Ethnozoology Animals in Our Lives R

Ômulo R Omeu N Óbrega A Lves

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ETHNOZOOLOGY
ANIMALS IN OUR LIVES

Edited by

Rômulo Romeu Nóbrega Alves

Departamento de Biologia
Universidade Estadual da Paraíba
Campina Grande, Brazil

Ulysses Paulino Albuquerque

Departamento de Botânica
Universidade Federal de Pernambuco
Recife, Brazil
Academic Press is an imprint of Elsevier
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 Contents

List of Contributors xi Quantification 31

A Theoretical Framework 33
Applied Zooarcheology 39
Conclusion 40
1. Introduction: Animals in Our lives
References 42
R6MULO ROMEU N6BREGA ALVES AND ULYSSES PAULINO
ALBUQUERQUE

4. Studying Ethnozoology in Historical

ln rroducr ion
Documents
Investigating Animals and Their Interactions
MARIA FRANCO TRrNDADE MEDEIROS AND R6MULO ROMEU
With Humans 3
N6BREGA ALVES
Why This Book? 4
Acknowledgments 6
Introduction 45
References 6
Historical R eco rd s of the Relationships Between
Human Society and Animals 46
2. Ethnozoology: Conceptual How Can Ethnozoological rnformation Be Found
and Historical Aspects in Histori cal Documents? 46
Investigming the Historical Implications of Human
RQMULO R OM W NQSRWA ALV!;S. wEDSON
MEDEIROS SILVA SOUTO AND ULYSSES Exploitation of Fauna 47
PAULINO ALBUQUERQUE Whaling in Brazil 49
Reflection on Historical Ethnowology 51
lnrrocluction 9 References 52
Historical Consider;nions About Human
and FmlOCl Interactions II
The Origin and HisLOry of Erhnozoology 13
5. Imaginary Zoology: MysteriOUS Fauna
Ethnozoology: What Are [he Marching Orders! 17 in the Reports of Ancient Travelers
Final Considerations 18 and Chroniclers
References 19 KLEBER DA SILVA VIEIRA, WASHINGTON LUIZ SILVA VIEIRA
AND ROMULO ROMEU N6BREGA ALVES

3. Zooarcheology: Investigating Past

Introduction 53
Interactions Between Humans and Other A Garden in the Ori!:!l1t 54
Animals Something More in Song of the Muses 56
STEVE WOLVERTON AND LISA NAOAOKA The Gifts of the Nile 61
A World of Imagination and Fantasy 66
]mroduction 25 A Look at Paradise 68
Data Quality 26 References 69
Taphonomic Analysis 30 Further Reading 70

v
vi co TENTS

6. Ethnotaxomy as a Methodological Tool Fishing: Importance, Impacts, and

Socio�Environmental Concerns 134
for Studies of the lchthyofauna and Its
Ethnozoology and Its Role in Fishery Studies 137
Conservation Implications: A Review
References 142
JOSE DA SILVA MOURAo AND MARCIO LUll VARGAS
BARBOSA FlLHO
9. Animal Domestication and
Introduction 71 Ethnozootechny
Hi�toric<ll Aspects of Ethnotaxonomy 73 ANGELO GIUSEPPE CHAVES ALVES, MARIA NORMA R IBERO.
The Hierarchlzation of Erhnoraxonomy 75 J ANAINA KELLI GOMES ARANDAS AND R6MULO ROMEU
Applicarion of the Berl inian Mood 77 N6BREGA ALVES

Analogies Between Folk and Scientific

Introduction IS]
Taxonomic Class.ification Systems 84
Taming and Domestication 152
Correspondence Between G eneric Folk Taxa
Historical Aspects of Domesticltion 153
and Scientific Species 90
Theories on Domestication 154
FinaL Considerations 91
Intra.�pecific D iversity of lives(Ock Specie!) 157
References 91
Ethnozootechny or Erhnozoology? 161
Conclusion 162
7. The Importance of Hunting in References 163
Human Societies Further Reading 165
R6MULOROMEU N6BREGA ALVES, WEDSON MEDELROS
SILVA SOUTO, HUGO FERNANDES.FERRERA,DANDARA 10. Wild Fauna on the Menu
MONALlSA MARIZ BEZERRA, RAYNNER RILKE DUARTE
R6MULO ROMEU NOBREGA ALVES AND
)i ARBOZA AND WASHINGTON LUIZ SILVA VIE.IRA NATHALIE VAN VLIET

Introduction 95 Introduction 167

Brief History of Hunting 96 Freshwater and Marine Animals Used as Food 168
Moti v ation to Hunt: Beyond Meat 98 Rept iles and Amphibians Served on the Menu 171
Hunting Techniques 102 Challenges and Opportunities for Wild Animals to
Traps 107 Continue w Feed Humans 179
Importance and Implications of Hunting 109 Zootherapeutic Uses and Sanitary Concern1i L81
Final Consideration 112 Conclusions: The Future of Wild Animal Foods 184
References 112 References 184

8. People and Fishery Resources: II. Insects as Human Food

A Multidimensional Approach ARNOLD VAN HUI S

MARCIA FREIRE PINTO, TACYANA PEREIRA RIBE IRO

OLIVEIRA, LUIZ ALVES ROCHA AND R6MULO ROMEU
Introduction 195
NOBREGA ALVES H;"ory 196
Nomenclature of Edible Insects 197
Introduction 119 Importance of Edible Insects in D iets 198
When Did Humans Start Fish ing ! A Brief Totems and Taboos 200
His(Qrlc�lln{rQduc{ion 120 Harvesting Practices 201
Fishing and Fisheries Dehnitions ] 22 Cender Partlcipation in Collection and Marketing 204
Fishery Resources and Their Uses 124 Habitat Destruction 104
Fishery Resources as Food-And for What Else! 125 Agricultural Pests as Food 205
A Brief Overview of Fishing Gears Medidool Uses 206
and Techniques t26 From Harvesting and Semidomestication to Farming 207
Animals Used in Fisheries.: An Ancient Traditional Conclusions 208
Techntque Still Used Today 130 References 209
 CONTENTS vii

12. Current Levels, Recent Historical Trends, Animals in Symbolism 293

Final Remarks 298
and Drivers of Wildmeat Trade in the Amazon
Reference::i 298
Tri-Frontier Region Between Colombia, Peru,
and Brazil
16. Fauna at Home: Animals as Pets
NATHALIE VAN YUET, JESSICA MORENO. JUAN ITA GOMEZ,
ROMUL O ROMEU N6BREGA A LVES AND LUIZ A LVES ROCHA
LAURANE L'HARIOON, UNOON NEVES DE AQUINO, FRANQJIS
SANDRIN, LILIANA VANEGAS AND ROBERT NASI
Introduction 303

lnrroduction 215 Animals Kept as Pets 304

Wildmeat Trade in the Tri�Frontier Region Between Why Do Humans Keep Pets! J11
Brazil, Colombia, and Peru 216 Problems Associated With Keeping Pets 314
Comempordl)' Wildmeat Trade Volumes in the Tri�Frontier Final Remarks J 17

Region Between Brazil. Colombia. and Peru 224 References 317

Will the Demise of Wildmea t Take Place in the
TTi-Frontier Between Peru, Brazil, and 17. What About the Unusual Soldiers?
Colombia� 227 Animals Used in War
References 230 ROMULO ROMEU N6BREGA ALVES AND RAYNNER RILKE
Further Reading 231 DUARTE BARBOZA

Introduclion 323
13. Animals and Human Health: Where
Brief History 324
Do They Meet?
Fauna Used in War and Their Functions 325
ROMULO RQ.'o.1EU N6HREGA ALVES A N D tAMARA Final Remarks 335
DA SliVA POLICARPO
References 335

lnrroducrion 233
Biotherapy 240
18. The Ethnozoological Role of
Conclusions 251 Working Animals in Traction and
References 25 I Transport
ROMULO ROMEU N6BREGA ALVES

14. Use and Commercialization of Animals

Introduction 339
as Decoration
A Brief History of the Use of \'(!orking Animals
ROMULO ROMEU N 6 BREGA ALVES, ELLORI LAisE SILVA
for Traction and Transport 340
MOTA AND THELMA LUCIA PEREIRA DIAS
Working Animals and TIleir Uses 341
lmroduction 261 The Welfare of Working Animals 346
The Main Taxa and Derived Products Used for Final Remarks 347
Decoration 263 References 348
Conclusions 273
References 273 19. Wildlife Attractions: Zoos and
Aquariums
15. The Role of Animals in Human Culture R6MULO ROMEU N6BREGA ALVES AND
R6MULO ROll.'IEU N6BREGA ALVES AND RAYNNER RILKE WALTER LECHNER
DUARTE BARBOZA
Introduction 351
lmroduction 277 Brief History of Zoos and Aquariums 352
Animals in Religious Practices 278 Zoos and Aquariwns: Tourism and Emetminmem 354
Animals in Mythology 281 Zoos and Aquariums as Scientific and Educational
Animals in Art and Lite rat ure 286 In:>titutions 354
viii co TENTS

