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Research Article

Paleoindian Open-Air Sites in Tropical Settings: A Case Study in


Formation Processes, Dating Methods, and Paleoenvironmental
Models in Central Brazil
Astolfo G.M. Araujo,1 ,* Andre M. Strauss,2 James K. Feathers,3 Julio Cesar
Paisani,4 and Thomas J. Schrage5

LEVOCLaboratory for Interdisciplinary Research on Evolution, Culture, and Environment, Museum of Archaeology and Ethnology, University of Sao
Paulo, Brazil
PauloMAE/USP, Sao
2
Max Planck Institute for Evolutionary Anthropology, Department of Human Evolution, Leipzig, Germany
3
Laboratory of Luminescence Dating, University of Washington, Seattle, Washington, D.C.
4
UNIOESTE, Campus Francisco Beltrao,
Parana,
Brazil
Universidade Estadual do Oeste do Parana,
5
Paulo, Sao
Paulo, Brazil
Department of Geography, University of Sao

Correspondence
*Corresponding author;
E-mail: astwolfo@usp.br
Received
4 March 2012
Accepted
13 December 2012
Scientic editing by Lucy Wilson and Howard Cyr
Published online in Wiley Online Library
(wileyonlinelibrary.com).
doi 10.1002/gea.21442

Paleoindian sites in eastern South America are generally found inside rockshelters. Recently, we designed a program to find open-air Paleoindian sites
in the Lagoa Santa region of Brazil. Here, we present data gathered at Sumidouro site, a multicomponent site with a Paleoindian horizon, detected on a
shoreline slope of Sumidouro Lake, Minas Gerais State. We present a model for
late Pleistocene/Holocene slope evolution that suggests at least three different
episodes of instability (erosion/sedimentation) followed by periods of stability
(pedogenesis). Higher soil accretion rates during the Mid-Holocene are probably not linked to a stable dry climate, but to greater climatic instability. We
also found that the position of both archaeological materials and charcoal can
be explained by burial of ancient surfaces and are not the result of downslope
movement. The role of bioturbation in the vertical displacement of such maC 2013 Wiley
terials is much less important than previously acknowledged. 
Periodicals, Inc.

INTRODUCTION
Detection of Paleoindian sites in eastern South America
is often constrained by an approach directed toward excavation of rock-shelters (Schmitz et al., 1989; Prous &
Malta, 1991; Guidon et al., 1996). Lagoa Santa, in Eastern Central Brazil, is a good example. Since the pioneering work of Danish naturalist Peter W. Lund, in the first
half of the nineteenth century, all Paleoindian sites found
in the region are located inside caves or rock-shelters
(Walter, 1958; Laming-Emperaire et al., 1975). This
means that in 170 yr of research, the picture of Paleoindians from Lagoa Santa has been heavily biased toward
shelter settings. Despite the richness and wealth of information that shelter sites can provide, such as human and
other animal remains, bone, lithic tools, and plant material, they do not fully encompass Paleoindian variability
in terms of land use, territorial boundaries, and resource
exploitation.
Paulo,
In 2000, researchers from the University of Sao
headed by W.A. Neves and colleagues, initiated a longGeoarchaeology: An International Journal 28 (2013) 195220

term paleoanthropological project in the region (Neves


2008). The work involved excavation of several
& Pilo,
limestone rock-shelters and, after 2003, efforts toward
finding and characterizing early open-air sites through an
intensive subsurface prospection program. We detected
two Paleoindian sites, Sumidouro and Coqueirinho, on
the shores of Sumidouro Lake (Figure 1A). In this paper,
we present Sumidouro site data derived from OSL and radiocarbon dating, geochemistry, micromorphology, and
artifact spatial distribution. Aside from the archaeological contributions, our data also suggest that Paleoindian
open-air sites in tropical settings can be a valuable source
of information regarding slope processes and paleoenvironmental reconstructions.
Although several authors have dealt with the relationship between soils, archaeological materials, and paleoenvironments, most approaches address soils in temperate (Haynes, 2008; Mandel, 2008; Cordova et al., 2011;
Holliday et al., 2011) or Mediterranean climates
(Angelucci et al., 2007; Mallol et al., 2011) or, when
in the tropics, in semi-arid environments (Ashley et al.,

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ARAUJO ET AL.

Figure 1 Location of the study area in Brazil; (A) Location of Lagoa Santa region, southeast Brazil, and topography of the Sumidouro Lake doline and its
tributaries, showing Sumidouro and Coqueirinho sites. (B) Topographic map of Sumidouro site, 0.5 m contour intervals, showing all excavation units.

2011). We therefore argue for the necessity of approaching the archaeological record in humid tropical soils with
a geoarchaeological perspective, leading to the development of a tropical geoarchaeology, providing a fresh approach toward long-held assumptions about tropical soils
made by pedologists and geomorphologists.

GEOLOGICAL AND ARCHAEOLOGICAL


CONTEXT
The Lagoa Santa region is a karstic area encompassing
1022 km2 near the city of Belo Horizonte, State of Minas
Gerais (Figure 1A). The geology of the area is composed
mainly of upper Pre-Cambrian metasedimentary rocks of
the Bambu Group (IBAMA/CPRM, 1998). The Bambu
Group is composed of a basal metacalcareous unit, the
Sete Lagoas Formation, and an upper metapelitic unit,
the Serra de Santa Helena Formation. Hydrothermal solutions cutting the Pre-Cambrian rock bodies produced
siliceous veins and geodes, many of them with hyaline
quartz that were heavily used as raw materials by the local Paleoindians. Weathering of the Serra de Santa Helena Formation allowed Oxisol soils to form (Pilo, 1998),

196

whereas weathering of the pure carbonates of the Sete


Lagoas Formation produced a karst landscape with caves,
dolines, and other features. Vegetation today is comprised
by patches of savanna (cerrado), deciduous (mata
seca), and semideciduous forests (IBGE, 1992).
Sumidouro Lake formed at the bottom of a polje,
or an interior valley, formed by a coalescence of dolines
1998). The lake forms a semi-ellipse, with its ma(Pilo,
jor axis measuring 1.2 km northwestsoutheast, and its
minor axis 0.7 km northeastsouthwest (Figure 1A). The
lake shore has gentle slopes, with the exception of the
southeast extremity, where a 50 m high block of residual limestone acts as a natural dam. Samambaia Creek,
coming from the west, is the lakes major tributary. A
sinkhole formed underneath the outcrop drains the lake
water. In the wet season (SeptemberMarch) the inflow
exceeds the sinkhole drainage capacity, and the lake fills.
During the dry season (AprilAugust) the lake level drops
and in very dry years the lake dries completely leaving a flat plain within which the Samambaia Creek has
incised.
The Sumidouro site is located near the lake shore on
the lower portion of a 380 m long, 12% inclined slope.
This long slope has a very gentle topography, interrupted

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ARAUJO ET AL.

only by scattered termite mounds. Soils in the region are


1998) and overlay the
very thick (10 m in average; Pilo,
limestone bedrock.
Project personnel found the site in 2003 by subsurface
prospection, using a motorized bucket auger. This equipment allowed recovery of 3 m-long soil columns in a few
minutes. We spaced the auger holes at 15 m intervals in a
hexagonal grid system (Krakker et al., 1983) across a 120
120 m2 quadrate. Sieving of sediment from the auger
holes allowed recovery of artifacts. We initially discovered archaeological materials in two adjacent cores, B1
and B2, and subsequently placed two 1 1 m2 test pits
at these locations. The coring recovered a quartz flake
at 177 cm depth in Unit B1, and the excavation uncovered three more quartz flakes at a depth of 137 cm
depth, another five flakes at 150 cm depth, and several
more lithics at approximately 160 cm depth. Finally, at
180 cm depth, more quartz flakes appeared, together
with a whitish, heavily patinated flint flake. From this
initial work, we obtained two radiocarbon dates from
charcoal samples associated with archaeological materials: 5020 70 14 C yr B.P. (59205600 cal. yr B.P.; Beta
205350) at 137 cm depth and 8310 40 14 C yr B.P.
(94509240 cal. yr B.P.; Beta 205351) at 160 cm depth.
The 180 cm depth level had no charcoal associated with
archaeological materials (see Araujo & Feathers, 2008 for
more details). These dates represent the first open-air Paleoindian ages in Lagoa Santa. Subsequently, we dated
the archaeological levels of B1 by OSL with preliminary
ages reported in Araujo & Feathers (2008) and updated
here. Some discrepancies between the OSL and radiocarbon ages were apparent, but since we were dealing with
a deep tropical soil, we did not expect good agreement
and did not even expect a good fit between the vertical
positioning of pieces and their original placement.
Between 2005 and 2008, we opened another eight
1 m2 excavation units (Figure 1B). Data obtained included observations about soil horizons and clastic inclusions, vertical positioning of artifacts and charcoal fragments, and radiocarbon ages. Besides a rather diffuse
change in color and texture, no further stratigraphic
changes were obvious, and the soil was sampled in 10
cm intervals. All charcoal fragments found in the sieves
during excavation (larger than 5 mm) were collected,
dried in the laboratory, and weighted in an analytical
scale.

