Heritage Cases

This application seeks permission to undertake continuing palaeoanthropological research at the World Heritage site of the Sterkfontein Caves, Krugersdorp, Gauteng Province primarily under the direction of Professor Dominic Stratford with Dr Matthew Caruana as co-permit holder. Professor Marion Bamford represents the landowner, Wits University. All excavations were seriously hindered between 2019 and 2021 due to the covid19 pandemic. This application therefore seeks permission to continue excavations for research in the underground and surface-exposed fossiliferous deposits that were previously proposed for the 2019-2021 permit period but not completed. In addition, permission is sought for ongoing excavations as part of the Member 4 stabilisation project to mitigate serious structural fragility from previous excavations. In addition, this application includes the development of fossiliferous breccias and sediments resulting from past and present excavations together with associated research and curation of the yielded fossils following SAHRA and Wits University curatorial standards. Expanded Motivation: Sterkfontein History and Significance Sterkfontein was first recognised in 1936 as an important heritage site with Robert Broom’s discovery of the first adult fossil of Australopithecus africanus. Dating from ca 3.67 Myr to 100,000 yrs, Sterkfontein is the richest Australopithecus site in the world and one of the most important palaeontological sites in South Africa because it preserves a long sequence of fauna, hominins, and early cultural evolution. In 1998, the most complete early hominin skeleton yet discovered in Africa, StW 573, was announced. A series of eight publications describing most of the elements of StW 573 were published in a special issue of the Journal of Human Evolution between 2019 and 2021. Detailed analysis of the skeleton continues and the specimen resides in the hominin vault in the Evolutionary Studies Institute and Wits University. Numerous additional papers from specialists in the Sterkfontein hominin team are in preparation for publication in 2023. MicroCT scans and data are regularly requested from international specialists for comparative analyses. The Sterkfontein team welcomes applications to study the skeleton. These works have, and will continue to, further highlight and profile the importance of this rich heritage site. Recent excavations under Stratford’s direction have yielded hominin specimens from extremely old deposits contained within the Jacovec Cavern, and from newly explored areas of the cave. These finds are now situated to within millimetre accurate spatial frameworks established throughout the cave, and hominin studies are being combined with high resolution sedimentological and geomorphological studies involving post-graduate students and specialists. This material is currently being studied by specialists and prepared for publication. In addition to these finds, we have recently proven the other areas of the Sterkfontein underground chambers to be rich in fossils and artefact and this permit includes provision for test excavations in more remote underground areas. Sterkfontein contains fossiliferous artefact-bearing deposits which span several critical periods in human evolution. Breccias in Member 4, recently dated to about 3.3 mya, contain over 700 specimens of hominin fossils, including two species of Australopithecus (A. africanus and A. prometheus). Renewed stratigraphic work has started to clarify not only the provenance of the fossils in relation to the chamber but also the complex sequences of deposition and erosion taking place through the history of Member 4. MSc student, Maryke Horn’s research project used 3D GIS analysis to investigate the boundary between M4 and M5 and clustering of hominin assemblages within M4. Ms. Horn’s project received a distinction and we are currently preparing publication of the results, which in light of new dates for M4 published by Granger et al. (2022) are even more relevant to understanding the formation of M4 and contact with M5 and the chronology of the Sterkfontein deposits. In Member 5, deposits of 2.18 Myr (Granger et al., 2015) have yielded a small number of Paranthropus robustus fossils, a hominin species that became extinct at about 1 myr, plus the largest Oldowan stone tool assemblage in the Cradle of Humankind. Additional hominin remains are still being analysed and published by students and specialists. In another Member 5 infill dating to about 1.4/1.5 myr, the site has preserved the next phase of cultural development in the form of early Acheulean artefacts, which include handaxes and cleavers. These tools are associated with fossils of Homo ergaster, our most direct human ancestor, which appeared at about 1.4 myr. Thus far, Sterkfontein has provided the most direct association in Africa between H. ergaster fossils and this important industry, which led to the successful and widespread Acheulean technological