The Role of Zoos and Aquariums in Animal Why Are Some Anima ls Ugly? 449
Conservation 357 \,(!hy Certain Harmless Animals Are Considered
The Controversial Debate on the Role of Zoos Ugly? 451
and Aquariums 358 \Vhy Certain Anima.b Are Con�idered Cute! 452
Final Remarks 359 The Role of Colors in Attitudes Toward Ani m als 453
Reference� 359 Rarity and Attitudes To\....ard Animals 454
Gender Differences in Preferences for Animals 454
20. From Roman Arenas to Mov i e Screens: Developmental Aspects and Correlates With
Animal A ttirudes 455
Animals in Entertainment and Sport
Companion Animals 456
R6MULO ROMEU N6BREGA ALVES AND
RAYNNER RILKE DUARTE BARBOZA. In.fluences of Keeping Anitn(l is (IS Pets on Attitudes
Toward Animals 456
introduction 363 Influences or Mear Consumption on At tirudes Toward
Using Animals as Entertainment 365 Animals 457
Conclusion 379 Human Emo tion s and Animal Conservar.ion 457
References 380 A[titude Change: The Role of Education 458
Conclusion 459
2t. Animals as Ethnozooinclicatocs of Acknowledgmcnts 459
Reference� 459
Weather and Climat e
Funher Reading 466
ROMULO ROMEU NOBREGA ALVES AND RAYNNER RILKE
DUARTE I)ARBOZA
24. The Role of Ethnozoology in
Introduction 383 Animal Studies
Invertebrates 387 ROMULO ROMEU NOBREGA ALVES AND SERGIO DE FARIA
Vertebrates 4lO LOPES
Final Remar ks 416
References 416 Introduction 467
Use of Traditional Knowledge in Ecologicalfloological
Studies 468
22. Understanding Human-Wildlife
How Can Local Ecological Knowledge Help in Faunistic
Conflicts and Their Implications
Surveys and Taxonomic Studies? 469
DEN1SE FRElTAS TORRES, EDUAROO SlLVA OLiVE1RA AND
Discovering New Species Through Ethnozoological
ROMULO ROMEU N6BREGA ALVES
Studies 472
LEK as Source of Scientific Insights 472
Introduction 421
Relevance of local Ecological Knowledge in
The Prlncipai Taxa Involvcd in Conflicts 422
Factors That Lead to Conflict 424 Studies on the Conservation and Management
of Fauna 474
Implications for Conservacion of Species 435
Final Remarks 475
Prop osals for Confhct Mitigation 436
References 475
Final Considerations 440
References 440
25. Ethnozoology and Animal Conservation

23. Biological Preclispositions and Individual R6MULO ROMEU N6BREGA ALVES, JOSIVAN SOARES SILVA,
LEONARDO DA SILVA CHAVES AND ULYSSES PAULINO
Differences in Human Attitudes Toward ALBUQUERQUE
Animals
PAVOL PROKOP AND CHRISTOPH RANDLER Introduction 481
The Role of Ethnobiology Ln Biodiverslty
How Does Evolution Shape Human Artitudes to Conserv<lt'ion 482
Animals? 447 Human Influence on Animal Biodiversity 483
Coevolution With Snakes Enhances Visual Attention to The Role of Ethnozoo logy in Animal Consclvation 486
Dangerous Sti muli 448 Final Considerations 491
Aesthetic Preferences for Animals 449 References 492
 CONTENTS ix

26. The Use of Traditional Ecological 27. Ethnozoology: An Overview and Current
Knowledge in the Context of Participatory Perspectives
Wi ldlife Management: Examples R6MULO ROMEU N6BREGA ALVES, jOS[VAN SOARES SILVA,
LEONAF.DO DA SlLVA CHAvES ANO ULYSSES }'AULINO
From Indigenous Communities in Puerto
ALBUQUERQUE
Narino, Amazonas-Colombia
NATHALIE VAN VLIET, LAURANE L'HARIOON, JUANITA Introduction 513
GOMEZ, LILIANA VANEGAS, FRANc;GIS SANDRIN AND Col leering Data Concerning Ethnozoological
ROBERT NASI Publications 514
Global Scientific Production in Erhnozoo[ogy 515
lntroduction 497
Final Considerations 519
Study Site 498
References 520
TabcxJs and Beliefs Affecting the Use of Wildlife 501
Monitoring \Vildlife Populations Using a Traditional
Practice to Imitate the Animals 504 Index 523
Discussion and Conclusions 509
Acknowledgments 510
References 510
 List of Contributors
Ulysses Paulino Albuquerque Universidade
Federal de Pernambuco, Recife, Brazil
Ângelo Giuseppe Chaves Alves Universidade
Federal Rural de Pernambuco, Recife, Brazil
Janaina Kelli Gomes Arandas Universidade
Federal Rural de Pernambuco, Recife, Brazil
Márcio Luiz Vargas Barbosa Filho Universidade
Federal Rural de Pernambuco, Recife, Brazil
Raynner Rilke Duarte Barboza Universidade
Estadual da Paraíba, Campina Grande, Brazil
Dandara Monalisa Mariz Bezerra Instituto Federal
de Educação, Ciência e Tecnologia da Paraíba,
Itabaiana, Brazil
Leonardo da Silva Chaves Universidade Federal
Rural de Pernambuco, Recife, Brazil
José da Silva Mourão Universidade Estadual da
Paraíba, Campina Grande, Brazil
Thelma Lúcia Pereira Dias Universidade Estadual
da Paraíba, Campina Grande, Brazil
Hugo Fernandes-Ferreira Universidade Estadual
do Ceará, Quixadá, Brazil
Juanita Gomez Fundación SI, Bogotá, Colombia
Laurane L’haridon Fundación SI, Bogotá, Colombia
Walter Lechner University of Vienna, Vienna,
Austria
Sérgio de Faria Lopes Universidade Estadual da
Paraíba, Campina Grande, Brazil
Jessica Moreno Fundación SI, Bogotá, Colombia
Ellori Laíse Silva Mota Universidade Estadual da
Paraíba, Campina Grande, Brazil; Universidade
Federal da Paraíba, João Pessoa, Brazil
Lisa Nagaoka University of North Texas, Denton,
TX, United States
Robert Nasi Center for International Forestry
Research (CIFOR), Bogor, Indonesia
xi
Lindon Neves de Aquino Universidad Federal do
Amazonas, Benjamin Constant, Brazil
Rômulo Romeu Nóbrega Alves Universidade
Estadual da Paraíba, Campina Grande, Brazil
Eduardo Silva Oliveira Universidade Federal Rural
de Pernambuco, Recife, Brazil
Tacyana Pereira Ribeiro Oliveira Universidade
Estadual da Paraíba, João Pessoa, PB, Brazil
Marcia Freire Pinto Universidade Estadual do
Ceará, Limoeiro do Norte, CE, Brazil
Iamara da Silva Policarpo Universidade Federal da
Paraíba, João Pessoa, Brazil
Pavol Prokop Trnava University, Trnava, Slovakia;
Slovak Academy of Sciences, Bratislava, Slovakia
Christoph Randler Didaktik der Biologie, Tübin­
gen, Germany
Maria Norma Ribeiro Universidade Federal Rural
de Pernambuco, Recife, Brazil
Luiz Alves Rocha California Academy of Sciences,
San Francisco, CA, United States
François Sandrin Fundación SI, Bogotá, Colombia
Josivan Soares Silva Universidade Federal Rural
de Pernambuco, Recife, Brazil
Wedson Medeiros Silva Souto Universidade
Federal do Piauí (UFPI), Teresina, Brazil
Denise Freitas Torres Universidade Federal Rural
de Pernambuco, Recife, Brazil
Maria Franco Trindade Medeiros Universidade
Federal de Campina Grande, Cuité, Brazil
Arnold van Huis Wageningen University,
Wagenin­gen, The Netherlands
Nathalie van Vliet Center for International Forestry
Research (CIFOR), Bogor, Indonesia
Liliana Vanegas Fundación SI, Bogotá, Colombia
xii List of Contributors

Kleber da Silva Vieira Universidade Estadual da Steve Wolverton University of North Texas,
Paraíba, Campina Grande, Brazil; Universidade Denton, TX, United States
Federal da Paraíba, João Pessoa, Brazil
Washington Luiz Silva Vieira Universidade Fed­
eral da Paraíba, João Pessoa, Brazil
 C H A P T E R

1
Introduction: Animals in Our Lives
Rômulo Romeu Nóbrega Alves1, Ulysses Paulino Albuquerque2
1Universidade Estadual da Paraíba, Campina Grande, Brazil; 2Universidade Federal de Pernambuco,
Recife, Brazil

INTRODUCTION and wolves). This situation most likely reflects

We are animals, and as such share certain
fundamental biological features with a huge
diversity of other animal species, which link
them to us through an intricate network of
ecological and evolutionary relationships. As
a natural part of the fauna living on earth, we
have interacted with the animals around us
throughout our shared coexistence, establishing
multiple interrelationships since the origin of
our species.
From our long history of coexistence with
animals emerges a plethora of complex and
multidimensional relationships, which certainly
precede any recorded historical evidence. The
first testimonies of these relationships are found
in the earliest rock paintings and engravings,
such as the cave paintings in Lascaux, France,
where most of the paintings depict animals such
as bisons, horses, mammoths, ibex, deer, lions,
aurochs, bears, and wolves. As pointed out by
Tedesco (2000), these depictions of animals rep-
resent both species that would have been hunted
and eaten (such as bison and deer) and those
that were feared predators (such as bears, lions,
a scenario of interactions between humans and
fauna that occurred at a time when humans were
both predators and prey. Furthermore, it is likely
that animals were represented in these paintings
because of supernatural/spiritual connections
established between these animals and humans
(Hurn, 2012).
Independent of the inspiration to represent
animal images in prehistoric paintings, and later
in other visual works produced by humans, the
abundance of representations of fauna clearly
indicates their relevance to mankind, and is evi-
dence of the wide range of roles they played in
human life since the beginning of their shared
history. This relevance is explicit in the earliest
written documents, as evidenced by the large
number of reports on animals in books, letters,
bestiaries, and other various past documents.
Important human activities involving animals,
such as hunting, fishing, and domestication,
­represent practices that have perpetuated them-
selves over time as forms of subsistence crucial to
humanity, and are recognized as having a ­significant
influence on human evolution, both cultural
and physical. The dynamic character of human

