
15,365 60
15,485 65
43,400 700
41,200 400
37,800 320
36,960 300
44,750 650
36,470 250
33,790 330
29,070 220
17,770 65
21,360 90
20,480 90
8,630 45
19,650 90
27,960 200
35,690 280
44,312 404
Outside calibration
40,349 561
39,136 567
Outside calibration
Outside calibration
Outside calibration
46,100 560
45,381 555
46,159 467
39,431 450
44,097 436
39,044 535
42,646 463
46,417 457
40,498 562
18,631 54
18,723 79
46,933 901
44,941 329
42,429 203
41,935 193
Outside calibration
41,648 163
38,781 690
34,028 501
21,187 98
25,670 186
24,403 104
9,562 37
23,573 111
32,695 180
41,179 199
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26.1
26.2
26.2
26.2
26.2
26.2
26.2
1.3
1.3
HP/10b
HP/10b
HP/10b
HP/10b
HP/10b
HP/10b
HE/11
E/B2b
E/B2b
E/B2b
HS/3
3.1
3.1
3.1
W/E2
2.1
2.1
2.1
8.1
8.1
10.1
10.1
12.1
H19
Lab. Code3
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2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
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Section2
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Context and comment5
Lab. code
Age (BP) uncalibrated
Age (BP) calibrated
‘Bone under ash,’ but in reality a mixture
of two samples (GrO 1333 and GrO 1339);
this date is rejected
‘Bone under ash’
‘Bone under ash’
‘Bone under ash’
GrN-1338C; formerly Gro-1338
41,720 1000
45,278 816
GrN 1339C; formerly GRO-1339
GrN 1158C, formerly Gro-1158:
GrN-1159C, formerly Gro-1159
38,820 1000
32,870 700
18,180 190
44,034 819
37,793 871
21,750 300
Dates 10e20, 24, and 33 are from charcoal samples in the Harrisson Excavation Archive identified to a Harrisson grid, lithofacies, and depth.
See Fig. 4 for location of main sections.
3
‘Niah’ dates were range-finding ABOX dates by M. Bird at ANU Canberra; OxA dates are normal AMS dates; OxA-V dates were obtained using three
comparative pre-treatments including ABOX.
4
The calibration uses the Fairbanks’_0805 methodology derived from coral dating (Fairbanks et al., 2005; but see Reimer et al., 2006).
5
Original Gröningen dates from charcoal samples collected shortly before the Deep Skull’s discovery (see text for discussion).
2
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G. Barker et al. / Journal of Human Evolution 52 (2007) 243e261
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Fig. 4. The distribution of fauna in the basal spits of the Harrisson grid identified as their ‘bone under ash layer,’ and the location of the main sections from which
radiocarbon dates have been obtained (see Table 1). ‘NCP’ pollen samples are those taken by the current project.
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The Late Pleistocene sediments into which the Hell
Trench was excavated filled a natural linear hollow aligned
parallel to the cave entrance. This opened northwards into
a wider, shallow, spoon-shaped depression between the
cave entrance rampart (a bedrock ridge overlain by colluvial
sediments including fragments of a fallen speleothem tower)
and the main cone of guano that fills the interior of the West
Mouth to a depth of >10 m (Fig. 3). The main deposit filling
this basin, Lithofacies 2 (Figs. 5 and 6), with which the Deep
Skull is most closely associated, is a series of waterlain silts
and sands ca. 2.5 m thick and variously dark brown/brown/
strong brown (Munsell soil color 7.5 YR 3/4e4/4e4/6) in
color. These deposits are the ‘dark pink,’ ‘pink silts,’ and
‘red-brown silts’ of Harrisson (1961). The particle size distribution, sedimentary structures, and micromorphology show
that Lithofacies 2 was formed by running water deposition
interrupted by local erosion forming linear scour channels
up to 0.5 m deep. Evidence of bioturbation and clay skin
development indicates periods of desiccation, and the diagenetic gypsum suggests that at least subsequent to deposition,
a hot moist environment prevailed for substantial periods of
time. The number of sediment fills observed (surviving)
indicates that the site flooded on at least eight occasions,
and the presence of mass flow units indicates small scale instability generating local mass movement (Gilbertson et al.,
2005); six such episodes are indicated in Fig. 5. We obtained
ABOX-AMS dates of 42,490 600 14C years BP (46,100
600 cal. years BP; Niah-310) and 41,690 600 14C years BP
(46,381 555 cal. years BP; Niah-311) from charcoal
samples taken at the top of the exposure of Lithofacies 2
(Fig. 5: Section 1.3).
The channel-fill sequences of Lithofacies 2 are inter-bedded
with colluvial deposits sloping down from the cave entrance
rampart, designated Lithofacies 2C. These deposits slope
down from the cave entrance rampart, have a thickness that exceeds 2.5 m, and continue to form at the present day. They are
typically clay-rich and yellow brown to olive brown in color
(2.5 Y 6/4e6/6) and appear to be T. Harrisson’s ‘yellow clays.’
The relationships between Lithofacies 2 and 2C were established in particular from new excavation of one of the surviving
Harrisson baulks, HP/6 (Fig. 5: Sections 26.1/2; Fig. 7).
The lower part of the HP/6 sequence is characterized by
a series of inter-cutting channels and fills in which Lithofacies
2 and 2C interdigitate. Interbedded within the Lithofacies 2C
colluvium are multiple discrete organic-rich layers (designated
Lithofacies 2Cg) that contain ash, charcoal lumps, many fragments of animal bone, and occasional stone artifacts. The
sequences also contain evidence of bioturbation. These layers
are important data sources for the accounts of the subsistence
practices reported below and can be equated with the ‘boneunder-ash’ deposit described by Harrisson and later workers,
the estimated extent of which is shown in Fig. 4. They are
mainly associated with ephemeral land surfaces formed on
the base of the linear hollow in which Hell Trench was excavated and on the surrounding slopes leading down to it. Their
archaeological contents provide evidence of episodic visits to
the cave entrance by humans (Stephens et al., 2005). Importantly, radiocarbon dates from charcoal collected from the
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G. Barker et al. / Journal of Human Evolution 52 (2007) 243e261
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Fig. 5. The stratigraphy of the Hell Trench projected onto a west-east transect across the Hell Trench. Section 26.1 was observed on the north side of the 1-foot
thick HP/6 baulk, Section 26.2 was on its western side; the site records of this information have been reversed and joined with the section drawings of Sections 1.3
and 1.4, which were observed from the south. See Fig. 4 for the location of the sections and Table 1 for the full details of radiocarbon dates.