development across the African continent. Additional research highlights at Sterkfontein over the decades include the only demonstrated fossil wood of Pliocene age in South Africa, excavated from the Member 4 Australopithecus deposits. Study of the wood by Professor M. Bamford has shown that remnants of tropical/sub-tropical forest survived in the Sterkfontein river valley at the time of Australopithecus. Most numerous of all have been studies of the many thousands of faunal remains by environmental specialists, who have used this data to reconstruct the environments and landscapes in which the early hominins lived for the last three million years. Faunal studies include isotopic work to reconstruct diet and ecomorphological studies to reconstruct palaeoenvironmental conditions in different deposits. Recognise Sambo, completed her MSc dissertation focusing on the ecomorphology of M5 bovid astragali. Sterkfontein has been, and will continue to be, a key site in many of these interpretations and debates, especially as more refined stratigraphic and chronological frameworks are established. Since the early 1990s, Professor Ron Clarke has held the permit for excavations of Sterkfontein and Professor Kuman has been the senior archaeologist for the site. Since 2015, Prof Stratford has been the primary permit holder. During the last permit period, 2019 – 2022, Stratford was primary permit holder with Dr Matthew Caruana as co-permit holder and Professor Marion Bamford as representative of the landowner, Wits University. The nature of this position is purely one of a supporting nature and has no bearing on the implementation of research, which falls entirely with the primary permit holder and managing scientist on site. The specifics of the role of the secondary permit holder are described in detail in the Wits owned palaeoanthropological site Memorandum of Understanding. For 2023, Prof Stratford is applying for the permit to continue in his name with Professor Marion Bamford representing the landowner. Professors Clarke and Kuman will remain involved as members of the Sterkfontein research team. The research projects outlined below are part of the ongoing palaeoanthropological research program that enjoys a long legacy of discovery and major contributions to the field of human origins research. The projects fit within Sterkfontein’s primary palaeoanthropological research questions. These include: qualifying and quantifying the different morphologies of the multiple hominin species found at Sterkfontein; clarifying the functional and cognitive capabilities of the hominins through the analysis of hominin anatomy and stone tool assemblages; understanding the role and place of the hominins in their original environmental context through the study of associated faunal, archaeological material and stratigraphy; expanding faunal assemblages from lower hominin-bearing deposits to clarify Pliocene palaeoenvironmental conditions in the Cradle of Humankind. Concurrently to the projects described below, long-term excavations of the walls of the Member 4 excavation conducted by Alun Hughes will continue to help mitigate the structural fragility of those walls. In addition, we continue in the long-term processing of the lime-mining dumps is carried out to supplement our hominin and faunal assemblages. This has been ongoing since the start of work at Sterkfontein and still produces important specimens (e.g., a molar and premolar originally belonging to the important TM1511 specimen found by Broom in 1936). Further, we are busy with the re-curation of the large faunal assemblages from Alun Hughes’ excavations that were only subject to preliminary sorting. These are housed at the Evolutionary Studies Institute (ESI) and at the Sterkfontein site. As we re-curate the fossils and create a digital catalogue of the material at Sterkfontein we prepare material for long-term curation at the ESI. There is still a very large assemblage in the ESI that still requires dedicated re-curation and cataloguing and dedicated work is now focused on the ESI assemblage thanks to targeted grants. The main excavation goals for the next three years are (in order of priority): exploratory sampling and stratigraphic analysis of the Member 3 deposit in the Silberberg Grotto; excavation of fauna associated with StW 573 in Member 2 in the Silberberg Grotto; excavation of a non-hominin primate specimen in the Jacovec Cavern; and small controlled test-pit excavation in the western Milner Hall (unsampled deposits) and continuation the MH1 excavation. In addition, we continue with our goal to develop high resolution geomorphological models of the cave network and landscape. In the laboratories, we will focus on the detailed analysis of several recently discovered and unpublished hominin specimens and non-hominin primate fossils from M2 and M4. Stratigraphic research deciphering the complex stratigraphic relationships between the underground deposits and the surface exposed deposits is an