Ethnozoology
http://dx.doi.org/10.1016/B978-0-12-809913-1.00001-6 1 © 2018 Elsevier Inc. All rights reserved.
2 1. ANIMALS IN OUR LIVES
activities involving animals, from the oldest to the
most contemporary, has resulted in a diversifica-
tion of human–animal interactions. Certainly what
we are today has been profoundly influenced
by the relationships established with animals
throughout our shared history with them.
From a utilitarian perspective, today, as in
the past, humans have long exploited animal
products to provide food and materials for mak-
ing tools, feed, ornaments, medicines, fertilizer,
and income, as well as providing agricultural,
transport, entertainment, companionship, and
religious services (Alves, 2012; Alves et al.,
2016; Alves and Rosa, 2013; Bowman, 1977;
Figueirêdo et al., 2015; Fitter, 1986). Reinforcing
the utilitarian value of fauna, Plous (1993)
points out that animal products are also found
in the streets of our modern day cities (e.g., in
asphalt binders), in the cars we drive (e.g., in
brake fluid, upholstery, and car wax), in the
walls of our homes (e.g., sheetrock and wallpa-
per adhesive), on kitchen and bathroom floors
(e.g., in ceramic tiles, linoleum, and floor wax),
in toiletries (e.g., perfume, deodorants, soap,
and cosmetics), and in a variety of paints, plas-
tics, textiles, and machinery oils. Domestic ani-
mals provided energy used in a wide range of
services for people (Alves, 2016). Wild-caught
species have also been tamed for various pur-
poses other than predation, such as alarms
for protection, fighting, and as guards, pets,
and pack and draught animals (Alves et al.,
2013; Fernandes-Ferreira et al., 2012; Gilmore,
1950; Roldán-Clarà et al., 2014; Serpell, 1996;
Svanberg and Ståhlberg, 2012). It is clear that
human dependence or codependence on fau-
nal resources has intensified over time (Alves,
2012; Alves and Souto, 2015).
In addition to their utilitarian value, ani-
mals have had a pronounced participation in
the cultural practices and religious beliefs of
humankind (Adeola, 1992; Alves et al., 2012a;
Kemmerer, 2011; Olupona, 1993). Many myths,
proverbs, and stories have been generated from
human–animal relationships and passed down
from generation-to-generation through oral tra-
ditions (Allaby, 2010; Alves et al., 2017, 2012b).
Culture guides our attitudes toward animals
(Alves et al., 2014; Shanks, 2002), which are
also shaped by many other factors, including
our experiences with them (perhaps as farmers,
hunters, fishermen, pet owners, or experiment-
ers), exposure to biological science, religious
beliefs, philosophical presuppositions, and
psychological factors, such as our capacity for
empathy (Shanks, 2002).
Human interest in animals represents a
characteristic of all societies, from those resid-
ing in the most isolated locations to those in
the most urbanized areas of the world. Due to
thousands of years of cohabitation, a strong
interdependence exists between humans and
other animal species (Alves and Souto, 2015;
De Waal, 2009), which generates harmonic and
conflictual relationships that can be predatory,
competitive, parasitic, mutualistic, and com-
mensal (Baenninger, 1995). In modern societ-
ies, our relationship with animals increasingly
consolidates human control over fauna, with a
view to optimizing the use of faunal resources.
Thus, there is an intensification of human inter-
ference in the lives of all animals with which
humans interact. An example of this is that
humans have been responsible for the extinc-
tion of several species, while on the other hand
they have promoted the geographical spread
of several others. In some of these cases, intro-
duced species become pests, creating problems
that affect entire ecosystems. It is clear, there-
fore, that humans are agents that cause impacts
that affect not only the species with which
they interact directly, but others that are indi-
rectly associated. The pronounced influence
of humans and their impacts on the environ-
ment characterizes the geological epoch we
live in, the Anthropocene, which has increas-
ingly placed the animal world under growing
pressure.
 Investigating Animals and Their Interactions With Humans
This scenario makes the need to understand
the complexities of the relationships between
humans and other animals increasingly evident,
not only from biological and ecological perspec-
tives, but also from historical, social, cultural,
economic, psychological, and sociological con-
texts. Of course, because of the complexity of
human–animal interactions, this understanding
involves different academic disciplines, espe-
cially within the social and biological sciences.
Ethnozoology, the theme of this book, arises as
a discipline that can provide important contri-
butions and serve as a bridge enabling dialogue
between the different academic fields interested
in this subject.
INVESTIGATING ANIMALS AND
THEIR INTERACTIONS WITH
HUMANS
As discussed above, fauna have been of
great significance to humans throughout his-
tory. Consequently, they represent one of the
themes with which most people have the great-
est familiarity, interest, or contact (Springer
and Holley, 2012). Humans of all societies have
always attempted to understand animals by
generating a fundamental basis of zoological
knowledge by interacting/exploring faunas,
which have played a crucial role in the evolu-
tion of the human species since its emergence.
The earliest humans must have had, and passed
on, knowledge about animals to increase their
chances of survival, which likely included
unsystematic knowledge of animal ecology and
anatomy. With domestication of fauna, and the
consequent possibility of better observing them,
people learned more.
From our ancient and constant interest in
fauna emerged the field of zoology, one of
the first areas of research of the natural world
made by humankind (Springer and Holley,
2012). In addition to information about the
3
animals themselves, zoology and natural sci-
ence enthusiasts were also interested in the
potential uses of animals for humans, in partic-
ular the species that were targeted or hunted,
as well as the knowledge that native peoples
had of the fauna in general. An example of
this is evident in the narratives of ancient
naturalists who always included information
of ethnozoological interest in their writings,
among them Linnaeus, Darwin, and Lamarck
(Moreira, 2002; Ståhlberg and Svanberg, 2014).
This perspective would be the preface for the
emergence of academic disciplines that seek to
investigate the different aspects of the interac-
tions between animals and humans.
Such interactions are dynamic and multi-
faceted, which makes it impossible to investi-
gate them through a single area of knowledge.
Consequently, several academic disciplines
related to the areas of social and biological
sciences have sought to investigate the sub-
ject, among which are anthropology, sociology,
psychology, history, archeology, ethnography,
economics, geography, literature, philosophy,
zoology, ecology, and conservation biology. As
a result, several books have been published,
especially in the last decades, which have
focused on human–animal interactions in gen-
eral (Baky, 1980; Bowman, 1977; Gross and
Vallely, 2013), as well as more specific treat-
ments such as the utilitarian aspect of fauna,
including for medicinal purposes (Alves and
Rosa, 2013), as pets (Pręgowski, 2016; Wilson
and Turner, 1997), and in service in war (Cooper,
2000; Kistler, 2011; van Vliet, 2007). Some of
these publications addressed the social and cul-
tural importance of animals (Allaby, 2010; De
Mello, 2016; Kalof, 2007; Kalof and Resl, 2007;
Malamud et al., 2007); while others focused on
interactions with some specific groups of wild
(Dore et al., 2017; Kothari, 2007; Marcum, 2007;
Morris and Morris, 1965; Tidemann and Gosler,
2010; Waller, 2016) or domestic (Clutton-Brock,
2007, 2012) animals, to cite a few examples.
4 1. ANIMALS IN OUR LIVES
These, and many other themes, have also been
the focus of a growing number of articles pub-
lished in numerous scientific journals, including
those in the area of ethnobiology (Ethnobiology
and Conservation, Journal of Ethnobiology,
Ethnobiology Letters and Journal of Ethnobiology
and Ethnomedicine), those particularly devoted
to the examination of different aspects of the
relationship between human beings and other
animals (e.g., Anthrozoos; Between the Species;
Humanimalia; Journal of Applied Animal Welfare
Science, Politics and Animals; Society & Animals),
and several others in areas such as medicine
and biodiversity conservation (e.g., BioScience,
Journal of Ethnopharmacology, Biodiversity and
Conservation, Conservation Biology, Ecology and
Society, Fish and Fisheries, etc.). This entire arse-
nal of publications reinforces the fact that ani-
mals represent one of the subjects that most
attract the attention of human beings. It is not
possible to understand our biological and cul-
tural evolution without examining how animals
have, and continue to, affect human societies,
and vice versa, highlighting the importance of
research investigating the connection between
animals and human beings (Alves, 2017; Alves
and Souto, 2015). Ethnozoology, the theme
of this book, joins the different research areas
seeking to contribute to the understanding
of the complexity and implications of fauna-
human interactions. As pointed out by Alves
(2017), “Ethnozoology is a hybrid discipline
that has been structured with elements from
both the natural and social sciences, as it seeks
to understand how humans have perceived and
interacted with faunal resources throughout his-
tory.” Together with ethnobotany, ethnozool-
ogy forms part of the larger body of science of
ethnobiology, which has been increasingly rec-
ognized in recent years, especially considering
that the world is facing a potentially massive
loss of wildlife due to anthropogenic activities
(Alves and Albuquerque, 2012). It is ironic that
as people impact the ecosystems on which they
depend, conserving diversity will increasingly
depend on active human involvement (Probst
and Crow, 1991). Thus, as humans are the source
of problems, as well as the hope for solutions
(Saunders, 2003), it is essential to incorporate
human dimensions into practices aiming at the
conservation of fauna, and in this regard, ethno-
zoology has a great contribution to offer.
WHY THIS BOOK?
Our history is full of indications of the cru-
cial role that animals have played in human life,
resulting in connections that have been debated
for centuries by various areas of research, and
which have contributed to understanding
animal–human relationships from different
perspectives. In this scenario, ethnozoology
arises as a dynamic and cross-disciplinary area
of research that can provide important contri-
butions and serve as a bridge between the dif-
ferent academic fields that seek to investigate
human-animal interactions. In this perspec-
tive, ethnozoology has attracted researchers
from diverse fields of study, which has resulted
in a visible increase in the number of publica-
tions on the subject in the last decades.
Despite major advances in ethnozoology,
there is still a worldwide lack of textbooks
that can serve as references for its teaching.
Currently, some books have appeared that
have filled gaps in ethnobiology for teach-
ing and research (Ethnobiology, Ethnobotany,
Ethnopharmacology, etc.) (Albuquerque and
Alves, 2016; Albuquerque et al., 2014; Anderson
et al., 2012; Cunningham, 2001; Heinrich and
Jäger, 2015), but there is no single book pub-
lished in English specifically on ethnozoology.
Recognizing this need, Ethnozoology: Animals in
Our Lives represents the first book about this dis-
cipline and provides discussions regarding the
key themes of human–animal interactions and
their implications.
Following this Introduction, Chapter 2 pro-
vides an overview of ethnozoology as a field
 Why This Book?
of study, focusing on its importance, conceptu-
alization, and history, highlighting the role eth-
nozoology plays as a discipline focusing on the
relationships between animals and humans.
These interactions are known to be very old
according to research in zooarcheology and his-
torical ethnozoology, themes of Chapters 3 and 4,
respectively. Chapter 5 discusses the fabulous
fauna documented in the reports of ancient trav-
elers and chroniclers and in medieval bestiaries,
describing what the authors call “imaginary zool-
ogy.” Chapter 6 deals with a theme of historical
importance in the field of ethnobiology, ethnotax-
onomy. The following chapters deal with three
of the major human activities involving animals,
hunting (Chapter 7), fishing (Chapter 8), and ani-
mal domestication (Chapter 9). Subsequent chap-
ters address the use of animals as food, one of
the most fundamental uses of fauna by humans.
Chapter 10 discusses the importance and diver-
sity of uses of wild animals and the sources of
food; and Chapter 11 brings an overview of the
practices of harvesting and eating insects in dif-
ferent parts of the world. Reinforcing the impor-
tance of fauna for alimentary purposes, Chapter
12 presents an analysis of the trade in wildmeat
sales in the Amazon Tri-frontier region between
Peru, Brazil, and Colombia. In Chapter 13, a
discussion is presented on the intimate relation-
ships between human and animal health, giving
examples of the importance of multidisciplinary
studies in understanding these connections. An
overview of published scientific literature on the
use and commercialization of animals for decora-
tive purposes is the subject of Chapter 14, while
Chapter 15 discusses the significance of animals
in the principal human cultural manifestations
of art, literature, symbolism, music, mythology,
and religion. Chapter 16 addresses one of the
closest human-animal relationships that of ani-
mals as pets. The following chapters are devoted
to the use of animals in military activities
(Chapter 17) and to perform transport and trac-
tion services (Chapter 18). Animals kept in zoos
and aquariums are the subject of Chapter 19.
5
Chapter 20 discusses the role of animals in
entertainment and sport. Chapter 21 brings an
interesting, but still little explored, ethnozoologi-
cal theme, the use of fauna as predictors of cli-
matic and weather events, addressing the role
of animals as forecasters. Chapter 22 discusses
the complex interactions of conflict between
humans and animals and Chapter 23 focuses
on the biological influences of human attitudes,
as well as on the role of education in forming
children’s attitudes and perceptions of living
creatures. Chapter 24 discusses the importance
of local ecological knowledge as a source of sci-
entific insights and complementary academic
research. Chapter 25 discusses the implications
of human actions on fauna and the role of eth-
nozoology from a perspective of conservation of
animal diversity. In this same vein, Chapter 26
describes two examples of how traditional eco-
logical knowledge may be incorporated in more
formal management plans for wildlife. Finally,
Chapter 27 presents a global view of scientific
production in ethnozoology and its advances,
trends, and future perspectives.
We believe that this book, Ethnozoology:
Animals in Our Lives, significantly expands the
knowledge base of ethnozoology by covering
a wide range of interactions between humans
and animals. Furthermore, we believe it dem-
onstrates the importance of inter and cross-
disciplinary approaches for increasing our
understanding of the coexistence of humans
and other animals. This book will be of value
to researchers, students, educators, conserva-
tionists, wildlife managers, and policymakers,
as well as the general public, with interests in a
wide range of areas of science, including zool-
ogy, biology, ethnobiology, conservation biology,
ecology, anthropology, and sociology, among
other related academic disciplines. We also hope
that this book will stimulate further research in
this fascinating field, thus contributing to the
collective understanding of the multidimen-
sional context of interactions between humans
and animals, an increasingly pressing need since
6 1. ANIMALS IN OUR LIVES
today, perhaps more than at any other time in
human history, we are faced with the challenge
of finding forms of exploitation that minimize
the impact on animal species; an increasingly
clear necessity in the context of animal conser-
vation, as well as human survival.
Acknowledgments
We are grateful to Kristi A.S. Gomez (Senior Acquisitions
Editor at Elsevier/Academic Press) and Patricia Gonzalez
(Editorial Project Manager/Animal & Plant Sciences/
Elsevier) for entrusting us with the edit of this book and for
her constant support.
Special thanks are due to contributors to the book, for
their enthusiasm, support, and quality work.
Thanks are also due to CNPq (Conselho Nacional de
Desenvolvimento Científico e Tecnológico), for providing us
with research productivity scholarships, which helped for
the development of our studies on the Ethnobiology.
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 C H A P T E R