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surviving exposures indicate an episodic accumulation of
these organic-rich layers over the period ca. 46e34 14C kyrs
BP, or ca. 46e40 cal. kyrs BP (Table 1: nos. 1e7; Fig. 5).
There are a few apparent date inversions at the top of the
sequence, but these are not an unexpected feature in this
type of environment given the evidence of periodic incision,
mass movement, and small-scale bioturbation. Fossil burrows
from paleo-surfaces are evident within Lithofacies 2 and 2C,
and modern burrowing activity of digger wasps is visible at
several exposed surfaces. A sequence of radiocarbon dates
obtained on archived charcoal from the HP/10 trench in Hell
(Table 1: nos. 10e15) and additional spot-dating from other
Hell contexts (Table 1: nos. 16e20) confirm that residual evidence of human occupation in the order of ca. 35 14C kyrs BP
or ca. 39 cal. kyrs BP both overlays and was, in places, subsequently overlain by material dating from the phase of site-use
suggested by the group of earlier radiocarbon dates. It is possible that some of the earlier remains, eroded out of deposits
that accumulated along the cave entrance rampart, were subsequently re-deposited in the linear hollow within the cave.
The zone of human activity at the West Mouth, as identified
from the frequencies of vertebrate bone, mollusc shells, and
charcoal analyzed in the Harrisson Archive, appears to have
extended from the area of the Hell Trench northwards to
beneath the rock overhang, corresponding with the shape of
the spoon-shaped basin (Fig. 4). In confirmation of this, interbedded channel fill and colluvial sediments in the area of the
rock shelter contain further evidence for human occupation
dating to ca. 45e36 14C kyrs BP or ca. 45e41 cal. kyrs BP
(Table 1: nos. 21e24; Fig. 4; Section 3.1). The grid locations
of the archive materials indicate that this zone may also have
extended several meters to the south, though this has yet to be
confirmed in the field.
A 1.2 m deep trench, excavated underneath the HP/6 baulk
after its removal, located further colluvial and channel fill
units attributable to Lithofacies 2 and 2C (Fig. 5: Section
62.4), together with animal bone fragments, some indicators
of in situ burning, and a humanly-struck stone flake, raising
the possibility of human presence in the cave pre-dating our
earliest radiocarbon dates.
Whilst Lithofacies 2C (colluvial sediments) continues to
form at the cave mouth to this day, the deposition of Lithofacies
2 appears to have ended with the impact of a small, shallow,
mudflow of wet guano (Lithofacies 3 and 3R) from upslope
within the cave interior to the east (Figs. 5 and 6). This very distinctive unit is clearly Tom Harrisson’s ‘pink and white soil,’
that he mistakenly thought had formed at a slow and constant
rate by airfall of guano from bats and birds together with
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G. Barker et al. / Journal of Human Evolution 52 (2007) 243e261
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Fig. 6. Summary plan of the sediments within the archaeological reserve at the northwest corner of the West Mouth of Niah Great Cave.
(7.5 YR 6/3), and its characteristic white marks are secondary
growths of gypsum, not fragments of roof limestone as Harrisson supposed (Stephens et al., 2005). These lubricated guanobased materials formed a mudflow that pushed into, under, and
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fragments of cave roof throughout the period of development of
the Late Pleistocene Hell Trench sequence. The matrix in fact
varies from pale-brown (10 YR 7/4e6e4) to light yellowishbrown (10 YR 6/4) to brown (7.5 YR 5/4) and light brown
Fig. 7. The excavation of the HP/6 baulk in the Hell Trench (looking south). The visible face is Section 26.1. The archaeologist is excavating one of the more ashand organic-rich layers associated with human occupation material that form part of the overall body of colluvial sediments (Lithofacies 2C) that dip east into the
cave from the cave rampart; another organic-rich layer is visible as the white smears in the baulk behind him (Photograph: G. Barker).
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G. Barker et al. / Journal of Human Evolution 52 (2007) 243e261
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Deep Skull was found on 7th February 1958, a few inches
below the base of the 1954 trench (Fig. 2).
The Deep Skull is a partial cranium that includes a principal
calotte (parietals and frontal) and lower facial skeleton (maxilla) including two molar teeth. Additional elements include
a right occipital/parietal and a portion of the basicranium.
The bone is highly fragile and not fossilized. Much of the skull
was coated in shellac preservative upon discovery. The partial
fusion of the skull base and the extreme attrition of the right
first molar suggest that the skull belongs to an individual in
their late teens to mid-twenties, and given this near-adult or
adult age, from its size and gracility, the individual can probably be sexed as female (Birdsell, 1979; Krigbaum and Datan,
1999). Although the cranium is gracile with thin cranial bone,
traits such as squarish orbits, broad nasal aperture, moderate
prognathism, and large sundadont molars support its designation as a member of the Pleistocene population of Southeast
Asia ancestral to present-day Andaman Islanders, Negrito populations in Malaysia and the Philippines, and Australian aborigines (Brothwell, 1960; Howells, 1973; Bulbeck, 1982;
Kamminga and Wright, 1988; Brown, 1992; Krigbaum and
Datan, 1999). Near the Deep Skull were found an almost complete left femur (Krigbaum and Datan, 1999) and a right proximal tibia fragment (P. Piper and R. Rabett, pers. comm.),
almost certainly of the same individual on the basis of their
size and epiphyseal fusion stages. A human talus was found
in the faunal assemblage sent to Leiden for analysis (Hooijer,
1963).
Calculating the Deep Skull’s original location is problematical because the methods used to survey trench, spit, and artifact locations were not described explicitly by the excavators,
and the original field-notes for this part of the excavation are
no longer available. The original location has three properties
that have had to be determined: its original spatial position; its
original depth below the ground surface in relation to the Harrisson height datum(s) and modern site datum; and its lithostratigraphic relationships.