METHODS
Soil Geochemistry and Micromorphology
Soil nomenclature was made according to the Brazilian
System of Soil ClassificationSiBCS (EMBRAPA, 2006)

Geoarchaeology: An International Journal 28 (2013) 195220

that follows the FAO 2006 World Reference Base for


Soil Resources. We determined soil chemical composition from different horizons and excavation units with
a Phillips PW2400 XRF Unit, conducted at the Laboratory

for X-Ray Fluorescence, Instituto de Geociencias,


Univer Paulo, Brazil. We analyzed soil micromorpholsity of Sao
ogy of undeformed soil samples at the Laboratory for Optical Microscopy of the Universidade Estadual do Oeste

Campus, Brazil
do ParanaUNIOESTE,
Francisco Beltrao
using a Leica DM 2500 P trinocular microscope with a
coupled Leica EC 3 camera and Leica Application Suite
LAS EZ software, version 1.4. We identified sedimentary
features, source materials, and post-depositional changes
via microstructures/pedofeatures using criteria and terminology of Stoops (2003), and methods of Paisani and
Pontelli (in press).

Radiocarbon and Luminescence Ages


Dating efforts concentrated on a few excavation units in
order to monitor the behavior of charcoal and to compare
radiocarbon with luminescence results. To ensure a maximum control over the sample provenience, we collected
charcoal fragments for radiocarbon dating only from profiles or during excavation (Figure 2) and never from the
sieve. All radiocarbon samples were processed at Beta Analytic, Inc., the ages obtained from individual charcoal
fragments. We employed luminescence dating because of
inconsistent radiocarbon ages obtained initially and because single-grain luminescence dating could also provide
information on soil turnover and history of movement
of individual particles. Laboratory procedures are given
in Appendix. We also provide here a brief description
of luminescence dating for readers unfamiliar with the
analysis.
Luminescence dating is made possible by the long-term
storage, in the crystal lattice of some minerals, of energy
absorbed from natural radioactivity. The stored energy is
in the form of charge carriers, such as electrons, trapped
within defects in the crystal structure. This energy is released by the emission of light (luminescence) following
stimulation by heat or sunlight, making possible the dating of thermal or depositional events. A luminescence
age is the quotient of the equivalent dose and the dose
rate. The equivalent dose (De ) is the laboratory estimation of the total dose absorbed through time since the
last release event. It is obtained by calibrating the natural
luminescence signal against applied radiation in the laboratory. The dose rate is determined from the radioactivity of the sample and its immediate environs, assuming a
constant rate through time. We measured the dose rates
only in the laboratory (see Appendix), as an attempt to
measure dose rates in the field was not successful. We

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Figure 2 North and east proles of Unit S4 showing the major stratigraphic units, sample collection locations, and radiocarbon ages.

measured equivalent dose (De ) on single grains of quartz


using the single-aliquot regenerative dose (SAR) method
(Wintle & Murray, 2006). We initially used 150180 m
grains, but subsequently used 180212 m grains. Because of the relatively low sensitivity of the grains, there
were no significant differences in results from either grain
size. Because De is measured on every grain, the output
is a distribution of De values. Even if all grains are the
same age, these values will not be identical for statistical
as well as other reasons. One advantage of single-grain
dating is the ability to remove from analysis those grains
that have either no signal or signals which behave in a
way that do not meet the assumptions of the method
(criteria are given in Appendix). This is particularly important for the Sumidouro samples because, even though
of not great age, the quartz appeared to saturate at a relatively low level, so that many grains had a large signal
but a De could not be determined. Overall, only about 9%
of all grains measured were accepted for analysis. A second major advantage of single-grain dating, and one that
is particularly relevant at Sumidouro, is the ability to detect post-depositional mixing by the scatter in De values
among grains. This is possible only by controlling other
causes of scatter, either intrinsic (related to the luminescence characteristics of the grains themselves or to ma-

198

chine reproducibility) or extrinsic (related to the nature


of the deposition).
Intrinsic sources of scatter can be evaluated by a doserecovery test, whereas extrinsic causes are controlled. In
this test, grains that have had their natural luminescence
signal removed are given a laboratory dose (in this case
about 20 Gy), and then the SAR procedure is applied to
see if that dose can be obtained.

Granulometry
For granulometric analysis, we used two different methods: standard pipette analysis was applied to 27 samples
coming from two excavation units, B2 and S4, in order to
assess the primary soil texture, meaning that the samples
were crushed and sieved, and therefore the grains were
reduced to their smallest size. We also measured 30 samples from Unit S4 by laser scattering, using a Malvern Hydro 2000MU particle-size analyzer. We measured these
samples in natura, without any crushing or sieving, and
only treated them with a sodium pyrophosphate solution
for deflocculation. Since the Oxisols present in the region
are ultimately composed of indurated, extremely resis 1998),
tant aggregates of clay that behave as sand (Pilo,
episodes of sedimentation and sheetwash should produce

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ARAUJO ET AL.

aggregate sorting depending on flow competence. Crushing the aggregates, as in standard granulometry, would
therefore not be informative.

THEORETICAL EXPECTATIONS
Based on the vast literature about tropical soils, bioturbation, and slope processes (Cahen & Moyersons, 1977;
Thomas, 1994, 2004; Araujo, 1995; Boulet et al., 1995;
1992), we started our work with two initial comMiklos,
peting theoretical expectations regarding slope processes
and site formation processes. The first states that archaeological materials are present in discrete levels that reflect different episodes of human occupation, interbedded
with colluvium deposited by means of sheetwash processes in a subhorizontal manner. The second is that there
are no discrete archaeological layers. Soil creep processes (Clarke et al., 1999) are responsible for the burial
and, in some cases, concentration of archaeological materials. This process of colluvial accretion occurs not by subhorizontal deposition but in a convolute manner, mixing materials from different occupation events, including
charcoal. If the first expectation is correct, then charcoal
fragments are good indicators of soil ages and, therefore,
artifact deposition events. On the other hand, if the second expectation is correct, there will be no direct relationship between the soil mass, artifacts, and charcoal fragments. In this case, direct dating of burned artifacts (stone
or ceramics) will be necessary, and luminescence dating
of quartz grains should be a better indication of depositional age than radiocarbon dating of charcoal fragments.
After the initial assessment of the site, and based upon
our theoretical expectations, we decided to invest more
effort in determining the ages, cultural contents, and formation processes operating at the site. Given the data obtained in Units B1 and B2, we thought the site stratigraphy would present a rather monotonous sequence of
a reddish upper soil horizon overlying a yellowish bottom horizon, both following the extant slope angle, and
archaeological materials mirroring the vertical distributional pattern observed earlier. However, reality was
quite different and several later observations were totally
unexpected.

posed of very poorly sorted milky quartz and quartzite


clasts. The clasts are angular to rounded in shape with
sizes ranging from granules to cobbles up to 25 cm diameter. Because of difficulties in removing the cobble layer,
excavation stopped after 250 cm depth, or only 80 cm
into the layer. Unit S4, 7.5 m east of unit B2, revealed a
very different profile. We encountered at 230 cm depth
a 20-cm thick organic deposit, probably related to an ancient high lake stand. It was extremely well-developed,
compared to weak organic development in the neighboring unit B2.
We placed additional excavation units (S5, S6, S7, S9,
and S10) along the slope to delimit the site and assess
differences related to height above the lake (Figures 1B
and 3B). Most striking was the differential thickness of
the upper reddish soil layer (colors 5YR 5/6, 7.5YR 4/4,
and 7.5YR 5/6), which measures at least 300 cm thick
upslope in Unit S10 and steadily decreases in thickness
downslope to 110 cm in Unit S6. Below the red soil is a
yellowish one, only visible (within the extent of excavation) in the downslope units (colors 10YR 6/6, 10YR 5/8,
10YR 4/6).
The presence of well-developed gravel layers in Units
B1, B2, S3, S4, S6, and S7 and less-developed gravel horizons in Unit S10 is also of interest. Such gravel layers are
common in tropical settings, under the general designation of stone lines, the genesis of which is controversial (Johnson, 2002; Hiruma, 2007; Santos et al., 2010).
The stone line here is discontinuous (occurring in Units
S6 and S4, but not in the intermediate Unit S5, for example), very poorly sorted, and with variable thickness.
From grain-size measurements using the standard pipette
method in Units B2 and S4, the colluvium at the site appears to be mainly clay, with a small increase in sand in
the lower horizons. Average clay content was 62% for
Unit B2 and 53% for Unit S4 (Figure 4).
The compound evidence suggests that the paleotopography in the late Pleistocene was very different from the
extant gentle slope. A branch of the lake appeared to
reach the bottom of Unit S4 but not adjacent units, and
the several pockets of gravel accumulation forming stone
lines probably relate to gully infilling.

Matrix Characterization

RESULTS
Paleotopography, Soil Horizons, and Stone
Lines
We placed two additional excavation units east and west
of B1 and B2, following approximately the same contour
line (Figures 1B, 2, and 3A). In Unit S3, 15 m west of
B1, we encountered a gravel layer at 170 cm depth com-

Geoarchaeology: An International Journal 28 (2013) 195220

Overall, the chemical composition is very homogeneous


across the soil profiles (Table I). CaO and P2 O5 decreased
with depth, as expected, due to the diminution of the influence of organic compounds. There was also a minor
decrease in Fe2 O3 with depth, probably related to pore
spaces and the presence of the water table. Figure 3A
gives the location of the geochemistry samples for Units
B1 and S4.

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Figure 3 (A) Topographic prole of Sumidouro Site showing the relative position of Units S5, S6, S7, S9, and S10, placed along a catena. (B) Relative
location of Units S3, B1, B2, and S4. Numbers under unit name provide their height over the datum (lake level in July 2008) in millimeters. Note the wavy
pattern of the stone line, and the discontinuous nature of the organic levels and gleysols.

