7.1 Excavation methods and techniques

Excavation methods in ancient China have evolved from early exploratory digs to systematic, scientific approaches. These techniques impact data collection and site interpretation, shaping our understanding of China's past.

Archaeologists use various methods like vertical and horizontal excavation, trenches, test pits, and open area excavation. Each approach serves different purposes, from understanding site chronology to exploring spatial organization and layout.

Types of excavation methods

• Excavation methods in archaeology vary based on site characteristics, research questions, and available resources
• The choice of excavation method impacts the types of data collected and the interpretations that can be made about the site and its inhabitants
• In ancient China, excavation methods have evolved over time, from early exploratory digs to more systematic and scientific approaches

Vertical vs horizontal excavation

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• Vertical excavation involves digging downward through stratigraphic layers to understand the chronological sequence of a site
  • Allows for the creation of a cross-section view of the site's stratigraphy
  • Useful for understanding changes in site use and occupation over time
• Horizontal excavation focuses on exposing and investigating a single stratigraphic layer or cultural horizon
  • Provides a broader spatial understanding of a specific time period
  • Helps in understanding the layout and organization of a site at a given point in history
• A combination of vertical and horizontal excavation is often used to gain a comprehensive understanding of a site (Anyang)

Trenches and test pits

• Trenches are long, narrow excavation units that provide a cross-section view of a site's stratigraphy
  • Useful for identifying the presence and extent of cultural layers and features
  • Can be strategically placed to investigate specific areas of interest or to establish the boundaries of a site
• Test pits are small, square, or rectangular excavation units used for exploratory purposes
  • Help determine the presence, depth, and nature of cultural deposits
  • Provide a preliminary understanding of a site's stratigraphy and chronology
• Trenches and test pits are often used in the initial stages of an excavation to guide further investigation (Erlitou site)

Open area excavation

• Open area excavation involves exposing large, contiguous areas of a site to understand its spatial organization and layout
  • Allows for the identification and investigation of structures, activity areas, and other features
  • Provides a more comprehensive understanding of the relationships between different site components
• Open area excavation is often used in later stages of an excavation, after the initial testing and mapping of the site
• Requires careful planning and coordination to ensure proper documentation and recording of the exposed areas (Zhengzhou Shang City)

Underwater excavation techniques

• Underwater excavation techniques are used to investigate submerged archaeological sites, such as ancient ports, shipwrecks, and settlements
  • Requires specialized equipment and training to deal with the challenges of working in an aquatic environment
  • Techniques include dredging, air lifting, and hand excavation by divers
• Remote sensing methods, such as side-scan sonar and sub-bottom profiling, are often used to locate and map underwater sites
• Underwater excavations have been conducted in ancient Chinese contexts, such as the Nanhai No. 1 shipwreck

Stratigraphy and context

• Stratigraphy refers to the layering of soil and cultural deposits at an archaeological site over time
• Understanding stratigraphy is crucial for establishing the relative chronology of a site and interpreting its formation processes
• In ancient China, the study of stratigraphy has been essential in reconstructing the development of early states and urban centers

Law of superposition

• The law of superposition states that, in an undisturbed stratigraphic sequence, younger layers are deposited on top of older layers
  • Provides a relative chronological framework for the site
  • Allows archaeologists to establish the order in which events and activities occurred
• The law of superposition is a fundamental principle in archaeological excavation and interpretation

Importance of stratigraphy

• Stratigraphy helps archaeologists understand the formation processes of a site and how it changed over time
  • Identifies distinct phases of occupation, abandonment, and reuse
  • Reveals patterns of cultural change and continuity
• Stratigraphic relationships between features, artifacts, and ecofacts provide context for interpreting the site
  • Allows for the reconstruction of past human activities and behaviors
  • Helps in understanding the function and significance of different site components