The original spatial position has never been disputed and is
readily recognized in the remaining trenches (Fig. 8); together
with other recognizable features, it is precisely shown on detailed site plans and in excavation photographs. The location
was also confirmed in the field from exact guidance provided
by local people who helped in the original excavations. We
have been able to estimate the Deep Skull’s original depth
with respect to the Harrissons’ datum and our modern cave
height datum to an accuracy of ca. 20 cm. This has been
achieved by triangulation between locations reported and/or illustrated in the original excavation archive and our own examination and surveys of the exposures in the Hell Trench. In
reporting the skull depth as 106e11000 below the ground
surface, T. Harrisson acknowledged that there was a level of
uncertainty in such calculations, which he estimated as 6e900
(ca. 15e23 cm) (Harrisson, 1959a). In an unpublished letter
to Kenneth Oakley (March 18, 1959), Barbara Harrisson described how at the moment of discovery the top of the skull
lay ‘‘face downwards’’ at 109e11000 , with the dentition at
10600 , the find being protected below ‘‘an overhanging rock’’
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over the existing deposits of Lithofacies 2, perhaps as a result
of instability caused by prolonged very intense localized wetting, or by the progressive increase in sediment load and surface slope angle caused by continuous deposition. It is
possible that a geomorphic (channelling) or tectonic (earthquake) trigger may have initiated this movement (Dykes, in
press). The lateral impact of the mudflow on Lithofacies 2 generated widespread vertical contacts between the two units, with
small lenses of Lithofacies 2 becoming incorporated as fragments or streamers within Lithofacies 3. Nevertheless, in the
Hell Trench the mudflow does not appear to have deformed
components of either Lithofacies 2 or 2C more than 30e
50 cms in front of their contact with it: the original sedimentary
structures of Lithofacies 2 and 2C remain well-defined (Fig. 5).
The age of this mudflow was certainly later than the Niah-310
and Niah-311 dates and is younger, perhaps by very little time,
than the Deep Skull, which may have been slightly displaced
by it, as well as being protected by it from subsequent weathering and erosion (Gilbertson et al., 2005). Indeed, the deformation of Lithofacies 2 by the mudflow may have produced
a situation whereby the human remains were protected from
subsequent stream erosion or shallow bioturbation, processes
which at this locality would significantly reduce the chances
of survival of bone material.
Lithofacies 4, the youngest major stratigraphic unit of Pleistocene age, is a silty diamicton, variously yellowish brown to
light olive brown (10 YR 5/4e10 YR 4/4 to 2.5 Y 5/4), formed
by a mix of colluvial, aeolian, and human transport processes
and covering much of the front of the archaeological zone,
burying the spoon-shaped hollow. This lithofacies was almost
entirely removed by the earlier excavators, but remaining
plinths of sediment show that it was associated with much human cultural material including evidence for pit-digging dated
to ca. 34e18 14C kyrs BP (ca. 39e21 kyrs cal. BP) (Fig. 4:
Sections 2.1 and 8.1; Table 1: nos. 25e29), and midden
deposits at the back of the rock overhang dated from ca. 28
14
C kyrs BP (ca. 33 cal. kyrs BP) to the beginning of the Holocene (Fig. 4: Sections 10.1 and 12.1; Table 1: nos. 30e32).
The Deep Skull, its location, and antiquity
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In contrast with the excavation of the first trench at the front
of the cave in 1954, the 1957 and 1958 excavations in Hell
were progressed with extreme care under the direction of
Barbara Harrisson. Though dug in artificial spits rather than
by relation to the lithofacies units recognized here, the
trenches were only 1’x 1’ (ca. 30 30 cm) or 20 10 (ca.
60 30 cm) in extent, and the spits were only an inch
(ca. 2.5 cm) deep; excavation was at a rate of one cubic foot
(ca. 27,000 cm3) per 13 hours, compared with an overall average for the excavations of one cubic foot per hour. It is also
clear from studies of the records in the Harrisson Excavation
Archive that, despite T. Harrisson’s understanding of the
cave stratigraphy and within the limits of the spit methodology, excavation was governed by lithological considerations:
the excavators followed major deposits with significant cultural refuse such as ash, charcoal, and animal bone. The
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G. Barker et al. / Journal of Human Evolution 52 (2007) 243e261
that the first report sent on the day of the skull’s discovery
stated that ‘‘the top of a probable human skull [had been
unearthed] on top of the reported 40,000 bp C14 layer, at
the 106 inch depth,’’ yet the Gröningen samples were purportedly taken from deposits above this find spot. Our current studies demonstrate that there is no guarantee that this
was a correct identification of this relationship; compare, for
example, numbers 14 and 16 in Table 1. The same need for
great caution in inferring or assuming that the depth of
a find is a reliable surrogate of its chronometric age in these
types of sequences is provided by the clear field evidence of
recurrent intra-formational, quasi-linear, fluvial erosion and
deposition within Lithofacies 2.
We obtained an AMS-ABOX date of 35,690 280 14C
years BP (41,179 199 cal. years BP; Table 1: no. 33, OxAV-2076-16) from an archived sample of charcoal in a sample
bag labelled in Tom Harrisson’s handwriting ‘‘charcoal, H/
19, 10600 , from around skull.’’ Reference is made in B. Harrisson’s letter to Oakley of charcoal associated with the Deep
Skull, and this may be the origin of the sample, though this
cannot be proven. A second date of 35,000 400 14C years
BP (40,498 562 cal. years BP; Table 1: no.16, OxA15126) was obtained on another archived sample of charcoal
from a trench (HE/11) immediately adjacent to and within
a horizontal meter of the Deep Skull location. This date is
close in age, though knowing as we now do that the sedimentary units in this area dip from the rampart to the center of the
basin, that the ‘bone under ash’ layer accumulated over a considerable period, and that erosion and re-deposition may have
taken place, such ‘association’ with the skull should be considered with care.
Additional archive materials from Brothwell’s original
cleaning of the Deep Skull are presently curated at the
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which is illustrated in the photograph of its discovery (Fig. 2,
left). Combining details from surviving field-notes and our
own survey, we have established that the skull lay approximately 1.16 m to 1.27 m below our modern site datum, though
this cannot allow for Harrisson’s margin of error as no documentation exists pertaining to the correction for the quoted
depths. In terms of the modern exposures, this depth places
the Deep Skull within the volume of space attributed to Lithofacies 2 on the basis of the stratigraphy observed in the modern exposures, and a few centimeters west of a near-vertical
contact caused by the lateral impact of Lithofacies 3.