Figure 4 Granulometry (standard sieve and pipette method) determined for Units B2 and S4.

200

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PALEOINDIAN OPEN-AIR SITES IN TROPICAL SETTINGS

ARAUJO ET AL.

Table I Soil chemical composition from different horizons and excavation units obtained by XRF.
Sample:
Depth:
Number:
SiO2
Al2 O3
MnO
MgO
CaO
Na2 O
K2 O
TiO2
P2 O5
Fe2 O3
Loi

B1-F1
15 cm
1512a
56.23
21.23
0.043
0.46
0.30
0.04
0.76
1.272
0.285
7.15
12.59

B1-F2
60 cm
1513a

B1-F3
152 cm
1514a

57.53
22.35
0.018
0.42
0.18
0.03
0.70
1.155
0.207
7.40
10.59

56.15
23.78
0.013
0.45
0.07
0.02
0.69
1.227
0.163
7.21
10.07

59.90
21.88
0.011
0.44
0.03
0.04
0.71
1.207
0.145
6.66
9.39

B1-F6
290 cm
1516a

S440
45 cm
1131a

59.37
21.79
0.009
0.42
0.03
0.02
0.73
0.915
0.172
7.81
9.00

S470
75 cm
1128a

59.37
20.43
0.320
0.41
0.18
0.02
0.67
1.367
0.209
6.33
10.91

56.79
23.22
0.024
0.40
0.12
0.02
0.66
1.267
0.230
7.00
10.17

62.48
20.64
0.008
0.40
0.03
0.03
0.63
1.253
0.141
5.03
9.75
100.39

S4240
240 cm
1031a
64.89
18.59
0.008
0.37
0.03
0.04
0.58
1.109
0.129
5.14
8.53
99.42

S6100
100 cm
1541
54.63
24.22
0.011
0.48
0.20
0.02
0.69
1.140
0.219
6.39
10.38
98.38

S6170
170 cm
1526
54.21
19.72
0.287
0.55
0.12
0.02
1.03
0.999
0.273
13.04
9.12
99.37

S6270
270 cm
1542
57.17
22.06
0.035
0.72
0.07
0.03
1.41
0.968
0.226
8.73
8.65

100.36

100.58

100.41

100.27

100.22

Ba
Ce
Co
Cr
Cu
Ga
La
Nb
Nd
Ni
Pb
Rb
Sc
Sr
Th
U
V
Y
Zn
Zr

259
116
7
127
30
30
29
24
29
37
34
63
21
43
18
8
154
23
64
282

229
127
4
130
28
31
42
22
32
36
35
56
19
43
18
6
154
22
62
272

230
120
7
126
29
33
38
23
34
39
36
54
21
44
19
6
176
22
66
274

236
103
7
125
28
31
35
23
31
37
34
53
20
45
18
6
142
23
63
281

226
82
6
142
30
31
34
18
33
37
36
56
20
54
15
6
162
19
65
229

235
96
8
117
27
29
34
26
31
34
30
54
19
41
18
7
172
25
58
299

229
136
8
129
31
32
36
24
30
38
34
57
20
42
18
7
157
23
65
283

270
121
7
127
30
32
44
24
41
33
29
51
22
43
15
5
164
43
58
278

204
101
8
112
25
27
35
22
24
30
28
46
17
40
15
6
149
33
53
268

262
122
9
127
33
34
43
22
36
45
37
63
20
49
16
5
154
24
80
262

345
142
47
144
39
28
51
16
49
37
40
79
22
61
15
4
192
25
87
233

468
154
12
124
32
31
55
15
45
43
45
98
20
59
14
5
155
24
90
226

<50
602
<300

<50
823
<300

<50
714
<300

<50
918
<300

<50
930
<300

<50
891
<300

<50
799
<300

<50
591
<300

<50
779
<300

<50
941
<300

<50
1042
<300

<50
1480
<300

99.90

S4230
230 cm
1018a

Total

Cl
F
S

99.84

B1-F4
243 cm
1515a

100.07

Sample position shown in Figure 3A.

To study matrix features, we analyzed thin sections on


five samples collected in the north profile of Unit S4, designated 1158, 1159, 1166, 1160, and 1165 from top to
bottom (Figure 2, Table II).
Sample 1158 (130 cm depth) shows microfeatures suggesting colluvial deposition under a high viscosity sedimentary flux (Table II, first column). Vesicular pores suggest air was trapped during this process (Bertran & Texier,
1999). The amount of water was sufficient to liquefy the
material, the fine fraction (b-fabric according to Stoops,
2003) witnessing vertical mobilization of its constituents,
as suggested by iron dissociated from other elements of

Geoarchaeology: An International Journal 28 (2013) 195220

the plasm (Figure 5AD). This gives the groundmass a


porphyritic organization (Table II, third column), which
is common in high viscosity sedimentary fluxes. The
source material is the Oxisol present in the upper portions of the slope, with a high degree of geochemical evolution. Subangular blocky structures and microaggregation suggest post-depositional processes related to strong
bioturbation by both flora and fauna. The absence of
iron dissociation and feature infilling (intrusive pedofeatures) suggest a relatively young bioturbation process.
The structural organization of the materials, the strong to
moderate pedality, and the blocky and channel/chamber

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Table II Selected main micromorphological characteristics.


Post-Deposicional Transformations Microstrutures/Pedofeatures
Horizon/Bed
(cm)
Sedimentary
Sample
Featuresa
2Bniticb/VII
(130)
1158
1BAb/IV
(190)
1159
1Bb/IV
(210)
1166
1Bb/IV
(225)
1160a + b
1Cg3b/III
(245)
1165

Source
Material
Featuresb

Pedalityc Voidd

Microstructuree

Groundmass
c/f Related
Distributiong

b-Fabrich

Matrix
Featuresi

Intrusive
Featuresf

mx sd, m-s, us, mx rb, nj


ug, ve, dif

s-m

ck , paj , plj ,
vj ,vej

sb-cr

dp

uk , csj , psj , gsj

siol , hvj , qcj ,


nb,c

cj , mj , ccj

mx sd, m-s, us, mx rb, nl


ug

w-m

vk , cl , paj ,
plj ,

v-ch

dp

uk , csl , psj , gsj

siol , hvj , na,b

c j , mj

mx sd, m-s, us, mx sb, nj


ug

m-s

ck , pll , vl ,
paj ,

sb-cr

dp

uk , spl

siol , hvl , hgj ,


na,b

dcil , cj , mj

mx sd, m-s, us, mx sb, nj


ug

m-s

ck , pal , pll ,
vj

sb-cr

dp-sp

spk , ul

siok , hvl , hgj ,


na,b

dcil , cj , mj

mx sd, m-s, us, mx db, nj


i, ug

plk , cj , vj

sp-cp

spk , ul , rj

siok , hvl , hgl ,


na,b

dcil , mj

mx sd = matrix-supported, m-s = mud-sandy, us = unstraticaded, i = locally inclined, ug = ungreded, dif = downward intersticial ow.
mx = matrix, rb = reddish-brown, sb = strong brown, db = dark brown collor, n = strongly impregnation nucleic nodule with subangular quartz.
c
s = strong, m = medium, w = weakly developed.
d
c = channel/chamber, pa = packing, pl = planes, v = vughs, ve = vesicles.
e
sb = subangular blocky, cr = crumb (microaggregate), v = vugh,ch = channels, m = massive.
f
c = capping, m = micropan, cc = crescent coating, dci = dense complete inlling vughs planes.
g
cp = close, sp = single spaced, dp = double spaced porphiric.
h
u = undiferentiated, cs = circular stried, ps = porostried, gs = granostried, r = random striated, sp = speckled.
i
sio = segregation of iron oxides (depletion), n = nodule stronga , mediumb , weaklyc impregnation; hv = hypocoating voids, hg = hypocoating grain,
qc = quasicoating voids.
j
> 2%.
k
<10%.
l
210%.
a

microstructures suggest an incipient B horizon forming


in colluvium. These represent characteristics of a buried
nitic horizon1 (Bnitic Ab).
Sample 1159 (190 cm depth) also showed features suggesting high viscosity sedimentary flux, but the absence
of vesicular pores and interstitial vertical movements suggests a system with less water than observed in 1158. The
source area is also the same, a very mature soil from upslope, with iron oxyhydroxides and nodules; however, the
presence of greater number of nodules suggests that the
primary source was an even more mature soil horizon
(Figure 6). Post-depositional transformations include dissociation among plasm constituents, generating cavitary
microporosity, and bioturbation. In this case, bioturba1 According

to EMBRAPA (2006), nitic horizons are thick mineral horizons, with low activity clay, well drained, clayey to very
clayey, subangular blocky structure, angular or prismatic moderate or strong, sometimes with shiny surfaces that may be related
to coatings or compression surfaces.