2
Ethnozoology: Conceptual and Historical
Aspects*
Rômulo Romeu Nóbrega Alves1, Wedson Medeiros Silva Souto2,
Ulysses Paulino Albuquerque3
1Universidade Estadual da Paraíba, Campina Grande, Brazil; 2Universidade Federal do Piauí (UFPI),
Teresina, Brazil; 3Universidade Federal de Pernambuco, Recife, Brazil

INTRODUCTION Hunting is one of oldest known human activ-

Extremely close connections have existed
between humans and animals throughout his-
tory (Alves, 2012; Kalof, 2007; Kalof and Resl,
2007). Humans have always attempted to
understand animals, enslave them, and cap-
ture their strength and power (Holley, 2009).
Archeological researchers have determined
that humans have consumed a wide variety
of fish, mollusks, birds, mammals, reptiles,
and amphibians for at least 1500 years (Emery,
2007; Foster and James, 2002; Hamblin, 1985;
Kyselý, 2008; Masson, 1999; Masson and
Peraza Lope, 2008; McKillop, 1984, 1985; Pohl,
1976, 1981) and perhaps as many as 4000 years
(Jorgenson, 1998). Other evidence of ancient
human–animal relationships can be seen in
rock paintings that depict wild animals such
as bison, horses, and deer being hunted by
human figures.
ities, and animals have been hunted for utilitar-
ian reasons, as well as for defense against large
predators (Alves, 2012). Similarly, the impor-
tance of fishing for mankind has a long his-
tory. Faunal-derived products are used in many
ways, especially as food, but also as clothing and
tools, and for medicinal and magic and religious
purposes (Alvard et al., 1997; Alves et al., 2007,
2009, 2012a,; Inskip and Zimmermann, 2009;
Léo Neto et al., 2009; Prins et al., 2000). This
enduring relationship of dependence has also
contributed to the formation of affective links
with certain animals, and many species are kept
as pets, especially birds and mammals, and now,
reptiles and amphibians too (Alves et al., 2010d,
2012b; Franke and Telecky, 2001; Hoover, 1998).
These relationships with animals go beyond
simple utilitarian considerations; for there have
been strong supernatural relationships between
the worlds of humans and animals since remote

* This chapter represents a revised and updated version of the article “Alves RRN, Souto WMS (2015) Ethnozoology:
A Brief Introduction. Ethnobiology and Conservation 4:1–13.”