The two original Gröningen dates from this part of the
excavation were obtained on charcoal collected from the
‘bone under ash’ layer. Harrisson (1959b) states that of
these, the ca. 39 14C kyrs BP date was taken from a sample
obtained ‘10 inches’ above the basal level of the Deep
Skull, and that both appear to have been taken at approximately the 10000 level (Harrisson, 1958b; de Vries and
Waterbolk, 1958)dthough, again, we remain hostage to
Harrisson’s datum and his margin for error. What was not
apparent at the time was that the ‘bone-under-ash layer’
had accumulated episodically over several thousands of
years. Presumably the ‘bone under ash’ material looked to
the original excavators like a single layer similar in both
age and origins throughout the Hell Trench system, but
the fact that it was not has been confirmed by our taphonomic analysis of the vertebrate faunal remains collected
from it (Rabett et al., 2006). Clearly there was no a priori
reason for the excavators to assume that the Deep Skull or
components of the ‘bone under ash’ deposit were anything
other than the same age as the two original Gröningen dates
produced at that time. This may have created subsequent
uncertainties. For example, Heimann (1998: 321) relates
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Fig. 8. Looking north across the Hell Trench towards the rock overhang. The Deep Skull was located approximately where the horizontal string intersects with the
ranging pole. On the northern side, the string is attached to Section 1.3, near where the top monotin sample was taken (the vertical groove) for the pollen diagram
shown in Fig. 12. The Harrisson HP/6 baulk was behind the two baulks visible on the left hand side of the trench. The ranging pole is in 20 cm divisions
(Photograph: G. Barker).
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G. Barker et al. / Journal of Human Evolution 52 (2007) 243e261
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uranium in the groundwater faster than sample APNIAH2,
which shows a W-shaped distribution of dates, but a uniform
date profile may also be reached after further uptake or leaching of uranium, which would give an erroneous date, so on its
own the date should only be taken as provisional. In the case
of APNIAH2, however, any further uptake or loss of uranium
would disrupt its W-shaped distribution of dates, so we are
confident that this bone has taken up uranium under constant
conditions. Furthermore, the agreement of the two dates calcuþ5:0
þ3:0
lated using the D-A model, 37:04:7
kyrs and 34:53:0
kyrs (at
2 sigma), gives us greater confidence that the bones have not
undergone a complex uranium uptake regime. We therefore
feel justified in taking the error-weighted mean of the two
þ2:6
results, 35:22:6
calendar years ago, as the best U-series ageestimate of the Deep Skull bone fragments.
This error-weighted U-series age estimate is approximately
equivalent to the period ca. 33,000e27,500 uncalibrated radiocarbon years before present. However, this younger age may be
explained by the fact that the laser ablation method measures
the matrix of the bone, which may cause significant interference with low 230U values, as occur in this skull, and such interference cannot be corrected because it is not possible to
determine with complete confidence the baseline values. Secondly, bones take up uranium upon burial, and it is not possible
to determine with complete security whether this was either
early or constantdand different processes would lead to estimations of different ages. Also, the laser ablation method gives
a lower 230U signal than the alternative solution-method of Useries dating. Whilst the U-series age-estimates conform to the
general predictions of our lithostratigraphic studies, given the
reasons listed above and the consistency of the key associated
radiocarbon dates, we suspect that the U-series age estimate
may be underestimating the antiquity of the Deep Skull.
It remains the case that the find spot of the Deep Skull may
have originally been located within a channel fill of Lithofacies 2 dated to between ca. 46 and 40 cal. kyrs BP. If similar
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Natural History Museum (London). We tried but failed to obtain a date from charcoal extracted from the matrix removed
from the cranium. Attempts were made by Tom Stafford
(Stafford Research Laboratories) to retrieve bone collagen using two fragments of Deep Skull bone that could not be included in Brothwell’s original reconstruction, but collagen
was not present. However, we have been able to obtain Useries dates on two additional bone fragments from Brothwell’s original study of bone already detached from the
Deep Skull held in the Natural History Museum, London, using the Diffusion-Adsorption (D-A) model which accounts
for the post-depositional uptake of uranium (Millard and
Hedges, 1996). The D-A model can be used to predict the
uranium history of a bone from the measured distributions
(‘profiles’) of U and U-series isotopes across a bone section
(Pike et al., 2002, 2005). In cases where the uptake has
been monotonic (i.e., where there has been no leaching of
uranium) and under relatively constant geochemical conditions, a reliable date can be calculated. Bones that have undergone complex cycles of uptake and loss of uranium
cannot be dated, but these regimes are reflected in the shape
of the profiles, and the bone can be rejected as unsuitable for
dating. Uranium and thorium isotopes were measured by laser ablation multi collector ICP-MS using the method outlined in Pike et al. (2005). Transects from periostial to
endostial surfaces were measured using a 120 mm laser spot
on freshly broken surfaces.
The results (Figs. 9 and 10) show uranium profiles that are
uniform, indicating that the bone has reached an equilibrium
with the uranium in the groundwater. Both profiles are ‘noisy’
because the samples were not polished to a flat surface in order
to minimize damage to them. Both bone samples have date
profiles that conform to the criteria given in Pike et al.
(2002) for reliable U-series dating, but indicate slightly different uptake behavior. The uniform date profile of APNIAH1 indicates that the sample has reached an equilibrium with the
60,000
0.50
Integrated date 37.0 ± 4.9 ky
50,000
40,000
Au
0.30
30,000
0.20
20,000
Uranium beam (V)
0.40
th
Closed system U-series date (years)
Closed system date
Uranium
0.10
10,000
1.0 mm
0.00
0
–1
–0.8
–0.6
–0.4
–0.2
0
0.2
0.4
0.6
0.8
1
Relative distance to center of bone
Fig. 9. Uranium and U-series date profile for Deep Skull fragment APNIAH1. Errors on the individual points are 1s, but the error on the integrated age is at 2s.
The integrated 230Th/232Th activity is >50, indicating low levels of detrital contamination.
254
G. Barker et al. / Journal of Human Evolution 52 (2007) 243e261
50,000
0.7
Closed system date
Uranium
0.6
Maximum likelihood date 34.5 ± 3 ky
40,000
30,000
0.4
y
25,000
Uranium beam (V)
0.5
35,000
0.3
20,000
15,000
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Closed system U-series date (years)
45,000
0.2
10,000
0.1
5000
1.0 mm
0
0
–1
–0.8
–0.6
–0.4
–0.2
0
0.2
0.4
0.6
0.8
1
Relative distance to center of bone
archived collections were small, under 20 mm, and the assemblage is dominated by small extremities or isolated teeth, a pattern of breakage implying that one important taphonomic
process forming this assemblage was localized slope movement. However, surface and fracture edge modification suggests that the material has not been significantly influenced
by fluvial erosion or diagenesis, and was buried in rapidlyaccumulating sediments. Clusters of burnt bone indicate either
the residues of hearths or dumps of burnt material from hearths.