202

tion is weak to moderate, insufficient to promote the individualization of the subangular blocks. These observations are characteristic of a B horizon in transition to A,
developed in a colluvial deposit (BAb).
Sample 1166 (210 cm depth) shows microfeatures suggesting the same depositional processes observed at Sample 1159. The relict material from the source area is
also similar to the previous sample, but with a greater
frequency of nodules and differing in color, tending
to yellow. The micropores are filled (dci), suggesting
the presence of a greater amount of expansive clays
(Figure 7). Post-depositional transformations are primarily related to dissociation among plasm constituents, generating microcavitary and fissural microporosity, and bioturbation. In this case, bioturbation is moderate to strong,
sufficient to promote subangular block individualization.
These characteristics point to a Bb horizon developed
over a colluvial layer. Sample 1160 (225 cm depth) is
very similar to 1166, being part of the same yellowish

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Figure 5 Sample 1158 thin sections. (A) Detail showing iron remobilization due to vertical migration of the interstitial water during depositional process.
Plasm segregation and migration to vesicular pores (ve) generating hipocutans (hc) and quasi-cutans (qc). (B) Same image, XPL, showing plasm orientation
resulting from the above-mentioned processes. (C) Microstructure in subangular blocks and microaggregates resulting from bioturbation, containing
the a image. Note the nodule with strong iron impregnation in contrast to areas where the plasm shows iron depletion. These represent two different
features, one related to the parental material (nodule), the other to the depositional process (iron remobilization). (D) Basal portion of the thin section
showing the fragmentation of the massive structure due to bioturbation. Fissures associated with biogenic channels can be perceived in the central
portion of the image. (E) Same image, XPL.

layer, but with a greater number of microaggregates.


It is the same Bb horizon developed over a colluvial
layer.
Sample 1165 (245 cm depth) represents the organic
level at the bottom of the soil profile. The groundmass is
dark brown, matrix-supported, with an angular heterometric skeleton. Bioturbation is moderate to weak. The
absence of pedality and the homogeneous microstructure suggests very weak pedogenesis (Figure 8). There
is iron depletion in the groundmass, especially near the
biogenic pores. Some zones show evidence of iron reduction, from ferric (Fe+3 ) to ferrous (Fe+2 ). These features suggest an organo-mineral sediment generated outside the lacustrine environment, probably deposited in a
viscous sedimentary flux under subaerial conditions, and
later subject to hydromorphy and bioturbation. Macroscopic field observations of this level showed the presence
of polygonal fractures, suggesting mud cracks. Hence, it is
possible that we are dealing with a lake bottom sediment
subject to subaerial conditions, followed by burial and
temporary hydromorphic conditions, related to watertable oscillations.

Geoarchaeology: An International Journal 28 (2013) 195220

In sum, the groundmass properties point to matrixsupported materials, without stratification or gradation.
The coarse fraction is mainly composed of angular quartz
grains, suggesting lack of mechanical abrasion during
transport. The overall characteristics suggest that a high
viscosity sedimentary flux (earth flow) was responsible
for the soil accretion along the whole column, although
other minor processes were probably involved. The upper, reddish soil horizon is characterized by microstructures with strong porosity and more developed pedality,
while the lower, yellowish horizon presents a massive
structure and channel-like pores. As expected, bioturbation is an important factor in the overall soil development, but its intensity is irregular along the profile. As
we will see later, this difference is probably related to paleoenvironmental conditions.

Vertical Distribution of Archaeological


Materials and Charcoal Fragments
Due to the extreme hardness of the soil, which did not
allow precise excavation, a resolution no better than

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Figure 6 Sample 1159 thin section. (A) Massive microstructure tending to vughy. Local presence of crumbs related to bioturbation. (B) Same image, XPL,
showing areas of circular striated orientation as decorrence of plasm segregation and microcavity development. (C) Detail of the nodules with strong
impregnation (pedorelicts) and biogenic channel partially lled by microaggregates. (D) Same image, XPL, showing a lack of correspondence between
the material composing the nodules and the groundmass.

10 cm levels could be obtained for recording and quantifying archaeological materials and charcoal fragments.
In a few instances archaeological pieces were recovered
in situ and individual coordinates recorded. Table III gives
the tabulation of charcoal weight and number of lithic
artifacts for nine excavation units.
The most important archaeological observations are (1)
the artifacts show frequency peaks across the profiles, but
these peaks do not correlate statistically with peaks in
charcoal; and (2) there is no significant statistical relationship between weight of individual artifacts and depth
(Figure 9). Pearsons r was calculated for each unit, showing very low correlations between lithics and charcoal
(Unit S3: r = 0.019, P = 0.94; Unit S4: r = 0.299, P = 0.18;
Unit S5: r = 0.078, P = 0.74; Unit S6: r = 0.042, P = 0.99;
Unit S7: r = 0.156, P = 0.49). This lack of correlation
can be explained in at least two ways. First, the production of charcoal might be related to natural fires. Second,
charcoal fragments could be subject to differential vertical movement when compared to the much denser stone
fragments. This last factor is probably present to some degree, because evidence is present of extreme charcoal vertical movement. However, this may not explain the bulk
distribution. The graphs in Figure 9 show that peaks of
charcoal are always present in levels with no archaeo-

204

logical materials. This suggests a more predominant role


played by natural fires in the production of charcoal. The
lack of correlation between artifact weight and depth, also
using Pearsons r (Figure 10) indicates that bioturbation
by soil mesofauna is not an important factor in the vertical positioning of the artifacts, since it is expected that
ants, termites, and earthworms would produce artifact
size sorting according to their maximum capacity for clast
dislocation.
Other evidence suggests discrete artifact layers. Unit
B2 at 80 cm depth contained three conjoinable pieces,
composed of a pebble and two detached flakes. Figure 11
shows the results obtained by Malvern granulometry. The
graphs suggest that in spite of its very high clay content,
the soil behaves texturally as a sandy soil, and therefore
the percentages of sand, silt and clay plotted in Figure 4
are misleading in this context. The laser scattering analysis shows a scenario where mean clay content comprises
only 0.7%, silt 19.5%, and sand 79.7% in soil volume.
The visual inspection of Figure 11 suggests different
pulses of clay, silt, and sand-sized materials. However,
in order to better explore such patterns, we ran a cluster analysis of the 30 samples, taking into account 21
granulometric intervals (from 2000 m to 1.381 m) using Wards method, Euclidean distance (Figure 12). The

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ARAUJO ET AL.

Figure 7 Sample 1166 thin section. (A) Microstructure showing subangular blocks to microaggregates as decorrence of the dismantling of the groundmass
associated with ssural and cavitary pores, and bioturbation. (B) Detail of the groundmass dismantling. (C) Same image, XPL, showing mottled plasm
orientation. (D) Pore hipocutan concentrating Fe and nodule with strong impregnation. (E) Same image, XPL, showing speckled plasm orientation.

graph in Figure 12 suggests six different groups of granulometric pattern, named A to F. When we compare the
clusters with the granulometry in Figure 11, it is worth
noting that cluster E is more sandy.
The placement of the groups along the profile, with
the majority of them being composed by samples that
are contiguous in the stratigraphy, suggest that they are
meaningful in terms of depositional regimes. This in turn
points to at least nine discrete events of soil accretion and
sediment deposition, summarized in Figure 2 (left side of
Unit S4, North Profile). Some clusters show a remarkable
coincidence with archaeological layers (clusters A, B, and
F), while others show the opposite (clusters C and E).
In sum, the data favor the interpretation that there
are discrete archaeological layers in the site, and that
these layers are not result of natural processes, but rather
the outcome of different human occupation episodes
near the lake shore that took place since the Pleistocene/Holocene transition.

Chronology
Radiocarbon
As mentioned, the first radiocarbon ages obtained for
Sumidouro, from Unit B1, indicate a late Paleoindian

Geoarchaeology: An International Journal 28 (2013) 195220

age. Despite the discrepancy between radiocarbon and


OSL ages, the radiocarbon sequence seems consistent:
one archaeological level at 137 cm depth dated between
5920 and 5600 cal. yr B.P., a second at 160 cm depth
dated between 9450 and 9240 cal. yr B.P., and a third at
180 cm depth, without enough charcoal to date, but
probably dating from the Pleistocene/Holocene transition. Additional charcoal samples muddied the picture.
For example, a charcoal fragment from Unit B2, collected
at 115 cm depth and associated with lithics, produced a
radiocarbon age of 230 30 14 C yr B.P. (315 to 145 cal.
yr B.P.; Beta 191131). Consequently, we submitted 14
additional charcoal samples from Unit S4 to better understand the charcoal dispersion pattern. Table IV lists all
radiocarbon dating results for all excavation units.