Recording stratigraphic layers

• Accurate recording of stratigraphic layers is essential for preserving the contextual information of a site
  • Involves describing the color, texture, composition, and thickness of each layer
  • Includes noting the presence of cultural materials, features, and disturbances within each layer
• Stratigraphic layers are typically recorded using standardized forms, photographs, and drawings
  • Ensures consistency and comparability of data across the site and between different excavations
• In ancient China, the use of rammed earth construction has created distinct stratigraphic signatures that can be used to identify different phases of occupation (Erlitou site)

Matrix analysis of stratigraphy

• Matrix analysis is a method for visually representing and analyzing the stratigraphic relationships between layers and features at a site
  • Involves creating a diagram that shows the relative positions and connections between stratigraphic units
  • Helps in identifying contemporaneous layers, intrusions, and disturbances
• Matrix analysis is particularly useful for complex urban sites with multiple phases of occupation and overlapping features
• The use of matrix analysis has been applied to the study of ancient Chinese cities, such as the Zhengzhou Shang City, to understand their development and layout

Excavation tools and equipment

• Excavation tools and equipment are essential for the proper and efficient investigation of archaeological sites
• The selection of tools and equipment depends on the specific needs of the excavation, site conditions, and research objectives
• In ancient China, the development of specialized tools and techniques has paralleled the increasing complexity and scale of archaeological investigations

Hand tools for excavation

• Hand tools are the most basic and versatile equipment used in archaeological excavation
  • Includes trowels, shovels, picks, brushes, and hand scoops
  • Used for carefully removing soil, exposing features and artifacts, and cleaning surfaces
• Trowels are the primary tool for fine excavation work
  • Come in various shapes and sizes to suit different tasks and preferences
  • Used for scraping, cutting, and shaping soil and sediment
• Brushes are used for delicate cleaning and exposing of fragile artifacts and features (oracle bones)

Surveying and mapping tools

• Surveying and mapping tools are used to record the spatial relationships and dimensions of a site and its components
  • Includes total stations, GPS receivers, and laser scanners
  • Used for establishing a site grid, recording the locations of features and artifacts, and creating detailed site maps
• Total stations are electronic surveying instruments that measure distances and angles
  • Allow for precise positioning and mapping of site features and excavation units
  • Enable the creation of three-dimensional models of the site and its stratigraphy
• GPS receivers are used for recording the geographic coordinates of a site and its features
  • Particularly useful for large-scale surveys and regional studies
  • Help in integrating archaeological data with other spatial datasets (remote sensing imagery)

Photography and documentation equipment

• Photography and documentation equipment are used to create a visual record of the excavation process and its findings
  • Includes digital cameras, video cameras, and scales for reference
  • Used for documenting site conditions, features, artifacts, and excavation progress
• Digital cameras are essential for capturing high-resolution images of the site and its components
  • Allow for the creation of photographic archives and the sharing of data with other researchers
  • Enable the use of photogrammetry for creating 3D models of the site and artifacts
• Scales are used in photographs to provide a reference for size and dimensions
  • Ensures that the visual record is accurate and comparable across different contexts
• In ancient China, the use of photography has been instrumental in documenting and preserving the rich archaeological heritage of the region (terracotta warriors)

Specialized tools for specific contexts

• Specialized tools are used for excavating and sampling in specific contexts or environments
  • Includes water pumps, dredges, and coring devices for underwater and waterlogged sites
  • Also includes specialized tools for excavating in frozen, arid, or high-altitude environments
• Water pumps and dredges are used for removing water and sediment from submerged sites
  • Allow for the exposure and investigation of underwater features and artifacts
  • Enable the sampling of sediments for paleoenvironmental and geoarchaeological analyses
• Coring devices are used for extracting vertical samples of soil and sediment
  • Provide a minimally invasive method for studying site stratigraphy and formation processes
  • Allow for the collection of samples for specialized analyses (pollen, phytoliths)

Excavation process and procedures

• The excavation process involves a systematic and carefully planned approach to investigating an archaeological site
• Excavation procedures are designed to maximize the recovery of data while minimizing the disturbance to the site and its contents
• In ancient China, the excavation process has evolved to incorporate new technologies and methodologies, while still maintaining a focus on context and stratigraphy