Ethnozoology
http://dx.doi.org/10.1016/B978-0-12-809913-1.00002-8 9 © 2018 Elsevier Inc. All rights reserved.
10 2. CONCEPTS IN ETHNOZOOLOGY
times (Alves, 2012). All human cultures have
mythologies, and all of them show close integra-
tion and connections with animals, and totemic,
ancestral, or mythological (imaginary) animals
or animal-gods have been present throughout
human history (Allaby, 2010; Alves et al., 2012a).
Interactions between humans and ani-
mals have given rise to activities such as fish-
ing and hunting, which are among the most
ancient human practices, and they continue to
play important roles in the survival and evolu-
tion of humanity (Alves, 2012). The domestica-
tion of animals is another excellent example of
the relevance of the animals in human history.
This process allowed early human societies to
enrich their diets with regular sources of meat
and milk. Later, certain domesticated animals
provided new sources of muscular energy as
pack and mounted animals or for the traction of
plows and wagons—thus, multiplying the pro-
ductive capacity of men, as well as their spatial
mobility (Ribeiro, 1998).
From a historical perspective, the domestica-
tion of biological resources resulted in extremely
important modifications of human lifestyles,
allowing populations to abandon nomadic
practices (carried out since the very beginning
of human evolution), become sedentary, and
occupy certain territories where plants could be
cultivated and animals domesticated. This situ-
ation progressively decreased the previous com-
plete human dependence on gathering activities,
hunting, and fishing (Alves, 2016), although
these activities have perpetuated and still con-
tribute significantly to human food supplies.
The connection between animals and humans
dates back to thousands of years, and cultures
all over the world have developed characteris-
tic ways of interacting with their regional fauna
over time. Animals have played a wide range
of roles in human life from the earliest days of
recorded history, resulting in many kinds of
interactions with other animals, including inter-
actions that are predatory, competitive, para-
sitic, mutualistic, and commensal (Baenninger,
1995). The variety of interactions (both past and
present) that human cultures maintain with ani-
mals is the subject matter of ethnozoology, a dis-
cipline that has its roots as deep within the past
as the first relationship between humans and
other animals. Sax (2002) noted that human atti-
tudes about animals evolved long before their
first attempts to represent them in the arts and
history, and only much later did people begin
to study them scientifically. As such, the origin
of traditional zoological knowledge, one of the
focal points of the study of ethnozoology, can
be thought of as coinciding with the origin of
humans and with the first contacts between our
species and other animals.
The existence of interrelationship between
humans and animals has a wide variety of impli-
cations, depending on the perspective adopted.
On one hand, there are many human societies
that promote a deep respect for animals, as these
creatures are important actors in their spiri-
tual traditions due to their utilitarian or spiri-
tual value. Societies in Asia, Africa, and Latin
America frequently established sacred localities
with inherent spiritual or religious significance,
and they were frequently also natural sanctu-
aries of biodiversity. Many traditional cultures
still consider certain animal species sacred and
foster their conservation (even though that is
not their primary motivation) (McNeely, 2001).
On the other hand, animals and animal organs
are universally utilized in many different ways
by human groups, and anthropogenic activities
can exert great direct or indirect influence on
the local fauna (especially target species), and
these interactions must be taken into account
when conservation actions are being considered
(Alves et al., 2008, 2010b, 2010f).
The conservation of natural resources and
biodiversity is indispensable, not only to pre-
serve genetic diversity but also to guarantee
the subsistence of large numbers of humans
throughout the world (Alves and Souto, 2010),
and it will not be possible to create meaning-
ful animal conservation strategies without
 Historical Considerations About Human and Fauna Interactions
considering the interaction of humans with
animals—the focus of ethnozoological stud-
ies (Alves, 2012). As such, the present chapter
discusses numerous conceptual and historical
aspects of ethnozoology–a discipline that seeks
to investigate the complex but important inter-
relationship between humans and the animals
with which we share this earth.
HISTORICAL CONSIDERATIONS
ABOUT HUMAN AND FAUNA
INTERACTIONS
Rock paintings and archeological inscrip-
tions provide clear evidence of the antiquity
of interactions between humans and other
animals (Baker, 1941; Martínez, 2008; Russell,
2012), representing important records of how
the first humans related to their regional faunas.
Ancient cave paintings often contain animal
and/or human figures and show interactions
between them—indicating the utilitarian and
symbolic importance of animals dating back to
prehistorical times (Alves et al., 2010g; Martínez,
2008; Russell, 2012). Although rock paintings
and archeological inscriptions can be consid-
ered the first human–fauna interaction records
(see Baker, 1941), written documents have more
precisely recorded information about the inter-
action of ancient humans groups with their
regional fauna and their uses of those animals
(Alves and Souto, 2015). In every ancient culture
with a written language, people have recorded
useful knowledge about animals, plants, and
environments (Svanberg et al., 2011).
Animals were linked to people in many ways
in the cultural conceptions of the time, and
contributed to defining royal institutions, as
well as solidifying emergent cosmologies that
linked humans to celestial orbs, the earth, and
the gods. These views were preserved in hiero-
glyphs, papyrus documents, and other records
left behind by ancient civilizations (Alves and
Souto, 2015). In ancient Egypt, for example, royal
11
hunts of wild bulls were well documented dur-
ing the reign of Amenophis III during the later
part of the Eighteenth Dynasty (ca. 3300 BC)
when these animals apparently became locally
extinct (Dodd, 1993). These Old World civiliza-
tions had (often exaggerated) beliefs that certain
species of animals shared important characteris-
tics with humans, and cattle, horses, and snakes,
for example, became symbols that were closely
associated with power/domination or libido/
fertility (Dodd, 1993).
The antiquity in the use of medicinal animals
is another important evidence recorded in his-
torical texts (Alves et al., 2013b). Some of these
texts have been preserved (Svanberg et al., 2011),
such as Assyrian, Egyptian, and Greek histori-
cal documents, which bear witness to extensive
knowledge about how animal and plant prod-
ucts could be utilized (MacKinney, 1946; Raven,
2000). Our understanding of Egyptian medi-
cine and pharmacology, for example, is based
on inscriptions on monuments and graves and
papyrus rolls, the most important one being the
Papyrus Ebers. It is thought to have been writ-
ten around 1550 BC (Lidgard, 2005) and includes
800 or more prescriptions comprising various
herbs, animals, and minerals; a considerable
number contain matter derived from, both wild
and domestic, insects, reptiles, and fish (Alves
et al., 2013b; MacKinney, 1946).
While animals and humans have shared a
very long history, and humans have been accu-
mulating knowledge for untold generations
about the fauna with which they interact, the
origin of ethnozoology (like many other aca-
demic disciplines) is more closely linked to the
naturalists and explorers who spread out about
the world starting in the 16th century. Until
the beginning of the 19th century, most of our
knowledge concerning the world’s biota, includ-
ing its fauna, was derived from the reports of
naturalists and explorers who recorded infor-
mation about activities such as hunting and
fishing (Alves, 2017; D’Ambrosio, 2015). These
documents include the works of naturalists who
12 2. CONCEPTS IN ETHNOZOOLOGY
demonstrated interest in the fauna, as well as
the zoological knowledge of native residents.
These naturalists generally compiled lists of
native animals together with their regional and
scientific names and descriptions of their uses
(Sillitoe, 2006). Information concerning the use
of animals by indigenous populations in the
New World have been accumulating ever since
the first voyage of Columbus (Castetter, 1944).
This tradition continued through the 19th and
20th centuries, as exemplified by the voyage
of Darwin on the HMS Beagle during which he
recorded biological information about regional
ecosystems, and the work of Wallace during
his stay in the Malaysian Archipelago (now
Indonesia). The zoological information con-
tained in these pioneering works was likewise
codependent on the work of Linnaeus—one of
the most notable naturalists of that time (Ellen,
2004). We can thus interpret these works as the
roots of what was to become the science of eth-
nozoology, as these European naturalists and
explorers not only sought to learn about new
regions of the world but also to take advantage
of those new natural resources by identifying
the animal species found there and document-
ing their uses. Some pioneer ethnographers,
such as Alfred Cort Haddon and Franz Uri Boas,
however, were more interested in studying the
local communities that they encountered rather
than their surrounding environments (Sillitoe,
2006).
The interests of naturalists went well beyond
simply recording the uses of the fauna by the
native populations, and the direct or indirect
help of these local populations was indispens-
able to discovering thousands of additional
animal species. As was exemplified by Moreira
(2002), 19th century naturalists spread out over
the planet and enormously amplified the sci-
entific knowledge of the time—and the suc-
cess of their scientific expeditions were often
greatly dependent on the collaboration of native
or resident communities and their traditional
knowledge. This traditional knowledge was
systematized by the naturalists, filtered by the
scientific outlook predominant at that time, and
subsequently incorporated into the growing uni-
versal scientific pool. In the specific case of zool-
ogy, the aid of the local populations was critical
in many ways, especially in terms of locating,
collecting, and naming animals; preparing and
preserving the specimens; discovering “new”
species; analyzing their habits and utilitarian
features; domesticating certain “wild” animals;
and in developing techniques and tools for cap-
turing and preserving them.
Moreira (2002) illustrates in a very interest-
ing article the importance that native popu-
lations had for the natural sciences by citing
the examples of three notable naturalists, the
Englishmen Alfred R. Wallace (1823–1913) and
H W. Bates (1825–1892) and the Swiss explorer
Louis Agassiz (1807–1873), who all undertook
expeditions to Brazil during the 19th century.
These scientists were very successful during
their expeditions and made enormous contri-
butions to zoology through their descriptions
of thousands of species. Henry Walter Bates,
for example, collected 14,712 different spe-
cies (mostly insects)—of which 8000 were new
to science—during 11 years in the Amazon
region. His records of his trips throughout the
Amazon region cite about 135 different people
(most of them by name) from all walks of life,
who helped during the fieldwork and in the
localization and capture of specimens: business-
men, farmers, workers, slaves, military person-
nel, Amerindians, and hunters. Similarly, many
parts of the travel logs of Wallace in Brazil and
many of the scientific articles based on these
expeditions record the participation of local
inhabitants in collecting specimens and map-
ping the Negro River. Wallace often noted in his
records the importance of the native knowledge
of the flora and fauna and their geographic dis-
tributions. Likewise, Louis Agassiz (who led the
Thayer expedition from 1865 to 1866) repeatedly
pointed out that the contributions of the local
habitants were essential to the success of the
 The Origin and History of Ethnozoology
fieldwork program, like locating and capturing
Amazonian fish and describing their behavior.
This traditional or local zoological knowl-
edge1 (one of the focal points of ethnozoological
studies) has been extremely useful to zoological
studies of numerous species, and many descrip-
tions have likewise been based on specimens col-
lected by native hunters/fishers accompanying
naturalists during their expeditions (Alves and
Souto, 2015). It can thus be seen that the histories
of zoology and ethnozoology overlap—although
the roles of native populations were not always
fully recognized. Moreira (2002) pointed out that
although there were many diverse references in
the travel logs and letters of naturalists to the
essential aid provided by local habitants, this
information was rarely widely disseminated due
to the usually concise nature of scientific publi-
cations (books, reports, articles). This situation