Luminescence
We collected 12 sediment samples for OSL dating from
four of the excavation units: seven from Unit B1
(Figure 2), and the other five split among Units S4, S6,
and S7 (Table V). Table VI lists the concentrations of the
major contributors to the dose rates, along with the total calculated dose rates. The table arranges samples by
depth below surface. There is no significant trend of dose
rate with depth. The largest differences are among the

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Figure 8 Sample 1165 thin section. (A) Massive microstructure with plane voids. The dark brown color of the plasm is characteristic of the accumulation
of iron and OM. (B) Iron depletion zone. (C) Detail of iron depletion zone, PPL. (D) Channel lled by material coming from upper horizons. (E) Quartz grains
showing weakly developed inclined stratication.

individual units, with S6 exhibiting high dose rates and


S4 unusually low dose rates.
We applied dose recovery to three hundred 180
212 m grains from UW2234 and UW2235, of which
68 passed the regular criteria for acceptance. The ratio of
derived dose to administered dose, using the central age
model, is 1.09 0.4, somewhat overestimated. Of the 68
grains, 59% were within 1 of the administered dose and
88% were within 2 , again not quite what would be expected from random error. Of the eight grains that failed
to recover within 2 , six estimated the dose. The overdispersion, which is a measure of scatter beyond what
can be accounted for by measurement error, is 15 3%.
This gives an estimation of intrinsic variability expected
for a single-aged sample.
Table VI also gives the De for each sample, which
was calculated using a weighting method called the
central age model (Galbraith et al., 1999) and the
over-dispersion. Overdispersion values range from 34 to
128%, much higher than the 15% obtained in dose recovery. The cause of this higher variability must be something other than intrinsic factors. One possibility is partial
bleaching, where only some of the grains were fully reset
at the time of deposition. The quartz luminescence signal
is a composite resulting from the release of electrons from
several different traps, some of which are more suscepti-

206

ble to sunlight than others. If the De from slow bleaching


traps does not differ from that of fast bleaching traps, this
can be taken as evidence for full bleaching. We assessed
this qualitatively for each grain by measuring linearmodulated OSL (LM-OSL) after a dose at the end of the
SAR sequence. In conventional OSL measurements, the
stimulating source is kept at constant power, but in LMOSL the power of the source is increased linearly during
read-out. Electrons from the fast-bleaching traps are released sooner than those from slow-bleaching traps. By
comparing the ratio of signal from early and later parts of
the LM-OSL curve, one can obtain a qualitative measure
of the relative degree to which the signal from a particular grain is dominated by the fast traps. A comparison
of grains with high ratios (signifying the dominance of
fast bleaching traps) with those with low ratios showed
no significant difference in average De values, suggesting the samples are well-bleached. Some grains with very
low ratios (signifying dominance of slow bleaching traps)
did tend to have higher De values and these (approximately 10%) were removed from analysis. These samples
might also explain the slight overestimation from dose
recovery.
Another possible cause of high variability is differential dose rate at the single grain level. A likely source is the
differential distribution of K-feldspars, from which 40 K

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Unit B1
Number
Lithics

0
0
0
0
0
0
0
0
0
0
0
0
0
3
5
3
0
4
0
0
0
0
15

Level

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
Total

0
0
0
0
0
0
1
1
3
0
2
2
1
4
0
6
8
2
7
0
1
1
39

Unit B2
Number
Lithics
0.000
0.000
4.091
0.000
1.622
0.000
0.000
2.365
1.057
1.925
0.627
1.922
2.604
3.781
2.585
0.239
0.277
0.000
0.606
0.000

23.701

Unit S3
Charcoal
(g)
0
0
0
0
1
1
0
0
0
0
0
0
1
2
0
0
0
0
5
2

12

Number
Lithics
0.000
5.705
76.508
31.257
6.341
1.556
2.767
44.822
2.423
12.433
4.261
24.804
25.789
8.985
8.125
4.935
7.869
10.892
0.623
0.287
0.097
1.759
282.238

Unit S4
Charcoal
(g)
0
0
2
3
1
0
0
3
1
0
0
0
0
0
1
0
3
3
4
1
1
1
24

Number
Lithics
6.203
25.186
10.319
4.122
0.531
1.047
1.029
16.378
14.857
75.543
6.764
71.234
29.282
7.406
7.323
21.394
31.680
12.150
2.139
0.000
0.042

344.629

Unit S5
Charcoal
(g)

Table III Charcoal weight, number of lithics, and total of lithics by level for nine excavation units.

2
0
8
1
0
0
0
0
0
0
0
2
2
0
1
0
1
0
0
0
0

17

Number
Lithics
0.000
0.000
5.055
20.91
14.423
14.529
38.425
17.102
0.834
4.39
50.036
0.682

166.386

Unit S6
Charcoal
(g)
0
0
3
3
1
1
0
1
0
0
0
0

Number
Lithics
9.54
5.98
51.43
45.84
28.04
3.49
6.12
10.25
3.57
1.82
4.22
18.00
12.91
33.17
18.41
4.05
2.23
2.51
0.97
0.07
0.08
0.04
262.724

Unit S7
Charcoal
(g)
3
0
0
0
0
0
0
0
0
1
0
0
0
1
1
1
0
2
1
1
0
0
11

Number
Lithics

0.000
0.000
5.875
2.869
0.000
0.000
0.000
13.430
0.167
2.872
2.764
1.232
3.228
0.998
0.000
0.000
1.291
0.103

34.829

Unit S8
Charcoal
(g)

1
1
1
0
0
0
0
0
0
1
0
0
2
2
2
0
0
0

10

Number
Lithics

0
0
0
0
0
0
0
1
0
0
0
0
2
1
0
1
0
1
1
0
0
1
8

Unit S9
Number
Lithics

ARAUJO ET AL.
PALEOINDIAN OPEN-AIR SITES IN TROPICAL SETTINGS

Geoarchaeology: An International Journal 28 (2013) 195220

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Figure 9 Relationship between artifacts and charcoal fragments found in ve excavation units, tabulated by 10-cm levels, showing a lack of statistical
correlation between the two variables.

208

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ARAUJO ET AL.

Figure 10 Relationship between artifact weight and depth found in six excavation units, tabulated by 10-cm levels, also showing a lack of statistical
correlation between the two variables.

contributes a large portion of the beta dose rate. Grains


close to a K-feldspar will have a higher dose rate than
those further away, and thus will produce a higher De
value even if the ages are the same. An attempt to model
the possible effect using measured 40 K proportions and
beta dose rates, following Mayya et al. (2006), showed
that the scatter was too large to be attributed to differential beta dose rate. It is likely that much of the 40 K is

Geoarchaeology: An International Journal 28 (2013) 195220

derived from the abundant clays in the sediments, which


would provide a more uniform dose.
The most likely source of high overdispersion is postdepositional mixing. To look at the structure of the De
distributions, we applied a finite mixture model (as described in the Appendix), using the 15% overdispersion
from dose recovery as typical for a single-aged component. The model identified from two to four single-aged

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Figure 11 Granulometric analysis of 30 samples from Unit S4, run by laser scattering, using a Malvern Hydro 2000MU particle-size analyzer. Dashed line
represents the percentage of clay as determined by the standard pipette method.

components, the three most abundant from each sample and their proportion given in Table VI. The components are statistical constructs and should not necessarily
be taken as discrete groupings that have become mixed.
The distributions in fact are more or less continuous. Distributions for three samples are shown as radial graphs in
Figure 13.
When distributions are more or less continuous, it is
difficult to determine which, if any, of the components
relate to the original deposition, without some knowledge of how grains have moved. The central age value,
for example, would be appropriate if grains moving up
were more or less countered by grains moving down.
To evaluate the distributions, the central ages of each
component, as well as those from the entire distribution,
were calculated by dividing by the dose rate determined

210

on the sample as a whole. Ages for each component


were then compared with stratigraphic and radiocarbon
information.
The best stratigraphic evidence for the relative age of
the OSL samples is from Unit B1, from which seven samples were drawn. Table VI arranges the samples in stratigraphic order from youngest to oldest and lists the central model age from the whole distribution and the age
from the most abundant component. With the exception of UW2236, both sets of ages form the correct stratigraphic order, within error terms, when using the whole
distribution. The ages of the largest component also differentiate the ages of successive samples (UW13901389
and UW13882238), where the whole distribution does
not. The largest component age for UW1390 also is closer
to the radiocarbon age from that layer than the whole

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ARAUJO ET AL.

Figure 12 Cluster analysis of the 30 samples of Unit S4, taking into account 21 granulometric intervals (from 2000 m to 1.381 m) using Wards method,
Euclidean distance.

distribution age. That both sets of ages are not too different reflects the high proportion of grains (more than 60%
for most samples) in the largest component. While there
is some movement up and down profile, the close fit between the largest component ages and the stratigraphic
and radiocarbon information suggests that the majority
of grains have not moved much and seem to represent
the depositional age. UW2236 appears slightly young, but
this sample for some reason contained very insensitive

quartz grains and the sample size was very small. Samples UW138890 were drawn from archaeological layers,
confirming a late Pleistocene/early Holocene age for these
materials.
We collected three samples from Unit S6 and one each
from Units S4 and S7 (Table VI). The samples from S6
are fairly mixed in terms of having grains spread more
evenly among different components, neither sample with
a component making up more than 60%, and the largest

Table IV Sumidouro site 14 C ages analyzed by Beta Analytic, Inc.