Site preparation and planning

• Site preparation involves the initial steps taken to ready a site for excavation
  • Includes clearing vegetation, establishing site boundaries, and setting up infrastructure (shelters, storage areas)
  • Also involves the creation of a site grid and the development of an excavation plan
• Planning the excavation is crucial for ensuring that the research objectives are met and that the site is investigated efficiently
  • Involves determining the excavation strategy, selecting the appropriate methods and tools, and allocating resources
  • Requires consultation with various stakeholders, including local communities, government agencies, and research partners

Establishing a grid system

• A grid system is used to provide a spatial framework for the excavation and recording of the site
  • Involves dividing the site into regular units (squares or rectangles) using a Cartesian coordinate system
  • Allows for the precise recording of the locations of features, artifacts, and samples
• The size and orientation of the grid units depend on the scale and nature of the site and the research questions being addressed
  • Smaller units (1x1 m) are used for detailed excavation of complex features and dense artifact concentrations
  • Larger units (5x5 m or 10x10 m) are used for broader-scale investigations and sampling
• The grid system is established using surveying equipment (total station, GPS) and marked on the ground using stakes and string lines

Removing and recording soil layers

• Soil layers are removed systematically, following the natural or cultural stratigraphy of the site
  • Involves carefully scraping or shoveling the soil in thin, controlled increments
  • Each layer is assigned a unique context number and described in terms of its color, texture, composition, and inclusions
• The removal of soil layers is accompanied by detailed recording and documentation
  • Includes photographing and drawing the exposed surfaces and profiles
  • Also involves collecting samples for specialized analyses (flotation, soil chemistry)
• In ancient China, the use of rammed earth construction has created distinct soil layers that can be easily identified and recorded during excavation (Zhengzhou Shang City)

Collecting and labeling artifacts

• Artifacts are carefully collected and labeled as they are exposed during the excavation process
  • Involves assigning each artifact a unique identification number and recording its precise location within the site grid
  • Also involves describing the artifact in terms of its material, form, dimensions, and any visible features or decorations
• Artifacts are typically bagged and tagged with their context and identification numbers
  • Ensures that the provenance of the artifact is maintained throughout the post-excavation process
  • Allows for the cross-referencing of artifacts with the excavation records and documentation
• In ancient China, the collection and labeling of artifacts has been crucial for understanding the material culture and technology of early states and civilizations (bronze vessels, jade artifacts)

Documenting features and structures

• Features and structures are carefully documented as they are exposed during the excavation process
  • Involves describing the shape, size, composition, and stratigraphic relationships of each feature or structure
  • Also involves photographing and drawing the exposed surfaces and profiles
• The documentation of features and structures is essential for understanding the spatial organization and function of the site
  • Allows for the identification of activity areas, living spaces, and public monuments
  • Provides insights into the social, economic, and political organization of ancient societies
• In ancient China, the documentation of features and structures has been instrumental in reconstructing the layout and development of early cities and ceremonial centers (Erlitou, Yinxu)

Sampling strategies in excavation

• Sampling strategies are used to select a representative subset of a site for detailed investigation and analysis
• The choice of sampling strategy depends on the research questions, site characteristics, and available resources
• In ancient China, the use of sampling strategies has been essential for investigating large and complex sites, such as early cities and regional settlement systems

Judgmental vs probabilistic sampling

• Judgmental sampling involves the selective investigation of areas or features based on the archaeologist's expertise and research interests
  • Allows for the targeted investigation of specific contexts or research questions
  • Useful for exploring areas with high potential for yielding significant data or for testing specific hypotheses
• Probabilistic sampling involves the random or systematic selection of areas or features for investigation
  • Allows for the unbiased and representative sampling of the site
  • Useful for estimating the overall characteristics and variability of the site and for making statistical inferences about past human activities and behaviors
• In practice, a combination of judgmental and probabilistic sampling is often used to balance the need for targeted investigation with the goal of representativeness