contributed, among other factors, to the emer-
gence of the image of scientists as “hero-explor-
ers” who survived enormous dangers almost
alone through herculean efforts, “discovering”
large numbers of new species of animals and
plants. It was often emphasized that these scien-
tists had encountered hostile relationships with
indigenous groups (which probably only rarely
occurred), but little note was otherwise made of
the existence of these people, or that their sup-
port and knowledge had been extremely impor-
tant to the success of their scientific quests.
It is important to remember that local popu-
lations continue to provide much more than
basic logistic support to zoologists and ecolo-
gists (research areas that commonly count on
the cooperation and assistance of local inhabit-
ants)—including indicating sites that are best
for mounting collecting equipment (and many
times even directly collecting the specimens
themselves)—thus perpetuating the roles and
practices that were available to early natural-
ists. Additionally, the information retained in
1 For
a discussion about the use of the terms “local knowledge” or “traditional Knowledge” see Alves and
Albuquerque (2010).
13
traditional zoological knowledge has inspired
many hypotheses and has been used to
complement ecological and zoological stud-
ies (see Chapter 23, in this book–The Role of
Ethnozoology in Animal Studies).
THE ORIGIN AND HISTORY OF
ETHNOZOOLOGY
The first written documents that recorded
connections between mankind and nature (e.g.,
those produced in Greece, Egypt, and Asia)
(Alves et al., 2013b; Bala, 1985) represent historic
records of the even more ancient relationships
between our species and other living creatures.
Although these writings can be interpreted as
the first ethnozoological records, ethnozoology
is a new formal science. These ancient records
were produced within different academic disci-
plines such as anthropology, ethnology, archeol-
ogy, and medicine. Clément (1998) noted that
“the origin of ethnobiology lato sensu lies deep in the
mists of time, when the first hominids took an inter-
est in plants and animals; it can rightly be argued
that the foundations of ethnobiology were laid long
before the 19th century, and are to be sought in the
sacred texts, oral or written, that form the substruc-
tures of many civilizations.” Nonetheless, from an
academic perspective, the beginnings of what
would become ethnobiological studies occurred
only in 1874 (Hidayati et al., 2015), when Stephen
Powers first used the term “aboriginal botany”
to refer to the uses of plants by Amerindians in
California (Powers, 1874). At about the same
time, other researchers were likewise becom-
ing interested in the uses of biodiversity in the
American west by its native inhabitants (Brown,
1868; Palmer, 1871, 1878; Stearns, 1889).
The history of ethnobiology and its prin-
cipal subdivisions (ethnobotany and ethno-
zoology) overlap, as has been addressed by
14 2. CONCEPTS IN ETHNOZOOLOGY
a number of different authors who gener-
ally rely on the historiography proposed by
Clément (1998) that divides their development
into three phases. The first phase (1860–99),
known as the preclassical phase, corresponds
to the period during which terms such as eth-
nobotany and ethnozoology were first coined;
the second phase (1950–80s), known as the
classical period, was characterized by a num-
ber of linguistic studies and ethnobiological
classifications; the third phase, known as the
postclassical period (1990s), was characterized
by true partnerships between Western scien-
tists and local populations, with greater rec-
ognition and respect for traditional ecological
knowledge.
Hunn (2007) added one more phase to those
proposed by Clement. For Hunn (2007), Phase 1
(1895–1950) was characterized by the documen-
tation of “useful” plants and animals; Phase 2
(1954–70s) corresponds to the phase of “cogni-
tive ethnobiology” or “ethnoscience”; Phase
3 (1970–80s) saw the rise of ethnobiological
research with an ecological focus; in Phase 4
(1990s), collaborative research arose, emphasiz-
ing the rights of local populations (Hunn, 2002).
Wolverton (2013) suggested a fifth phase,
although not indicating the exact year it was ini-
tiated (although it is presumed to have begun
in 2001 and continues to the present day). This
phase is characterized by interdisciplinary stud-
ies and the recognition of the importance of eth-
nobiological research in the context of complex
environmental and cultural changes. We believe
that another aspect has become important in this
last phase—the use of folk ecological knowledge
as a complement to traditional ecological/zoo-
logical research (see Chapter 23, in this book)—
and the appreciation of this local knowledge
has noticeably grown among researchers who
are not necessarily ethnobiologists (Alves and
Nishida, 2002; Anadón et al., 2010; Beaudreau
and Levin, 2014; Kotschwar Logan et al., 2015;
Rasalato et al., 2010; Ziembicki et al., 2013;
Zuercher et al., 2003).
Curiously, although ethnobotany and eth-
nozoology are considered subdivisions of eth-
nobiology, these terms appeared before the
recognition of the latter discipline. The term
“ethnobiology” was first used in the United
States in 1935 (Castetter, 1935) as a fusion of two
elements, “ethnos” and “biology”—after the
fashion of many similar terms formed since the
words “ethnography” and “ethnology” were
first coined in the late 18th century (Clément,
1998). Ethnobotany received its widely accepted
name from Hershberger in 1895 (Hershberger,
1885). The first academic publication with an
ethnozoological orientation (using the prefix
“ethno”) was prepared by Stearns (1889), who
discussed “ethno-conchology” (which would
now be placed within the sub-area of ethno-
malacology) in his study of the use of shell
money—even before the term “ethnobotany”
was coined. The term ethnozoology first
appeared in 1899, as a branch of zootechnology
(Mason, 1899) and, somewhat later, Henderson
and Harrington (1914) referred to ethnozoology
as the study of existing cultures and their rela-
tionships with the animals in their surrounding
environments. In 1944, Castetter coined the term
“ethnobiology” to signify the use of plants and
animals by “primitive” peoples (Castetter, 1944).
In addition to the abovementioned disciplines,
ethnobiology encompasses a wide range of
subdisciplines such as ethnoecology, ethnophar-
macology, ethnomedicine, ethnomycology, and
ethnoveterinary (Hidayati et al., 2015). A time-
line of important events in ethnozoology history
can be seen in Fig. 2.1.
Although animals have played important
roles in all human cultures since remote times,
specific studies concerning the uses of animals
have consistently lagged behind similar studies
devoted to plants. Although the fields of ethno-
botany and ethnozoology appeared at approxi-
mately the same time, the former grew more
rapidly in terms of its bibliographic produc-
tion, which resulted in its greater consolidation.
The first publications in ethnozoology did not
 The Origin and History of Ethnozoology
FIGURE 2.1 A timeline of important events in ethnozoology history, with emphasis on Latin America.
stimulate much additional research, although a
considerable body of knowledge concerning the
utilization of animals by traditional societies can
be found in a variety of earlier publications not
produced with a specific focus on ethnozoology
(Birket-Smith, 1976; Hornaday, 1889; Merriam,
1905; Steensby, 1917).
After the publication of the first articles
clearly focusing on ethnozoology (Mason, 1899;
Stearns, 1889), later publications became con-
centrated on utilitarian aspects and folk classifi-
cations of animals (Sturtevant, 1964). Following
the preclassical tendencies of ethnobiology in
1908, Chamberlin listed the common names of
animals used by the Goshute Amerindians of
North America (Chamberlin, 1908). In a later
phase, ethnozoological researchers focused on
the perceptions and classifications of animals.
Within this context, the works of Malkin con-
cerning the ethnozoology of the Seri, Sumu, and
Cora peoples in Mexico (Malkin, 1956a,b; 1958)
called attention to the high numbers of taxa in
folk taxonomies and to native knowledge about
15
themes such as sexual differentiation, devel-
opment, and feeding habits among animals.
Various other ethnozoological studies were
undertaken during this period that revealed the
grasp of traditional societies of the principals of
classification, nomenclature, and species identi-
fications (Berlin et al., 1973; Bright and Bright,
1965; Diamond, 1966).
Ethnozoologists and other researchers are
currently concentrating their efforts on research
areas that include (1) cultural perception and
zoological classification systems (Fleck et al.,
1999; Holman, 2005; Mourão et al., 2006; Posey,
1982); (2) importance and presence of animals in
stories, myths, and beliefs (Descola, 1998; Léo
Neto et al., 2009; Lewis, 1991); (3) biological and
cultural aspects of animal use by human soci-
eties (Dias et al., 2011; Gunnthorsdottir, 2001;
Posey, 1978); (4) methods of obtaining and pre-
paring organic substances extracted from ani-
mals (for cosmetic, ritualistic, medicinal, or food
uses, etc.) (Alves, 2006, 2009; Alves et al., 2007;
Barboza et al., 2007; Costa-Neto and Oliveira,
16 2. CONCEPTS IN ETHNOZOOLOGY
2000; Lev, 2003, 2006; Rocha, 2007; Rocha et al.,
2008; Rosa et al., 2011; Vázquez et al., 2006); (5)
domestication, examining the cultural bases
and the biological consequences of long-term
faunal resource management (Digard, 1992;
Haudricourt, 1977); (6) biological heterogene-
ity and the cognitive processes involved in
the management and conservation of natural
resources (Alves and Nishida, 2002; Fleck and
Harder, 2000); and (7) collection techniques and
their impacts on animal populations (Alves
et al., 2009; Balée, 1985; Bezerra et al., 2012;
Nishida et al., 2006; Nordi et al., 2009; Quijano-
Hernández and Calmé, 2002; Souto, 2007).
The number of publications concerning eth-
nozoology has steadily increased, reflecting
the interests of researchers in diverse areas. It
is important to note that interactions between
humans and animals are investigated in many
different disciplines that have obvious links
with ethnozoology. One example is zooarchae-
ology (which focuses on studies of the remains
of animals found in archaeological sites), which
is important for understanding ancient relation-
ships between humans and their environments
(especially between humans and animal popu-
lations; see Reitz and Wing, 2008). Some authors
have adopted the term ethnozooarchaeology
(Albarella and Trentacoste, 2011; Broderick, 2016)
to describe the study of human–animal relation-
ships from the examination of animal remains
found at archeological sites. Another discipline
having clear intersections with ethnozoology is
anthrozoology, which, according to Bradshaw
(2010), consists of the study of animal–human
interactions. This discipline generally focuses
more directly on human interactions with
domestic animals, investigating themes such
as keeping pets (especially dogs and cats) and
animal welfare. Another discipline that dem-
onstrates historical links with ethnozoology is
ethnozootechny, which investigates local knowl-
edge, practices, and beliefs related to animal hus-
bandry (Alves et al., 2010a); also closely related
is ethnoveterinary, which studies knowledge,
skills, methods, practices, and beliefs concerning
animal care (Alves et al., 2010c; Mathias-Mundy
and McCorkle, 1989; Souto et al., 2013). When the
use of animals for medicinal purposes is consid-
ered, ethnozoology has close links with two other
areas: ethnopharmacology and ethnomedicine.
Ethnozoology can now be further subdivided
into taxon-specific fields of interest (Alves, 2017)
(Fig. 2.2). A good example is ethnoprimatology,
a field that focuses on ecological and cultural
interconnections between human and nonhuman
primates (Riley, 2006; Sponsel, 1997; Waller, 2016).
Different subdivisions of ethnozoology have sim-
ilarly arisen to examine human interactions with
other important animal taxa (Alves, 2017) such as
insects (ethnoentomology), mollusks (ethnoma-
lacology), fish (ethnoichthyology), birds (ethno-
ornithology), mammals (ethnomastozoology),
and reptiles/amphibians (ethnoherpetology)
(Alves, 2017). It should be noted that these subdi-
visions are related to animal groups of established
importance to humans and, in some cases, they
have been further detailed to consider specific
animal groups such as elephants and primates,
designating areas such as ethnoelephantology
(Locke, 2013) and ethnoprimatology (Sponsel,
1997), as subdivisions of ethnomastozoology;
snakes (ethno-ophiology) (Joshi and Joshi, 2010)
as a subdivision of ethnoherpetology; and butter-
flies (ethnolepidopterology) (Parsons, 1991) as a
subdivision of ethnoentomology. There are even
groups with lesser utilitarian importance that
have nonetheless inspired the creation of further
subsections of ethnozoology, such as sponges
(ethnospongiology) (Docio et al., 2013).
In spite of this increase in the numbers of sub-
divisions within ethnozoology, theoretical and/
or methodological advances have not neces-
sarily followed—only an inflationary tendency
of ethnobiological terminology. This tendency
can be viewed on one hand as a simple effort