Groups of semi-articulated bones of individual animals and
bone fragments with cut marks (Fig. 11) imply discrete in
situ butchery events. (Twelve fragments of bone with cut marks
were noted in the Hell Trench assemblage, including examples
of pig, leaf monkey/macaque, and monitor lizard.) Further differentiation of the character of activity is not possible owing to
the constraints imposed upon us by the methodology of the
original excavation, although the series of discrete organicrich layers comprising Lithofacies 2Cg suggests that it may
have consisted of repeated short-term seasonal occupations.
Further evidence for the character of human activity before
and broadly contemporaneous with the deposition of the Deep
Skull is seen in the presence of burnt soil material (mostly
thermally mature amorphous matter, pollen, and vesicular arbuscular mycorrhyza), abundant micro-charcoal (thermally
mature plant tissue, cuticles, and wood), and a significant
peak in magnetic susceptibility, all indicating intense local
burning. Analysis of a sediment sample from Deep Skull matrix collected during Brothwell’s original cleaning has yielded
identical evidence of strong scorching.
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climatic and depositional environments continued within the
cave entrance at the time of the death of the person, the human
remains could have become incorporated within such channelfill sediments soon after erosion of the channel in materials
that were visually similar to those into which the channel
had been eroded, but significantly older. The previous total excavation of the find site makes it impossible to examine this
possibility. Nevertheless, it is clear that the Deep Skull is
not a Neolithic intrusion but can be reliably associated with
the period of time ca. 41e34 14C kyrs BP (ca. 45e39 kyrs
cal. BP), a period preceded by more than 5,000 years of earlier
human activity at the cave entrance.
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Fig. 10. Uranium and U-series date profile for Deep Skull fragment APNIAH2. The solid line shows the maximum likelihood date using uranium uptake according
to the diffusion absorption model. Errors on the individual points are 1s, but the error on the D-A age is given at 95% confidence. The integrated 230Th/232Th
activity is >50, indicating low levels of detrital contamination.
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The character of human activity in the West Mouth
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The unpublished evidence of the archive combined with the
inferences made in the field indicate that the Deep Skull and
other human remains were associated with an accumulation
of materials indicative of human activity, and these deposits
are part of Lithofacies 2C in both baulk HP/6 and under the
rock overhang (Fig. 5). An aggregate analysis of the macrovertebrate remains has been completed, including element and
taxon identification, natural and anthropic surface modification, and, for the more abundant species, population structure
(Rabett et al., 2006). (The extensive microvertebrate assemblage has yet to be fully analysed, but constitutes in large
part cave-dwelling species.) Plotting the changing densities
of the 10,000þ fragments of macrovertebrate remains from
these deposits shows that they accumulated in a sinuous line
of shallow ‘hollows’ more or less along the channel and parallel to the cave rampart (Fig. 4). This tends to confirm the interpretation suggested above that the human remains and
associated artifacts were washed into the channel formed of
scour-hollows and incorporated and preserved in the channelfill sediments. Most of the bone fragments studied from the
Environment and foraging strategies
The changing nature of the regional climate and biogeography during this part of the Late Pleistocene is suggested by
studies of pollen in Core 17964 from the South China Sea
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G. Barker et al. / Journal of Human Evolution 52 (2007) 243e261
which was beside the two AMS-ABOX dates of 42,490 600
C years BP (46,100 600 cal. years BP; Niah-310) and
41,690 600 14C years BP (46,381 555 cal. years BP;
Niah-311) (Fig. 8). The pollen and spores divide into three
broad ecological groups (Fig. 12): (1) mangrove taxa (mostly
Avicennia), common only in the upper section of the diagram,
and perhaps reflecting a short-lived approach by the sea in the
now-buried valley of the Sungai (River) Niah; (2) forest taxa,
a wide variety of trees and lianas including Podocarpus, Fagaceae, Dodonea, Palmae, Casuarina, Symplocos, Elaeocarpus,
Santiria, and Oleaceae, indicative of a predominantly dry forest sometimes of decidedly montane aspect, and different from
the present-day and Holocene lowland wet-tropical forest; and
(3) open and disturbed ground taxa, mostly Poaceae and Cyperaceae, with some Asteraceae, Lactucae, Plantago, Albizia,
Macaranga, and Ochnaceae, reflecting savannah-type landscapes and perhaps regenerating woodland. The pollen diagram shows marked cyclicity, with two clear episodes of
forest development and recession to savannah-type vegetation,
with intermittent evidence for wetter conditions.
Although the overall composition of the vertebrate remains
reveals evidence for discrete ‘events’ as stated earlier, we cannot allocate such events to particular time horizons within the
early occupation period, so hunting and processing strategies
can only be modelled at an aggregate level. Allowing for
this caveat, the vertebrate bone data indicate overall procurement focused especially on a range of terrestrial and terrestrial-arboreal animals, with pigs (likely Sus barbatus:
Medway, 1978) and primates (principally leaf-eating monkeys
and macaques) figuring strongly (Table 2). The population
age-structure of the pig remains does not show any clear
bias to a particular age-class, suggesting the use of nonselective technologies, unlike the prime-adult selective profiles produced by most local ethnographically recorded approaches to
hunting this animal (Cranbrook and Labang, 2003). Trapping
(leg-snaring, for example), a nonselective method used locally
today (Alvard, 2000), is one method that could explain this archaeological signature. Molluscs were likely collected from
the local rivers and swamps, and simple hand-capture could
have been used to take certain terrestrial game such as monitor
lizards and turtles. Although the former is found in cave environments, the presence of a varanid (monitor lizard) femur
among the cut-marked remains in the Hell bone assemblage
indicates that this reptile was also butchered and presumably
consumed by human groups visiting the cave.
Stone points have not been found at Niah, and currently we
assume that stone was mainly used for making procurement
tools based on organic materials such as wood, bamboo, and
rattan. A usewear and residue analysis of 80 pieces of flaked
stone of Late Pleistocene age in the Harrisson Archive indicates that 20 (25%) had been used on a hard or siliceous material such as bamboo or rattan. Well-preserved plant fibers
adhering to the working edge of one of these flakes were probably from palm wood, and 12 (15%) of the tools had been used
to process soft plant. By the terminal Pleistocene and early
Holocene at Niah, the surviving organic technology includes
numerous bone and cartilaginous points which have
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Fig. 11. Examples of ca. 46e39 cal. kyrs BP food remains in the West Mouth:
(left) Cercopithecidae (monkey) left proximal femur with multiple cut marks
on the underside of the femoral neck; (right) starch grain from the sago palm
(probably Eugeissona utilis or Cartyota spp.) on the working surface of a flaked
stone tool; (bottom) parenchyma tissue of Dioscorea hispida (Photographs L
to R: R. Rabett, H. Barton, V. Paz).