Systematic sampling methods

• Systematic sampling involves the selection of areas or features at regular intervals across the site
  • Includes transect sampling, where a series of evenly spaced lines are used to guide the selection of sampling units
  • Also includes grid sampling, where a regular grid is superimposed on the site and a fixed percentage of the grid units are selected for investigation
• Systematic sampling is useful for investigating large and homogeneous sites, where the spatial distribution of features and artifacts is relatively uniform
  • Allows for the efficient and representative sampling of the site
  • Provides a basis for extrapolating the characteristics of the sampled areas to the site as a whole
• In ancient China, systematic sampling has been used to investigate large-scale settlement patterns and to identify areas for more detailed excavation (regional survey in the Yiluo River Valley)

Flotation and soil sampling

• Flotation is a method for recovering small and fragile plant and animal remains from soil samples
  • Involves immersing the soil in water and agitating it to separate the light fraction (seeds, charcoal) from the heavy fraction (pottery, stone)
  • The light fraction is then collected using fine mesh sieves and analyzed for botanical and faunal remains
• Soil sampling involves the collection of small amounts of soil from different contexts for specialized analyses
  • Includes the collection of samples for phytolith analysis, which can provide evidence of past plant use and environmental conditions
  • Also includes the collection of samples for geochemical analysis, which can provide insights into past human activities and site formation processes
• In ancient China, flotation and soil sampling have been used to investigate the agricultural practices and diet of early societies (Yangshao culture)

Sampling for specialized analyses

• Sampling for specialized analyses involves the targeted collection of materials for specific analytical techniques
  • Includes the collection of charcoal or bone samples for radiocarbon dating
  • Also includes the collection of ceramic or stone samples for sourcing and compositional analysis
• Sampling for specialized analyses is guided by the research questions and the available analytical facilities
  • Requires careful consideration of the context and preservation of the sampled materials
  • Often involves collaboration with specialists in different fields (archaeobotany, zooarchaeology, geoarchaeology)
• In ancient China, sampling for specialized analyses has been used to investigate the production and exchange of prestige goods (bronze, jade) and to reconstruct past environments and climates (speleothems)

Recording and documentation methods

• Recording and documentation are essential components of the excavation process, ensuring that the data and observations are preserved for future analysis and interpretation
• The choice of recording and documentation methods depends on the research questions, site characteristics, and available technologies
• In ancient China, the development of standardized recording and documentation methods has been crucial for the comparative analysis of sites and regions

Field notes and excavation forms

• Field notes are the primary means of recording observations, measurements, and interpretations during the excavation process
  • Includes written descriptions of the soil layers, features, and artifacts encountered
  • Also includes sketches and diagrams of the excavated areas and profiles
• Excavation forms are standardized documents used to record specific types of data
  • Includes context sheets, which record the characteristics and relationships of each stratigraphic unit
  • Also includes artifact and sample logs, which record the identification, location, and description of each collected item
• Field notes and excavation forms are typically handwritten on weatherproof paper and later transcribed into digital formats
  • Ensures that the data are secure and accessible for long-term preservation and analysis
  • Allows for the integration of the excavation records with other digital datasets (photographs, maps)

Photographs and drawings

• Photographs are used to create a visual record of the excavation process and its findings
  • Includes overview shots of the site and excavation areas
  • Also includes close-up shots of features, artifacts, and stratigraphic profiles
• Drawings are used to create scaled and detailed representations of the excavated areas and features
  • Includes plan views, which show the horizontal relationships between features and artifacts
  • Also includes section drawings, which show the vertical relationships between stratigraphic layers and features
• Photographs and drawings are typically annotated with scales, north arrows, and context numbers
  • Ensures that the visual record is accurate and informative
  • Allows for the integration of the visual data with the written records and spatial data
• In ancient China, the use of photographs and drawings has been essential for documenting the complex stratigraphy and architecture of early cities and ceremonial centers (Erl