Sample
SUMIDB1137
SUMIDB1160
SUMID-B2115
1101
1102
1103
1104
1105
1019
1136
1173
1174
1175
1176
1180
1181
814
S7 190200
S9 190200

Laboratory
Number
(Beta)

Excavation
Unit

Depth (cm)

205350
205351
191131
234507
234508
234509
234510
234511
234506
234512
234513
234514
234515
234516
234517
234518
234520
256391
256402

B1
B1
B2
S4
S4
S4
S4
S4
S4
S4
S4
S4
S4
S4
S4
S4
S4
S7
S9

137
160
115
225
138
150
108
112
235
26
130
146
154
135
46
25
31
200
200

Geoarchaeology: An International Journal 28 (2013) 195220

Conventional
Radiocarbon
Age 14 C yr BP
5020
8310
230
5860
4580
5810
2210
4220
450
510
3450
4460
5130
4640
1350
340
400
660
6410

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Copyright 

70
40
30
50
50
40
40
40
40
40
40
40
40
40
40
40
40
40
40

Calibrated
Age (cal. yr B.P.)
59205600
94509240
315145
67906550
54505060
67206500
23402120
48504640
540470
620500
38303620
52904910
59405750
54705300
13201190
500300
520320
680550
74207260

13

C/12 C
25.6
25.3
24.5
25.7
26.4
25.8
24.0
25.7
27.5
27.1
25.8
24.3
25.5
26.5
26.4
25.8
26.6
27.3
24.8

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Table V Location of OSL samples and concentrations of the major contributors to the dose rate for each sample.
Laboratory
Number

Field
Designation

Unit

Depth
(cm)

Provenience
Information

UW1392

OSL5

B1

27

UW1391
UW1886
UW2234

OSL4
OSL6
1525

B1
S7
S6

70
70
105

UW1390

OSL3

B1

137

UW1389

OSL2

B1

160

UW2237
UW1388

1528
OSL1

S6
B1

171
196

UW2238

1539

B1

262

UW2235
UW2236
UW1885

1524
1540
OSL7

S6
B1
S4

275
288
295

A-horizon, recent
colluvium
Clayey horizon
Reddish colluvium
Reddish colluvium at
base of lithic level
Upper limit of middle
lithic level,
transitional horizon
Middle lithic level, in
reddish colluvium
Yellow colluvium
Below lower lithic level,
contact reddish/
yellow colluvium
Contact yellow
colluvium/
stone-line
Above stone-line
Stone-line
Below stone-line

component showing stratigraphic inversion. It is probably not possible to sort out a precise depositional age
for these two samples, but it is probably safe to say that
both are Pleistocene in age. Both predate the archaeology
stratigraphically. UW2234 was taken from the bottom of
the archaeological layer. One component with 46% of
the grains gives an age of 12.0 1.0 ka. This sample
is early Holocene, but any more precise specification is
probably not possible. UW1885 is located 50 cm below
the archaeological material in the stratigraphy. The sample came from the bottom of the excavation unit so its old
age should not be surprising. UW1886 was located high
in Unit S7, 150 cm above the lowest archaeological evidence. Its Mid-Holocene age is probably a reasonable estimate. Neither of these samples seems as mixed as those
from S6.

OSL and radiocarbon: Comparing results


Radiocarbon ages tend to be consistent in terms of depth,
since the deeper charcoal fragments are generally older
(r = 0.48; P = 0.036). There are, however, some important exceptions. In Unit S4 there are two instances
where charcoal ages could be very misleading (Figure 2).
The lower archaeological horizon, present between 160
and 210 cm depth, could be bracketed between the set
of Mid-Holocene age samples (samples 1102, 1103, 1104,
and 1105) and sample 1101. However, the age obtained
for sample 1101 (67906550 cal. yr B.P.) is statistically

212

238

U (ppm)

232

Th (ppm)

K (%)

Total Dose
Rate (Gy/ka)

2.81 0.23

12.81 1.53

0.54 0.02

1.90 0.10

3.57 0.27
3.63 0.25
2.90 0.20

12.68 1.54
9.48 1.32
7.30 1.13

0.52 0.02
0.59 0.04
1.56 0.06

1.96 0.10
1.85 0.10
2.33 0.11

2.35 0.20

10.60 1.25

0.50 0.01

1.68 0.08

3.28 0.28

17.96 1.73

0.50 0.01

2.15 0.11

4.17 0.30
3.72 0.29

14.51 1.42
14.63 1.68

0.91 0.06
0.44 0.01

2.25 0.11
1.99 0.11

2.69 0.24

14.06 1.61

0.55 0.03

1.79 0.10

3.16 0.27
3.78 0.27
2.39 0.15

16.22 1.76
12.00 1.42
3.71 0.71

1.17 0.06
0.69 0.04
0.30 0.01

2.34 0.12
2.01 0.10
1.11 0.06

equal to sample 1103 (67206500 cal. yr B.P.), located


70 cm above. If this discrepancy is not related to some sort
of contamination (and the dating laboratory did not report any contamination problem), this represents a minimum vertical displacement of 70 cm for the charcoal
fragment. Yet, there is evidence for much greater vertical displacements. Sample 1019, collected at a depth of
235 cm depth, produced an age of only 540470 cal. yr
B.P. This means that this charcoal fragment migrated at
least 200 cm downwards in the profile.
The problem becomes more apparent when we compare charcoal ages with luminescence ages and the extant archaeological information for the area. The lower
archaeological horizon in Unit S4 has all characteristics of being Paleoindian (Figure 2). It shows the
same lithic technological organization found in the rockshelters, and more important, the presence of flint flakes.
Flint is only found in the oldest horizons (from 12
to 10 ka) of the three rock-shelters we excavated. If
we used only the radiocarbon bracket between samples
1101 and 1103, this horizon would be attributed to the
Archaic.
Another example of problems related to charcoal
movement was found at Unit S7, where charcoal found
at 200 cm depth was dated by radiocarbon between 680
and 550 cal. yr B.P. (660 40 14 C yr B.P.; Beta 256391;
Table IV). For the same unit, we have an OSL age of
5.3 ka at a depth of 70 cm depth, which seems much
more likely (UW 1886; Table VI).

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PALEOINDIAN OPEN-AIR SITES IN TROPICAL SETTINGS

0.2 (45%)
0.3 (65%)
0.5 (66%)
0.4 (50%)
0.5 (62%)
0.9 (62%)
2.1 (52%)
1.1 (69%)
1.5 (81%)
1.1 (58%)
2.4 (44%)
2.7 (81%)

1.4
3.5
5.3
5.2
7.7
10.1
26.4
14.8
18.5
10.6
15.7
33.6
0.2
0.3
0.5
0.7
0.7
0.7
1.5
0.9
1.5
1.1
1.7
2.4

14
52
13
81
27
44
13

1.8
4.1
5.7
6.9
10.1
9.3
16.0
12.4
14.3
11.5
5.4
28.1
36
2
14
46

Central
Age
%

0.4
6.5
3.8
1.7

4.1
3.3
12.9
1.5
5.8
4.4
12.9

5.2
35.2
30.2
27.9

39.1
59.4
66.3
33.2
50.5
31.6
66.3

45
33
66
50
38
62
27
69
13
58
32
69
0.3
1.3
0.7
0.7
1.3
1.4
3.3
1.2
2.0
2.1
1.9
1.2

2.7
11.1
9.9
12.1
26.3
21.8
31.9
29.5
12.4
24.7
12.8
29.5
1.2
6.4
5.7
0.7
13.0
11.5
13.6
16.1
5.0
10.9
1.1
16.1
64.1
37.6
50.3
68.2
39.4
45.7
62.4
34.5
57.3
48.6
128
34.5
0.2
0.3
0.7
1.4
0.5
0.7
2.6
0.8
2.0
2.1
3.4
0.8

Unit

B1
B1
S7
S6
B1
B1
S6
B1
B1
S6
B1
S4

Sample

UW1392
UW1391
UW1886
UW2234
UW1390
UW1389
UW2237
UW1388
UW2238
UW2235
UW2236
UW1885

27
70
70
105
137
160
171
196
262
275
288
295

165
145
86
76
316
229
94
196
70
57
19
196

3.4
8.0
10.6
16.2
16.9
19.9
35.9
24.6
25.6
26.8
10.8
24.6

b (%)

De (Gy)

0.2
0.4
0.7
0.2
0.4
1.0
1.2
1.2
0.8
2.1
0.3
1.2

12
65
20
4
62
23
21
30
7
14
24
30

De (Gy)
%

De (Gy)

Component 3
Component 2

Central
Age De (Gy)

Component 1

It is important to note that this is not simply a matter


of solving radiocarbon age issues by increasing the sample size and using Bayesian methods. In fact, there could
be no charcoal fragments to date at all. As can be seen in
Table III, deeper soil horizons are consistently poorer in
charcoal fragments. When one reaches depths of around
200 cm, there are no macroscopic charcoal fragments in
the soil. This could be circumvented by separating and
dating microscopic charcoal, or dating soil OM, but the
problem of the association between depth and age will
not be solved, since soil OM, as opposed to single charcoal fragments, is a pool of ages due to soil turnover. One
possible way to overcome this is to date only the humin
fraction, and not the total soil OM (Pessenda et al., 2001).

DISCUSSION
The Human Occupation at the Site

Depth
(cm)

Table VI Equivalent dose (De ) using the central age model and overdispersion for each sample, and ages for Units B1, S6, S7, and S4 (ka before 2010).

Largest
Component

14

5.76.0
9.39.5

Calibrated
C Age (ka)

ARAUJO ET AL.

Geoarchaeology: An International Journal 28 (2013) 195220

The compound evidence of the 10 excavated units suggest that the site witnessed at least three distinct occupation episodes: the lower layer dates to the Pleistocene/Holocene transition, and therefore is Paleoindian,
with a minimum radiocarbon age of 92409450 cal. yr
B.P. (8310 40 14 C yr B.P.; Beta 205351) and a maximum OSL age of 14,800 1100 yr (UW1388). The middle layer dates to the late Holocene, probably around
2000 cal. yr B.P. if we take into consideration radiocarbon sample 1104 (Table IV; Figure 2), and data from
Lund Site, a lithic site located only 250 m north of Sumidouro Site, with two radiocarbon ages: 21462336 cal.
yr B.P. (Beta 170418) and 20412311 cal. yr B.P. (Beta
170719). The upper archaeological layer contains ceramic
fragments associated with the Tupiguarani tradition. Radiocarbon analysis of a charcoal fragment from Unit S4
(Table IV, sample 1136; Figure 2) would put this occupation at 500632 cal. yr B.P. (Beta 234512).