to organize the “taxonomy” of the various fields
within ethnozoology, or simply as an excessive
growth of terminologies that are not fully justi-
fied epistemologically.
 Ethnozoology: What Are the Marching Orders?
FIGURE 2.2 Subdivisions of ethnozoology.
ETHNOZOOLOGY: WHAT ARE THE
MARCHING ORDERS?
Ethnozoology has drawn the attention of
researchers, in the biological sciences, who have
found that such studies can aid in evaluating the
impact of human populations on other animal
species, and in the development of sustainable
management plans—and are therefore funda-
mental to conservation efforts. Ethnozoological
publications have greatly increased now as
judged by reviews published in Latin America
(Albuquerque et al., 2013), although the com-
ponent studies have largely been concentrated
in Brazil (Alves and Souto, 2011) and Mexico
(Santos-Fita et al., 2012). Importantly, these
publications generally cite high proportions of
national research efforts, as opposed to inter-
national studies, indicating a tendency toward
insularity (Campos et al., 2016). This same phe-
nomenon is usually associated with low levels
of international cooperation (as can be seen in
Latin America; Albuquerque et al. (2013)), which
17
can lead to theoretical stagnation and reduced
originality and innovation.
Many works have considered themes such as
hunting, fishing, and the use and commerce of
the native fauna. On a global scale, some disci-
plines have demonstrated strong growth, such as
ethnoprimatology. The term ethnoprimatology,
first coined by Leslie Sponsel (1997), has been a
field of growing interest, as demonstrated by the
publications of books (Fuentes and Wolfe, 2002;
Waller, 2016; Dore et al., 2017) and special issues
on ethnoprimatology in important primatology
journals (Fuentes and Hockings, 2010). In spite
of these advances, however, the study of ethno-
zoology now requires a process of self-criticism
to evaluate its advances. While large volumes
of information have been produced concern-
ing interaction between humans and animals,
there have not been corresponding advances in
theoretical terms, and relatively few works have
been guided by theories or hypotheses—which
has led to its criticism as a weak and immature
science. It should be noted that ethnobotany has
18 2. CONCEPTS IN ETHNOZOOLOGY
suffered the same criticism, even though this
sister discipline is older and has been consid-
erably more productive (see Albuquerque and
Hanazaki (2009)).
Unsurprisingly, many ethnozoological stud-
ies have been associated with two central activi-
ties undertaken by local communities: hunting
and fishing (Alves, 2012)—although ethno-
zoological studies can also be undertaken in
urban environments, especially in localities such
as zoos, schools, and traditional markets (Alves
et al., 2013c, 2007, 2014; Marques and Guerreiro,
2007). In pointing out that the study of ethno-
zoology “begins at home,” Overal (1990) has
called attention to the study of ethnozoological
phenomena within our own culture (as opposed
to examining culturally distant societies)—men-
tioning groups and/or phenomena that could
be studied from an ethnozoological perspective
in both Western and traditional cultures, such
as: animal trainers; farmers who “call in” cattle,
pigs, and other animals; breeders of dogs and
other pets; urban hunters; and breeders of fight-
ing cocks and other animals kept for “sport” and
betting purposes.
Public markets likewise present excellent
opportunities for developing ethnozoologi-
cal studies in urban areas (Alves, 2006; Alves
et al., 2010d, 2010e, 2013a, 2013c; Alves and
Rosa, 2008; Apaza et al., 2003; Fernandes-
Ferreira et al., 2012; Ferreira et al., 2013; Noss,
1998; Oliveira et al., 2010; Williams et al., 2013)
as many live animals (both wild and domesti-
cated) and various products of animal origin can
be found there; and these are traditional sites for
exchanging and acquiring cultural information.
Depending on their size, these public markets
commonly have specific areas that sell animals
and animal parts, and the vendors can provide
important information about the different ori-
gins of those resources (Alves and Rosa, 2007).
Information about the exotic and native fauna of
a region obtained in public markets should be
very useful when evaluating conservation plans
for those same natural resources (Almeida and
Albuquerque, 2002; Alves and Pereira Filho,
2007; Alves and Rosa, 2008; Alves and Santana,
2008; Broad, 2001; Yi-Ming et al., 2000).
In spite of their cultural and economic impor-
tance, however, very few ethnozoological inves-
tigations have examined these public markets in
any depth (Alves et al., 2013c). In many coun-
tries (such as Brazil) legal implications related
to the commercialization of wild animals (espe-
cially those listed as threatened with extinc-
tion) contribute greatly to the difficulty of freely
obtaining ethnozoological information in public
places.
In many countries, especially those located in
tropical regions that have great faunal diversity,
the illegal commerce in wild animals removes
many species from their natural environments.
This is certainly one of the gravest threats to
many populations of native species, and eth-
nozoological studies constitute an invaluable
tool for understanding the socioeconomic and
cultural context into which the commercializa-
tion of the wild fauna is embedded—an essen-
tial aspect to the elaboration of conservation
proposals.
FINAL CONSIDERATIONS
The connections between humans and other
species of animals involve predatory and sym-
biotic relations established in remote times, but
academic scholars have begun to examine this
theme with intensity. Human communities have
developed a huge store of knowledge about
animals down through the centuries (passed
from generation to generation, largely through
oral traditions) that is closely integrated with
many other cultural aspects. This zoological
knowledge is an important part of the human
cultural heritage that has been accumulating for
millennia.
Interactions between people and animals are
extremely varied and can be explored through
disciplines associated with the social and
 References
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the evaluation of the impacts of human popula-
tions on other animal species and in the devel-
opment of sustainable management plans—and
are thus fundamental to conservation efforts.
Additionally, local or traditional knowledge
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significant savings in comparison to the costs
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Ethnozoological studies also facilitate commu-
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phase. This implies that the field of ethnozool-
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by its sister disciplines of ethnobotany and eth-
noecology, although those areas are likewise
passing through continuous processes of reflec-
tion and self-criticism.
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 C H A P T E R
3
Zooarcheology: Investigating Past
Interactions Between Humans and
Other Animals
Steve Wolverton, Lisa Nagaoka
University of North Texas, Denton, TX, United States
INTRODUCTION
Zooarcheology is the study of animal remains,
such as whole and fragmented bone, teeth, ant-
ler, horn, shell, and other animal tissues, from
archeological sites. It is a field that fits well
under the umbrella of ethnobiology, which is the
study of human–biota and human–environmen-
tal interactions. Two research topics commonly
addressed in zooarcheology that are ethnobio-
logical include the study of past human diets
(or subsistence strategies) and the study of past
environments or landscapes that people lived
within. Zooarcheology also addresses other top-
ics, such as ritual and medicinal uses of animals,
within social archeology (Miller and Sykes,
2016; Russell, 2011). Here we concentrate on the
topics of subsistence and human–environmental
interactions over time.
In addition to the breadth of topics that are
traditionally addressed in zooarcheology, there
is increasing methodological diversity within
archeological chemistry, such as the study of
Ethnozoology
http://dx.doi.org/10.1016/B978-0-12-809913-1.00003-X 25
biomolecular remains and stable isotopes from
tissues and artifacts. In this chapter, we focus
on macrozoological remains, such as bones, ant-
lers, horns, teeth, shells, and fragments thereof.
In so doing, we hold four ontological positions
about how zooarcheology ought to be done.
First, laboratory practices in zooarcheology
must formally relate to decision rules and verifi-
cation procedures that fall within quality assur-
ance. In addition, taphonomic analysis is an
important component of data quality. Second,
quantitative, analytical approaches in zooarche-
ology should be conservative due to the nature
of sampling in archeology. Third, zooarcheolo-
gists should adopt a theoretical framework for
addressing research questions about subsistence
and past human–environmental interactions.
Researchers may adopt such a framework from
a number of perspectives in anthropology and
ecology; a theoretical framework from human
behavioral ecology, particularly from optimal
foraging theory, is adopted in the case study pre-
sented here. Fourth, zooarcheological data have
© 2018 Elsevier Inc. All rights reserved.
26 3. ZOOARCHEOLOGY
important environmental management implica-
tions in contemporary conservation biology and
restoration ecology.
The structure of this chapter follows the four
positions outlined in the preceding paragraph.
First, data quality and taphonomy are addressed;
second, quantitative analysis of faunal remains
from archeological contexts is addressed; third,
a case study using optimal foraging theory is
summarized; and the chapter concludes with a
section on applied zooarcheology in conserva-
tion science. Many of the points that are made
in this chapter have been summarized in other
chapters, articles, and books by zooarcheolo-
gists, but we do not cite them extensively here.
Primary sources that we draw extensively upon
include but are not limited to Broughton and
Miller (2016), Driver (2011), Lyman (1994, 2008),
Nagaoka (2001, 2002a,b), and Stiner (1994) (see
Tables 3.1 through 3.3).
DATA QUALITY
Zooarcheologists may or may not be part of
a larger team that works with research design
to recover archeological materials. In either
case, zooarcheologists receive faunal remains to
analyze after the excavation process, and even
though participation in fieldwork can provide
important information on recovery context,
identification of remains takes place in a labora-
tory setting with the use of a comparative skele-
tal collection. Thus, the quality of data produced
by the zooarcheologist and the validity of analy-
ses depend heavily on procedures that take place
after recovery (Dibble, 2015). Assuming detailed
knowledge of the archeological context from
which faunal remains were recovered, the zoo-
archeologist can directly influence data quality
in two ways: (1) employing a quality assurance
process; and (2) understanding the taphonomic
history of the remains that are analyzed. Selected
sources on data quality and taphonomy are pre-
sented in Table 3.1.
Quality Assurance
The process that ensures production of high
quality data is termed quality assurance, which
can be divided into two components—quality
control (QC) and quality assessment (QA). QC
concerns the laboratory processes and proce-
dures that comprise basic principles and a series
of decision rules for identifying faunal remains.
Previous papers on QC in zooarcheology by
Driver (2011) and Wolverton (2013a) have delin-
eated five decision rules for identifying and
reporting the results of faunal analysis that aid
in ensuring the validity of data. Here, we add
a sixth decision rule (see Rule 6 below). Use of
these rules refers to two fundamental principles
about the identification process. First, fragments
of bone (or other tissues) rarely retain morpho-
logical characteristics, such as diagnostic fea-
tures, that enable the analyst to identify them
to fine taxonomic categories, such as to the spe-
cies level. A second guiding principle is that all
instances of identification are hypothetical, thus
the criteria for making the identification need
to be explicated, recorded, and justified. The six
decision rules are guided by these two framing
principles.
Rule 1: Each Specimen Should be Identified
on its Own Merits
This rule refers to an unfortunate tendency
to practise “identification by association,” a
process by which if one analyzes remains from
the same context and if it appears that all of the
specimens, those with highly diagnostic features
and those without, appear to be from the same
species (or other taxonomic category, such as
genus) then because they are from the same con-
text they can all receive the same taxonomic des-
ignation. Identification by association can also
take place at the element scale, such that one
might assume that midshaft fragments of a long
bone with few or no diagnostic features can be
identified to a particular skeletal element (e.g.,
the femur) if they were recovered in association
 Data Quality 27
TABLE 3.1 Selected Sources on Data Quality, Taphonomy, and Quantification in Zooarcheologya
DATA QUALITY