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by Sun et al. (2000). Those investigations indicate that during
the Last Glacial Maximum (LGM) the environment on the exposed Sunda Shelf to the north and west of Niah Cave was typically one of humid lowland rainforest, periodically marked by
phases of expanding tropical montane forest taxa indicative of
cooler pulses. The exact proximity of Niah to the coast in the
period ca. 50e30,000 years ago, prior to the LGM, remains
uncertain, but must have been some 10s of km distant (see
Farrant et al., 1995; Voris, 2000; Yokoyama et al., 2001;
Gilbertson et al., 2005; Fig. 1). The lack of evidence within
the faunal assemblages for the use of marine resources (fish
bones, for example, appear to be exclusively of freshwater
taxa) suggests limited access to the coastline. The winter monsoon may have been stronger than today, resulting in more
marked seasonality in the lowland forests that persisted in
this part of north Borneo (Kershaw et al., 2001; GathorneHardy et al., 2002; Bird et al., 2005). Current understanding
of the paleoclimate at the regional level is broadly consistent
with the evidence of the Lithofacies 2 sediments, indicating
conditions at times significantly drier than today but punctuated by occasional episodes of high rainfall.
A very changeable regime is also suggested by the palynology of a sediment column taken from Lithofacies 2, the top of
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G. Barker et al. / Journal of Human Evolution 52 (2007) 243e261
Table 2
Vertebrate fauna (excluding fish and human remains) from the Hell Trench,
spits 8700 e11100 , West Mouth, Niah Cave. The ecological descriptors are approximate only. (NISP ¼ number of identifiable specimens)
Terrestrial and arboreal
Ursidae
Viverridae
Serpentes
Cercopithecidae
138
348
574
11.38
28.69
47.32
1
15
41
196
0.08
1.24
3.38
16.16
253
20.85
Squirrels
Birds
Orangutan
2
64
72
138
0.16
5.28
5.94
11.38
Turtles and Tortoises
243
20.03
Sun bear
Civet cats
Snakes
Leaf monkeys
and Macaques
Total
Arboreal
Sciuridae
Aves
Ponginae
Total
Terrestrial and aquatic
Trionychidae, Bataguridae,
Testudinidae
Crocodylidae
Total
Total NISP/%
Crocodile
5
248
1213
0.41
20.45
99.99
th
or
's
manufacturing and utilization characteristics closely comparable to ethnographic and experimental projectile points (Rabett,
2005). Though similar artifacts have not been found in the
earlier (>46e39 cal. kyrs BP) occupation debris, the presence of taxa of large freshwater fish, such as cyprinids and
catfish, and the comparatively high incidence of animals
with arboreal-habitat preferences, such as orangutan (Pongo
pygmaeus), imply that hunting technologies in this period
too had the capability of taking game from non-terrestrial
habitats. Given the evidence for projectile technologies definitely being used at Niah in the post-LGM Pleistocene, this
fact raises the realistic possibility of a greater antiquity for
such technologies in this part of Borneo.
Botanical remains (parenchyma, starch granules) indicate
the exploitation of nearby rainforest habitats for a variety of
roots and tubers, fruit, nuts, and the pith of sago palms
(Barton, 2005; Paz, 2005; Table 3; Fig. 11). Interpretation is
comparatively restricted by the limited knowledge of the taphonomy of these small biological finds. Photographs taken
before the excavation (Wilford, 1964) indicate that source
plants for these microfossils did not occur at this location before its excavationda function of the limitations of the light as
much as precipitation inside the cave entrance. Such
Au
y
0.08
0.08
0.25
0.49
0.82
0.91
1.57
3.05
co
p
Varanidae
Suidae
Total
1
1
3
6
10
11
19
37
al
Otters, Weasels, Martins
Malay tapir
Cattle
Cats
Mouse deer
Sambar deer, Muntjac
Porcupine
Pangolin, extinct
Giant Pangolin
Monitor lizard
Pig
%NISP
rs
Terrestrial
Mustelidae
Tapiridae
Bovidae
Felidae
Tragulidae
Cervidae
Hystricidae
Manidae
NISP
on
Common name
pe
Family
microfossils were very rare or absent in the pollen calibration
samples taken from cave surface guano by Hunt and Rushworth (2005). The botanical remains extracted from sediment
samples were all taken from slope deposits that yielded evidence of human activity (Stephens et al., 2005). For these reasons, the parenchyma and starch grains in the sediments are
interpreted as likely to be the result of human introduction
to the site, a hypothesis supported by the fact that similar evidence has been found on the working surfaces of the stone
tools from the Hell Trench (Fig. 11).
This evidence indicates that the Niah foragers had the requisite knowledge and technology to neutralize successfully
several types of plant toxin. The yam Dioscorea hispida, for
example, represents a potentially large source of carbohydrate
for rainforest foragers and can be collected with ease (Eder,
1978). However, an uncooked piece the size of an apple is
enough to kill an adult (Burkill, 1966; Coursey, 1967). Traditional methods for leaching out the highly toxic hydrocyanic
acid in the nuts of the tree Pangium edule include burying
the ripe fruits or boiled seeds in a pit for 10e14 days and
then boiling them, or burying the seeds with ash for up to
40 days (Burkill, 1966; Ochse, 1980). A series of inter-cutting
pits (Fig. 13) dated to ca. 34e18 14C kyrs BP (ca. 39e21 kyrs
cal. BP) (Table 1: nos. 25e29) might be evidence of the pit
method of nut detoxification at Niah, because nut fragments
mixed with ash were found in quantity in the pit fills, together
with charred nut fragments. It is clear that during those periods
when lowland forests and mangroves were present in the vicinity of the Great Cave, they did not represent a ‘barrier’ to occupation by Pleistocene foragers (see Headland, 1987; Bailey
et al., 1989; Bailey and Headland, 1991; contra Townsend,
1990; Colinvaux and Bush, 1991) but were parts of a spectrum
of resources to be exploited.