The Archaeological Record, Tropical Soils, and


Slope Processes
At first, our expectations about the integrity of the contextual archaeological information at Sumidouro were
low. We expected that convolute downslope processes,
such as soil creep (Clarke et al., 1999), coupled with
heavy bioturbation, would obliterate any pattern, and
that only very general aspects related to the material culture would be. To our surprise, this seems not so. We
were able to detect at least three different archaeological layers, and in some instances lithic refitting showed
that the spatial integrity of such pieces was preserved.
Some of the spatial integrity of the artifacts was lost not
due to natural factors per se, but due to the necessity of

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213

PALEOINDIAN OPEN-AIR SITES IN TROPICAL SETTINGS

ARAUJO ET AL.

waves in the erosion and transport of materials. The topographic lowermost Unit S6 showed this influence in
three ways: a very mixed OSL grain suite, suggesting redeposition of different materials in the same setting; a
very large quantity of charcoal fragments, most probably
also redeposited from upper portions of the slope; and a
very thin upper reddish soil and corresponding archaeological layer, also signaling an extensive and selective
removal of upper soil layers. Since the lake is linked to
a stream and, ultimately, to a sinkhole, the eroded soil
material did not accumulate at the toe-slope but was, instead, washed away and transported as alluvium.

Dating Methods and Paleoindian Sites in


Tropical Soils

Figure 13 Radial graphs for three samples with different overdispersion


values: UW1388 (34.5%), UW1389 (45.7%), and UW1392 (64.1%). Radial
graphs plot precision on the x-axis against a standardized De value on
the y-axis. The standardization is the difference between the measured
De for a grain and some reference value divided by the standard error on
the grain De value. The reference values, represented by the solid lines,
are the De values for the three largest components. The shaded areas
around the two largest components encompass all points consistent at
two standard errors with the reference value. A line drawn from the origin
on the standardized estimate axis through any point bisects the radial axis
on the right at the measured De value for that point.

excavating a stone-hard clayey soil in 10 cm arbitrary levels. Hence, we can say that discrete archaeological layers
reflect different events of human occupation, interbedded
with colluvial accretion, in a subhorizontal manner.
Another important observation regarding slope processes near a lake shore is related to the influence of

214

Our data suggest that OSL is mandatory in tropical soils.


We do not mean by this that OSL is better than radiocarbon, but that radiocarbon has to be used with
extreme caution, and coupled with an independent dating method. The distribution of the majority of the charcoal fragments is not random. On the contrary, we have
good reasons to believe that the distinct peaks in charcoal
concentrations are indicative of sheetwash/subhorizontal
burial of ancient stable surfaces. It is also true that charcoal age increases with depth. Charcoal concentrations
seem to be testimonies of paleofires over paleosurfaces.
We therefore do not think that all charcoal fragments migrate wildly within the profile, but that isolated fragments
of charcoal are most probably out of their original position. Tree
roots can play a major role in the vertical migration of isolated charcoal fragments as evidenced by the clear vertical
krotovina observed in the right side of the south profile
of Unit B1 (Figure 2), which is most probably a decayed
tree root. Unfortunately, these isolated fragments are frequently all we have to chronologically assess old sites.
Another important point is that, contrary to common
wisdom, there is a growing literature showing that charcoal (or black carbon) in soils can suffer heavy oxidation (Cheng et al., 2008; Kuzyakov et al., 2009; Major
et al., 2010). From the literature on carbon isotopes in
tropical soils, ages on charcoal seem always younger than
9000 14 C yr B.P. (Boulet et al., 1995; Gouveia & Pessenda,
2000; Gouveia et al., 2002; Pessenda et al., 2004). To date
older levels, researchers often rely on radiocarbon dating
of soil OM, since there is no macroscopic charcoal below depths of 2 m. We observed this situation at Sumidouro. At the same time, much older charcoal fragments
are recovered from lake bottoms, rock-shelters, and semiarid settings. This suggests that charcoal is oxidized and
completely disintegrated in well-drained soils formed in
high mean temperature settings with abundant water,
and that this process occurs in approximately 10,000 yr.

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PALEOINDIAN OPEN-AIR SITES IN TROPICAL SETTINGS

ARAUJO ET AL.

Hence, open-air Paleoindian sites older than 10,000 yr


will probably have no charcoal at all.

Tropical Soils and Climate Change Signals


According to a model originally developed by Knox
(1972) and later applied by many researchers in tropical and subtropical settings (see Thomas, 2008; Thomas
& Thorpe, 1995), abrupt climate changes trigger changes
to vegetation cover and, therefore, to slope stability and
sediment yield. The sinuous and discontinuous stone line
present in the deepest portion of the profiles indicates at
least one episode of very high energy erosion that removed the fine soil fraction, and is probably related to
unstable soil cover and/or episodes of heavy rainfall. We
therefore interpret these conglomeratic layers at Sumidouro as a result of disruption to the climate/vegetation
equilibrium (Erhart, 1956; Knox, 1972). The OSL ages
obtained suggest that this episode can be bracketed between 33.6 ka (Sample UW1885, Unit S4, 295 cm depth)
and 18.5 ka (Sample UW2238, Unit B1, 262 cm depth),
and is probably related to climate changes operating during the last glacial maximum. After this, during the late
Glacial, the regular deposition of soil and the presence of
a stable and high-standing lake level suggest milder climatic conditions. The colluvium deposited during the late
Glacial is yellowish (10YR 4/6; 10YR 6/6), in contrast to
the top sequence, where reddish soils (7.5YR 4/3; 7.5 YR
4/6) tend to prevail. We found no archaeological materials embedded in the yellowish soil, regardless of depth,
leading us to propose that the difference in color is related to an environmental and chronological boundary,
rather than chemical processes involving the water table.
The age of this boundary is addressed by the OSL age of
sample UW 1388, which brackets the oldest lithic horizon
and marks the contact between the yellow and red soils:
14.8 1.1 ka.
Other important information comes from the archaeologically sterile layer illustrated in Figure 2 between
the lower and the upper archaeological layers. As already mentioned, the lower layer is Paleoindian in age.
The upper layers are probably related to a much later
hunter-gatherer occupation, which is followed by makers
of ceramics. Between the Paleoindian and later huntergatherer occupation periods there is a strong soil accretion episode, with abundant charcoal and coarser sediment input that can be bracketed between 9.5 and
2.0 ka. We consider this layer as evidence of another episode of climatic disruption, this time the MidHolocene hypsithermal (sensu Deevey & Flint, 1957),
where a dryer and/or very unstable climate promoted,
on a regional scale, the abandonment by humans of vast
areas in Central Brazil (Araujo et al., 2005, 2006). If we

Geoarchaeology: An International Journal 28 (2013) 195220

Figure 14 Soil accretion rates (in mm/year) calculated for Unit B1, using
OSL data. There is a good t between accretion rates and Knox model,
with higher rates during the late Glacial Maximum and the Hypsithermal,
separated by a period of low rates in the Pleistocene/Holocene transition.

take into account the several charcoal fragments from this


level as proxies for natural fires, the main occurrence of
dry periods occurred between 6.7 and 4.6 ka. Figure 14
shows the soil accretion rates (in mm/year) calculated for
Unit B1, using OSL data. The results suggest a good fit between accretion rates and Knox model, with higher rates
during the late Glacial Maximum (LGM) and the hypsithermal, separated by a period of low rates in the Pleistocene/Holocene transition. This is also in good agreement with the arrival of humans in the region (about
12 ka) when the climate was probably stable, and the
abandonment of the region ca. 8 ka, when soil accretion
rates began to increase.

CONCLUSIONS
Based on stratigraphy, soils, micromorphology, geochemistry, archaeological data, OSL, and radiocarbon ages, we
present a model for the slope evolution at Sumidouro site
(Figure 15). This model suggests at least three different
events of instability (erosion/sedimentation) followed by
stability (pedogenesis). While acknowledging the pitfalls
of considering a single slope as representative of a regional geomorphic response to climate, we can advance
some tentative interpretations. The very first period of
instability, not shown in Figure 15, was the stone-line
deposition, during the LGM. After this, several periods of
soil erosion and sediment deposition occurred during the
late Glacial. A period of stability in the early Holocene,
between 12 and 8 ka, is concomitant with the first clear
human occupation in the area. Another period of instability followed during the Mid-Holocene, between ca. 8
and 4 ka. The second stability phase observed in the profile is associated with an increase in the archaeological
signal, dated ca. 4 ka inside the rock-shelters. After this,

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215

PALEOINDIAN OPEN-AIR SITES IN TROPICAL SETTINGS

ARAUJO ET AL.

Figure 15 Evolutionary model for the slope at Sumidouro Lake, based on micromorphology, geochemistry, archaeological data, OSL, and radiocarbon
ages.

a second period of instability followed between 4 and


2 ka, when the region was again depopulated, and finally
a third phase of stability and pedogenesis was established
in the last 2000 yr, marking the return of human populations to the area.
Paleoindian sites in tropical settings were subject to at
least one strong climatic event, namely the Mid-Holocene
hypsithermal. Soil accretion rates at the base of hillslopes during this period were probably high, burying
soils deeply and calling for prospection strategies devised
for deep inspection. This probably accounts for the lack of
an open-air Paleoindian record in most portions of Brazil.
The positioning of archaeological materials and charcoal both point to the burial of ancient surfaces, and not
to a chaotic or convolute downslope movement. The role
of bioturbation in the vertical displacement of such materials is much less important than previously acknowledged, perhaps due to the rapid burial of the deposits
in the Mid-Holocene. These observations are in conflict
with the idea that charcoal fragments in tropical soils are
1992; Boulet
buried due to biological activity (Miklos,
et al., 1995; Gouveia & Pessenda, 2000).