additional and important aspect of the excavations described below. Increased spatial control over the whole cave network allows us to accurately contextualise sedimentary features, deposits and fossils within a mutli-scalar 3D GIS framework. Associating this data with the surface deposits and landscape is allowing us to link the karst geomorophology and deposit sedimentology and geometry to a landscape evolution model. This work will continue over the next three years in collaboration with survey and GIS industry specialists and strive to develop a cohesive model of the evolution of the landscape around Sterkfontein. Working with the scientists at Swartkrans. Stratigraphic analysis is a major component of all projects at Sterkfontein and will continue to develop with postgraduate student projects and specialist studies. Excavations Methods: Underground excavations are challenging for many reasons, including logistics, lighting and spatial control. At Sterkfontein, these challenges are mitigated by the generally intact nature of these deposits, in contrast to the more heavily exploited surface exposed deposits. Underground deposits have yielded not only the oldest and most complete Australopithecus in Southern Africa (StW 573) but also an assemblage of a dozen potentially contemporaneous hominins from the Jacovec and four recently discovered specimens from the Milner Hall. Significant finds from these areas also include well-preserved non-hominin primate remains, including several near-complete crania. Underground excavations at Sterkfontein offer enormous potential but need to be managed very carefully. Survey work has now established millimetre accurate spatial control over the entire site, from the landscape surface to every area of the underground cave network. This provides a spatial control never before available and allows us to control excavations more accurately using total stations. Innovative methods in spatial modelling and photogrammetry in combination with developments in breccia excavation now provide us with much greater control over excavations. This accuracy requires significant time to implement, however, and there are no projects that using such methods that are simple and quick, so time needs to be taken to ensure data are not lost. Below is a list of the excavations planned over the next three years in order of priority determined by funding and research importance. The locations of these excavations are presented in Figure 1. The success of these projects is subject to funding. Specific methods will follow those implemented for the Jacovec Cavern and Member 4 excavations during the previous permit period, 2015 – 2021 providing accurate spatial control for single specimens but also for manageable breccia blocks for development under controlled conditions in the on-site laboratories. As per the SAHRA guidelines, we are careful to only excavate as much as we can prepare and curate and so at the end of our last permit period we had no backlog of breccia or fossils from any excavation. Member 4 has yielded the bulk of the Australopithecus fossils at Sterkfontein and remains the world’s richest Australopithecus-bearing deposit. Recent efforts by Stratford have stabilised and preserved the northern and eastern walls of Member 4 in an attempt to reduce the ongoing decay of these important areas of the deposit. The stabilisation measures have a lifetime of about 10 years, and so while these walls are stable, there has to be a significant effort to step back the vertical profiles to a safe and manageable level in accordance with SAHRA guidelines. This area of Member 4 is extremely important because it preserves a high abundance of hominin fossils in the eastern profile, but also a contact between the Australopithecus-bearing Member 4 and the Homo and Earlier Stone Age-bearing Member 5. This transition documents one of the most important evolutionary periods in human origins research and excavations must be managed carefully and conducted with the utmost precision and stratigraphic control. We started these conservation excavations in 2016 and have yielded a small but important faunal assemblage, including new hominin specimens. These finds are tied into the clarified stratigraphic framework for Member 4 and are used to improve our understanding of the anatomy and variability of Australopithecus. Specialists are involved in the analyses of the and form part of a broad multidisciplinary team which incorporates taphonomists and palaeoenvironmental, faunal and hominin specialists. From 2023, the following excavations will continue: 1. Member 3 Member 3 (blue areas in Figure 1) is an enigmatic deposit that has never been subjected to dedicated sampling and stratigraphic work. The deposit separates the StW 573-bearing Member 2, dated to 3.67 million years old from the Australopithecus-rich, recently redated, Member 4, exposed on the landscape. This deposit represents an exciting period in the evolution of Australopithecus and the