The phytolith assemblage extracted from the sediment column providing the pollen diagram illustrated in Fig. 12 provides a picture of the vegetation in near proximity to the
cave entrance. Whilst the depositional agents of the phytoliths,
or the original plant materials, are unknown in detail, complex
plant-use strategies are indicated by the diversity of the arboreal component and the high percentage of large tissue fragments that are likely to represent both food plants and
organic material culture.
Habitat modification may also have included forest burning. Very high frequencies of Justicia (Acanthaceae) pollen
occur and are always coincident with palynological evidence
for the presence of forest phases. Today, Justicia is the first
colonist following fire in the Niah National Park forests and
in the mangroves near the coast. This modern relationship suggests that the high instances of Justicia may reflect fires in the
landscape in the area around the Gunong Subis. Although natural burning can be a feature in Pleistocene and Holocene
Bornean forest environments (Goldammer and Seibert,
1989), the scale and pattern of occurrence suggested by the
Justicia curve, which coincides with the expansion of forest
taxa, suggest an additional, probably anthropic, variable. If
this were the case, such deliberate burning would have
enhanced existing open or disturbed areas within the forest,
257
G. Barker et al. / Journal of Human Evolution 52 (2007) 243e261
Table 3
Plant remains from the Hell Trench, Niah Cave West Mouth
Birah/keladi
Taro/keladi
elim. Araceae
possibly Araceae
Yam
cf. Dioscorea hispida Dennst.
Gadong/wild yam
Dioscorea sp.
Unidentified tuber
Palm
Palm pith
Sago
Rattan/bamboo
Fruit /nut
Prob. Moraceae
Fruit parenchyma
Pangium edule Reinw., ex Bl.
Breadfruit family
Kepayang
Habitat
starch granules
charred parenchyma
sediment
sediment/flotation
lowland rainforest/swamp forest
lowland rainforest/wet swamp,
cultivation up to 2700 m
charred parenchyma
charred parenchyma
sediment/flotation
sediment/flotation
charred parenchyma
sediment/flotation
starch granules
parenchyma
sediment
sediment/flotation
starch granules
sediment/tool
bast fibers/phytolith
tool
exocarp
parenchyma
exocarp
flotation
flotation
excavation
Seeds
Fabaceae
Urticaceae
Apiaceae
Legume family
Nettle family
Carrot family
on
exocarp
exocarp
charred seed
seed
seed
rs
Large nut fragment
Nut fragment
Recovery methody
y
Aroid
Alocasia longiloba complex
cf. Colocasia elim esculenta (L.) Schott
Type of material
lowland rainforest/shaded
locations, up to 850 m
co
p
Common name
al
Family/species
lowland rainforest
lowland jungle/riversides/ravines,
up to 1000 m
flotation
flotation
flotation
flotation
flotation
Au
th
or
's
pe
y
Recovery method: sediment ¼ heavy liquid separation from sediment; flotation ¼ manual water flotation; excavation ¼ macro-plant recovered during excavation; tool ¼ organic residue on tool surface.
Fig. 12. Palynological evidence for vegetation change in the general vicinity of
the West Mouth for the period >ca. 46 to ca. 39 cal. kyrs BP. The age of the
top of the pollen sequence is fixed by the Section 1.3 ABOX-AMS dates
(Niah-310 and Niah-311); the bottom is currently undated.
that in turn would have provided good habitats for tubers and
other food plants and for hunting and trapping animals attracted to such clearings. The Niah evidence is consistent
with abnormally high numbers of microscopic charcoal particles after 50,000 years recovered from ocean cores in the Sulu
Sea north of Borneo (Fig. 1) and before 30,000 years at Lake
Sentarum in West Kalimantan (Indonesian Borneo), both cases
interpreted as registering the arrival in the region and subsequent environmental impact of modern humans (Beaufort
et al., 2003; Anshari et al., 2004).
In the recent past, foragers in the rainforests of Southeast
Asia have maintained high residential mobility: for example,
Puri (2005) reports one family among the now semi-sedentary Penan Benalui of the Lurah River area in East Kalimantan moving 51 times between 31 different campsites over
a 30-year period. Food sources are widely distributed and often occur in low density under current rainforest conditions.
The decision to move is usually based on the availability of
key forest resources such as sago and game, particularly
the bearded pig (Harrisson, 1949; Urquhart, 1954). The habitats of the animals and plants brought back to Niah
(Cranbrook, 2000) and the makeup of the local landscape,
as suggested through our own faunal and botanical studies,
indicate that Late Pleistocene foragers inhabited a changing
mosaic of habitats that appears to be without immediate modern analogue. These habitats included lowland dipterocarp
and/or swamp forests (possibly in riparian environments),
258
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G. Barker et al. / Journal of Human Evolution 52 (2007) 243e261
(Neolithic) activity and is associated with an environment with
well-defined depositional processes operating immediately inside the cave entrance. Bone fragments of the skull have been
directly dated by U-series to ca. 35 kyrs, although there is reason to believe that this date may be too young. Nevertheless,
both the U-series from bone and radiocarbon ages from charcoal indicate a broadly similar age for the Deep Skull, in the
order of 45e39 cal. kyrs BP. The evidence of recurrent
episodes of channel incision and channel-fill sedimentation
(Lithofacies 2) in the locality where we calculate that the
Deep Skull was found suggests that the skull was preserved
in one such channel-fill unit. Unfortunately, the field evidence
no longer exists to test this model. The association of the human remains with the mudflow deposit and structures appears
to be critical, as this process could achieve instant burial of
these remains and provides a reason why the human remains
were preserved at the site.
The first modern humans to reach Southeast Asia were potentially ancestors to those of Australo-Melanesian stock, and
were already a differentiated population upon arrival in Sundaland (e.g., Howells, 1973; Harpending et al., 1993; Lahr,
1996). The ‘southern route’ theory of an early eastward colonization out of Africa following tropical littoral environments
predicts the arrival of modern humans in Sundaland perhaps as
early as 60,000 years. MtDNA studies of Andaman Islanders
(Thangaraj et al., 2005) and of the Orang Asli in the Malaysian
peninsula (Macaulay et al., 2005) indicate genetic lineages
with time depths of up to 65e60,000 years. Lithic assemblages at Kota Tampan in the Malay peninsula dated to
ca. 74,000 years are interpreted as the product of early
Homo sapiens (Majid, 2003). For many years, the Deep Skull
was one of three principal modern human specimens discussed
in terms of early fossil representatives in the region, the other
two including Tabon Cave (Dizon et al., 2002) and Wajak
(Storm, 2001). Each of these specimens depicts ‘robust’
Au
th
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pe
rs
open woodland, and scrub, interspersed with lakes or large
rivers, but without evidence for marine resources. The variability between these environments and that of today makes
the drawing of parallels between present and past foraging
mobility problematical even where ethnographic analogies
are locally derived and likely of considerable antiquity. The
evidence from Niah Cave indicates that Late Pleistocene foragers in this part of Borneo were mobile, returning repeatedly
to particular points in the landscape such as the cave.