216

Higher soil accretion rates during the Mid-Holocene


are probably not linked to a stable dry climate, but to
a greater climatic instability, with years (or decades) of
wetness intercalated with periods of dryness, precluding the formation of a stable vegetation cover and causing increased geomorphic work (Knox, 1972). This same
scenario may explain the extremely low archaeological
signal during this time period, when humans probably
moved away from the region (Araujo et al., 2005, 2006).
This research was funded by FAPESP grants 99/00670-7,
04/01321-6, 06/52188-0, and 08/51747-0, and also by CAPES,
PIBIC Grant. The UNIOESTE Micromorphology Laboratory was
funded by the UGF/SETI/Parana Government for the financial
support, Grant no. 13/2007. The luminescence work was funded
by the National Science Foundation. We thank the following
persons and institutions Walter A. Neves from the Laboratory for
Paulo,
Human Evolutionary Studies (LEEH), University of Sao

for all the scientific and financial support; Paulo Cesar


Fonseca
Giannini, Elaine Aparecida da Silva, and Vitor Aguiar of the Laboratory of Sedimentology (LABSED) permitted and helped with
the use of MALVERN; Jose Paulo Sertek helped in the preparation of FRX samples and Paulo Ernesto Mori facilitated our access

to Laboratorio
for X-Ray Fluorescence, both laboratories from

C 2013 Wiley Periodicals, Inc.


Geoarchaeology: An International Journal 28 (2013) 195220 Copyright 

PALEOINDIAN OPEN-AIR SITES IN TROPICAL SETTINGS

ARAUJO ET AL.

Paulo. Joel Sigolo for


Instituto de Geociencias,
University of Sao
assisting in the confection of micromorphological thin sections.
Augusto Perez-Alberti, and Joao
Herbert for the
Lus B. Pilo,
fruitful ideas and discussions in the field, and Wenner-Gren
Foundation for providing travel funding to the 2011 DIG conference. We also thank Vance Holliday, Gary Huckleberry and an
anonymous reviewer for very helpful comments on the paper.

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Appendix: Procedures for Luminescence


Analysis of Coarse-grained Quartz from
Sediment Samples
Sample Preparation
Sample material is removed from the collection tubes
in orange-red light. The ends of the tubes, which may
have been exposed to daylight, are set aside and used for

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PALEOINDIAN OPEN-AIR SITES IN TROPICAL SETTINGS

ARAUJO ET AL.

dose rate measurements. Only the inner, unexposed portion is used for luminescence measurements. The upexposed material is first wet sieved through a 90-m screen.
The greater than 90-m fraction is dried and then treated
with HCl and H2 O2 , rinsed three times with water and
dried again. It is then dry sieved to retrieve the 150
180 or 180212 m fraction. This fraction is etched for
40 minutes in HF and then rinsed with water, HCl and
water again. After drying, it is passed through the 180m screen to remove any degraded feldspar. The material
caught in the screen is density separated using a lithium
metatungstate solution of 2.67 specific gravity.

heat, (8) measurement of signal from regeneration, L(2),


(9) test dose, (10) cut heat, (11) measurement of test dose
signal, T(2), (12) repeat of steps 6 through 11 for various
regeneration doses. A growth curve is constructed from
the L(i)/T(i) ratios and the equivalent dose is found by interpolation of L(1)/T(1). A zero regeneration dose and a
repeated regeneration dose are employed to insure the
procedure is working properly.
An advantage of single-grain dating is the opportunity
to remove from analysis grains with unsuitable characteristics by establishing a set of criteria that grains must
meet. Grains are eliminated from analysis if they (1)
had poor signals (as judged from errors on the test dose
greater than 30% or from net natural signals not at least
three times above the background standard deviation),
(2) did not produce, within 20%, the same signal ratio (often called recycle ratio) from identical regeneration doses given at the beginning and end of the SAR sequence, suggesting inaccurate sensitivity correction, (3)
yielded natural signals that did not intersect saturating
growth curves, (4) had a signal larger than 10% of the
natural signal after a zero dose, (5) produced a zero De
(within one-sigma of zero), or (6) contained feldspar contaminates (judged visually on growth curves by a reduced
signal from infrared stimulation before the OSL measurement; done on two doses to lend confidence the reduction in signal is due to feldspar contamination). At the
end of each SAR sequence, linear-modulated OSL (where
the laser power is ramped from 0% to 90% power in 30
seconds) is measured for each grain to check for dominance by the fast-bleaching component, as explained
in the main text. A dose recovery test is performed on
some grains. The luminescence of the grains is first removed by exposure to the laser (using the same parameters mentioned earlier). A dose of known magnitude is then administered. The SAR procedure is then
applied to see if the known dose can be obtained. Successful recovery is an indication that the procedures are
appropriate.
A De value is obtained for each suitable grain. Because of varying precision from grain to grain, the same
value is not obtained for each grain even if all are of the

Equivalent Dose
Grains are placed in specially manufactured disks for
single-grain measurement. Luminescence is measured on
a Ris TL-DA-15 reader with single-grain attachment.
Stimulation is by a 532 nm laser delivering 45 W/cm2 .
Detection is through 7.5 mm U340 (ultraviolet) filters.
Exposure is for 0.8 second on each grain at 125 C. The
first 0.06 second is used for analysis and the last 0.15 second for background. Regeneration and test doses are delivered by a 90 Sr beta source that provides about 0.1 Gy/s
to coarse-grained quartz. The test dose employed is about
3 Gy.
Luminescence was measured at different preheats for
the 150-180 m grains. No significant difference in
equivalent dose was detected for preheats at 10 second
in the 200240 C range (Table A1) and a 240 C preheat
was used for all subsequent analyses.
Equivalent dose (De ) is determined using the singlealiquot regenerative (SAR) dose protocol (Murray &
Wintle 2000; Wintle & Murray 2006). The SAR method
measures the natural signal and the signal from a series
of regeneration doses on a single aliquot. The method
uses a small test dose to monitor and correct for sensitivity changes brought about by preheating, irradiation,
or light stimulation. SAR consists of the following steps:
(1) preheat, (2) measurement of natural signal (OSL or
IRSL), L(1), (3) test dose, (4) cut heat, (5) measurement
of test dose signal, T(1), (6) regeneration dose, (7) pre-

Table A1 Luminescence measures at different preheats for the 150180 m grains.


200 C

220 C

240 C

260 C

Sample

De (Gy)

b (%)

De (Gy)

b (%)

De (Gy)

b (%)

De (Gy)

b (%)

UW1389
UW1390
UW1391
UW1392

50
42
33
53

23.2 1.1
18.6 1.6
8.4 0.5
4.0 0.3

20.1
40.7
22.6
51.1

52

19.8 1.7

53.1

92
243
81
83

22.1 1.3
17.2 5.5
8.5 0.5
3.3 0.3

45.8
38.6
43.5
70.5

85

14.8 1.0

51.4

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same age. Instead a distribution is produced. The common age model and central age model of Galbraith et al.
(1999, 2005) are statistical tools used in evaluation of De
distributions. These models are used in reference to De
and not age per se, although dividing the De values by
the bulk dose rate provides an age for each grain (not
accounting for differential dose rates for individual
grains). The common age model controls for differential precision by computing a weighted average using log
De values. The central age model is similar except rather
than assuming a single true value it assumes a natural distribution of De values, even for single-aged samples, because of non-statistical sources of variation. It computes
an over-dispersion parameter ( b ) interpreted as the relative standard deviation (or coefficient of variance) of
the true De values, or that deviation beyond what can
be accounted for by measurement error. Empirical evidence suggests that b of between 10% and 20% are
typical for single-aged samples (Olley et al., 2004; Jacobs
et al., 2006). For samples of mixed ages, a finite mixture
model is employed for evaluation. Finite mixture model
(Roberts et al., 2000) uses maximum likelihood to separate the grains into single-aged components based on the
input of a given b value and the assumption of a log normal distribution of each component. The model estimates
the number of components, the weighted average of each
component, and the proportion of grains assigned to each
component. The model provides two statistics for estimating the most likely number of components, maximum
log likelihood (llik) and Bayes Information Criterion
(BIC). The finite mixture model is appropriate for samples

220

that have been post depositionally mixed (although with


limitations).

Dose Rate
Radioactivity is measured by alpha counting in conjunction with atomic emission for 40 K. Samples for alpha counting are crushed in a mill to flour consistency,
packed into plexiglass containers with ZnS:Ag screens,
and sealed for 1 month before counting. The pairs technique is used to separate the U and Th decay series. For
atomic emission measurements, samples are dissolved in
HF and other acids and analyzed by a Jenway flame
photometer. K concentrations for each sample are determined by bracketing between standards of known concentration. Conversion to 40 K is by natural atomic abundance. Radioactivity is also measured, as a check, by
beta counting, using a Ris low level beta GM multicounter system. About 0.5 g of crushed sample is placed
on each of four plastic sample holders. All are counted for
24 hours. The average is converted to dose rate following
Btter-Jensen and Mejdahl (1988) and compared with
the beta dose rate calculated from the alpha counting and
flame photometer results.
Cosmic radiation is determined after Prescott and
Hutton (1988). Radioactivity concentrations are
translated into dose rates following Adamiec and
Aitken (1998).
Age is calculated using a laboratory constructed spreadsheet based on Aitken (1985). All given error terms are
computed at one-sigma.

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