Sterkfontein landscape. We are now at a point where we have refined stratigraphic and spatial control in the underground and surface-exposed deposits from Member 2 to Member 5, with the exception of Member 3. In the 2019 to 2022 permit period, detailed stratigraphic documentation was completed and the deposit is now ready to be sampled for sediments and exposed fauna. Sampling of Member 3 in the Silberberg Grotto will require the installation of bolts for rope access and sampling methods will follow those implemented sampling in the Jacovec Cavern under Stratford’s direction. This is a high-priority project and will aim to be completed within one year. 2. Excavation of M2 fauna associated with StW 573 (green areas in Figure 1). Here, in situ fossil preparation will focus on fauna exposed in the breccias around the StW 573 location in order to augment the Pliocene faunal assemblage from Sterkfontein and the Cradle of Humankind and refine our understanding of the palaeoenvironmental context of StW 573. These excavations started in the previous permit period and yielded several important specimens, but progress was significantly hindered by covid-19 restrictions. Following continuing underground excavation methods, each exposed fossil is surveyed using a total station before excavation. This is a high-priority project with mid- to long-term goals given the careful nature of in situ breccia preparation. Excavations will be continuous but are occasionally restricted by wet conditions in the cave during summer months. 3. Excavation of a non-hominin primate from the Jacovec Cavern (red areas in Figure 1). During exploration of the Jacovec Cavern deposits exposed in the walls and ceiling of the chamber a non-hominin primate skull was found but not excavated. This application seeks permission to excavate that specimen. The location and stratigraphic context has already been recorded. This is a high-priority project and can be completed within two months with dedicated attention. 4. A small excavation is planned in the far west of the Milner Hall, an area with significant talus deposits but that has never been sampled before. Excavations started here in 2020 as part of a Wits archaeology field school and we would like to continue to excavate this small area. This is a low-priority project and will be conducted intermittently as part of the Wits archaeology field school. 5. Milner Hall Excavations were started in the Milner Hall (MH1 site) in 2012 and yielded a small but informative stone tool assemblage and important stratigraphic information regarding the earliest infilling of this area of the caves. The original excavation was expanded for a Wits student project and yielded the first hominin fossils from this area of the cave, Earlier Stone Age archaeological material and important stratigraphic features relating to the formation of the caves and deposits. These are significant finds and support Stratford’s hypotheses on the formation of the deposits in this area of the caves. Excavations will continue in the MH1 with a long-term goal to expose the deepest fossil-bearing sediments in the area and increase the faunal samples from possibly the oldest deposits at Sterkfontein. This is a low-priority project and will be conducted intermittently as part of the Wits archaeology field school. 6. The heavily calcified nature of the Member 4 deposit and its potential future instability in this area mean that excavations may need to progress relatively rapidly. Breccia removed from the deposits will be developed onsite by our technicians. Their role in both the excavation and development of the fossiliferous breccia is fundamental to the success and productivity of the site and their presence at Sterkfontein must be maintained as mitigating excavations are conducted. This is a long-term project and excavations will be conducted whenever possible. Curation of old fossil collections: The vast fossil assemblages of Member 4 excavated by Alun Hughes between the 1980’s and 1990’s have recently been relocated to the ESI under the curatorial management of Dr Bernhard Zipfel. The collection is now housed at the ESI and continues to be digitally curated by several Sterkfontein technicians. The collection has enormous research potential and needs to be carefully and systematically documented. This is a significant undertaking and requires a dedicated assistant with training in faunal recognition. Late in 2022, I received dedicated support for a faunal technician to manage the cataloguing and digitization of the M4 assemblage specifically. Although this is only one assemblage from Sterkfontein and all assemblages need to be incorporated into a unified catalogue, M4 represents the bulk of the fossil fauna from Sterkfontein and is the current priority. Over the next three years, we will continue the work to digitally document this assemblage and incorporated into a central and regularly updated Sterkfontein digital catalogue, which will be made available online.