Whether the attraction lay with the cave itself or with particular local resources is uncleardthe cave was certainly in
a significant ecotonal position, with access to a variety of different habitats. The comparatively small lithic assemblage
and distant material sources (petrographic analysis of lithic
artifacts recovered from the West Mouth indicates that the
nearest source area for some types of stone was almost
50 km away: Majid, 1982) suggest that stone implements
were being brought to the cave and often taken away again.
The apparent use of nonselective hunting technologies such
as traps for terrestrial game and the exploitation of plants
that required lengthy processing indicate that visitors may
have remained at the cave over a period of several days or
more. Although a comparatively extensive assemblage, the
different anthropic components of Lithofacies 2C still represent several thousand years of accumulation. If visits to the
site were more than an overnight affair, this may be a further
indication that the scale of the occupation at any one time
was generally small (by family units, for example?).
on
Fig. 13. Inter-cutting pits dated to ca. 39e29 cal. kyrs BP possibly used for leaching toxins from food plants such as Pangium edule nuts (Photograph: G. Barker).
Summary and conclusion
The renewed investigations in the West Mouth of Niah Great
Cave have established that the zone of early human occupation
can be dated to earlier than 46 cal. kyrs BP. The anatomically
modern Deep Skull is not an intrusive artifact of later
259
G. Barker et al. / Journal of Human Evolution 52 (2007) 243e261
co
p
y
Southeast Asia of strategies directed specifically towards exploiting the structure and diversity of lowland tropical environments. Modern human penetration of these new lands and
environments would have brought them into the territories of
long-resident populations of surviving archaic humans, such
as H. erectus and H. floresiensis, with the potential for scenarios every bit as fascinating and complex as those surrounding
the arrival of their modern counterparts on the other side of the
world, in Europe.
Acknowledgements
on
al
We thank Sarawak Museum for permission to undertake the
fieldwork at Niah and the archive studies of their collections.
The work has been funded principally by the Arts and Humanities Research Council, whose generous support is acknowledged, together with the British Academy, the British
Academy’s Committee for Southeast Asian Studies, and the
Natural Environment Research Council. Author contributions:
GB: project coordination; HB: lithic microwear, residues,
starch; MB: ABOX-AMS dating; PD: cave survey; ID: Sarawak Museum liaison; AD: guano tectonics; LF: illustration;
DG: coordinator of environmental studies, geomorphology,
and sedimentology; BH: Deep Skull discovery and subsequent
archive support; CH: palynology; TH: 14C dating; JK: paleoanthropology; HL: micromorphology; LK: phytoliths; SMcL:
geomorphology; VP: macro-plant remains; AP: U-series dating; PP: vertebrate remains; BP: cave biology; RR: bone tools,
vertebrate remains; TR: excavation field director, lithics; JR:
geomorphology and sedimentology; GR: palynology; MS:
geomorphology, micromorphology, OSL dating; CS: U-series
dating and paleoanthropology; GT: wood and charcoals; CT:
14
C dating.
Au
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morphologies consistent with early human populations in
Island Southeast Asia characterized as Australo-Melanesian.
In terms of the fossil evidence, a right mandible fragment
from the original 1930s excavations at Tabon Cave in Palawan
(southern Philippines) has been re-dated using Th/U to
31,000 8000 years BP (39e23,000 yrs BP) (Dizon et al.,
2002; Pawlik and Ronquillo, 2003), and a U-series date on
a tibia has been reported of 47.0 10 kyrs (Detroit et al.,
2004). The currently most complete skeleton, AMS-dated on
associated charcoal to 25,800 600 BP (TK-933-Pr), comes
from the southern Thai site of Moh Khiew (Matsumura and
Pookajorn, 2005). The Wajak material has a Holocene radiocarbon date (Storm, 2001), but this young age seems unlikely
given their size and robusticity, and new dating work is in
progress (Pike and Stringer, in prep.). Unfortunately only
one human tooth from Punung could be located and studied
by Storm et al. (2005), with the suggestion that this is an upper
premolar of H. sapiens dating from the early Late Pleistocene
(ca. 120 kyrs BP), but both the dating and assignment of this
tooth remain provisional. Thus, at 37e35 14C kyrs BP, or
44e40 cal. kyrs BP, the Niah Deep Skull provides the earliest
secure evidence for anatomically modern humans in Southeast
Asia, indeed amongst the earliest outside Africa (O’Connell
and Allen, 2004; Trinkaus, 2005: Table 5).
The Deep Skull has been directly associated by lithostratigraphy and radiocarbon dating with evidence for complex
foraging behavior. An association between the remains of
anatomically modern humans and the similar subsistence evidence that accumulated earlier in the archaeological sequence
(earlier than 46 cal. kyrs BP) cannot, as yet, be similarly demonstrated. The fact that the behavioral capabilities of Homo
floresiensis may also have included the use of fire and butchery
(Morwood et al., 2005) cautions against making simple assumptions. Fragments from a second anatomically modern human skull in the Harrisson Excavation Archive provenanced to
similarly ‘deep’ contexts in this area of the West Mouth offer
the prospect of clarifying the association between the preDeep Skull archaeology and anatomically modern humans.
If our understanding of the site taphonomy is correct, the
developing archaeological and paleoecological evidence
from the Late Pleistocene sediments in the West Mouth suggests that by at least 46 cal. kyrs BP hominins were in lowland
Borneo and were exploiting a diverse interior landscape using
a battery of technologies that may have included mammal and
fish trapping, some form of projectile technology, tuber digging, plant detoxification, and forest burning. Early modern
humans in Sundaland may not have exhibited some of the classic indicators of modernity as defined in the European Aurignacian, such as refined blade and bladelet technology, body
ornamentation, and mobiliary and parietal art (Mellars,
2005), but their subsistence practices and engagement with
the landscape were of demonstrable socio-economic complexity. The levels of resource use, forward planning, and ingenuity that would have been necessary for such strategies would
not only parallel many of the developments seen in Late Pleistocene records of Europe and Africa, but also serve to illustrate human adaptive plasticity with the emergence in
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