Driver, J.C., 2011. Identification, classification, and zooarchaeology (with comments). Ethnobiology Letters 2, 19–39.

Gobalet, K.W., 2001. A critique of faunal analysis; inconsistency among experts in blind tests. Journal of Archaeological
Science 28, 377–386.

Lyman, R.L., 2002. Taxonomic identification of zooarchaeological remains. The Review of Archaeology 23, 13–20.

Wolverton, S., 2013. Data quality in zooarchaeological faunal identification. Journal of Archaeological Method and Theory
20, 381–396.
TAPHONOMY

Brain, C.K., 1983. The Hunters or the Hunted? An Introduction to African Cave Taphonomy. University of Chicago Press,
Chicago.

Haynes, G., 1983. A guide for differentiating mammalian carnivore taxa responsible for gnaw damage to herbivore limb
bones. Paleobiology 9, 164–172.

Lyman, R.L., 1994. Vertebrate Taphonomy. Cambridge University Press, New York.

Lyman, R.L., 2010. What taphonomy is, what it isn’t, and why taphonomists should care about the difference. Journal of
Taphonomy 8, 1–16.

Marean, C.W., Spencer, L.M., 1991. Impact of carnivore ravaging on zooarchaeological measures of element abundance.
American Antiquity 56, 645–658.

Nagaoka, L., Wolverton, S., Fullerton, B., 2008. Taphonomic analysis of the Twilight Beach seals. In: Clark, G., Leach,
F., O’Connor, S., (Eds.), Islands of inquiry: colonisation, seafaring, and the archaeology of Maritime Landscapes, Terra
Australis vol. 29, pp. 475–498.

Stiner, M.C., 1994. Honor Among Thieves: A Zooarchaeological Study of Neanderthal Ecology. Princeton University Press,
Princeton, NJ.

Wolverton, S., Randklev, C.R., Kennedy, J.H., 2010. A conceptual model for freshwater mussel (family: Unionidae) remain
preservation in zooarchaeological assemblages. Journal of Archaeological Science 37, 164–173.
QUANTIFICATION

Grayson, D.K., 1979. On the quantification of vertebrate archaeofaunas. Advances in Archaeological Method and Theory
2, 199–237.

Grayson, D.K., 1984. Quantitative Zooarchaeology: Topics in the Analysis of Archaeological Faunas. Academic Press, New
York.

Grayson, D.K., Frey, C.J., 2004. Measuring skeletal part representation in archeological faunas. Journal of Taphonomy 2,
27–42.

Lyman, R.L., 1994. Quantitative units and terminology in zooarchaeology. American Antiquity 59, 36–71.

Lyman, R.L., 2008. Quantitative Paleozoology. Cambridge University Press, New York.

Marean, C.W., Kim, S.Y., 1998. Mousterian large-mammal remains from Kobeh Cave behavioral implications for
Neanderthals and early modern humans. Current Anthropology 39, S79–S114.

Wolverton, S., Dombrosky, J., Lyman, R. L., 2016. Practical significance: Ordinal scale data and effect size in zooarchaeology.
International Journal of Osteoarchaeology 26, 255–265.
a This table is not intended to extensively cover the literature in these areas but represents readings we assign on these topics in our zooarcheology classes.
28 3. ZOOARCHEOLOGY
with fragments with diagnostic characteristics.
The problem is that one makes an assumption
that because remains were recovered in close
proximity, they are from the same individual
animal or portion of that animal’s carcass. This
assumption may be founded, but it is an archaeo-
logical conclusion to be made with data external
to the zooarcheological laboratory process. The
faunal analyst should refer the long-bone mid-
shaft remains only to the taxonomic category
that each specimen can defensibly be identified
to based on the morphological characteristics of
that specimen alone—for example, identifica-
tion to long-bone midshaft of “medium artio-
dactyl” or “large mammal” rather than to femur
of Odocoileus (the genus of white-tailed deer or
mule deer). An interpretation related to identifi-
cation by association can be noted in the identi-
fication comments for the specimen. This simple
step ensures the validity of the identification.
Alternatively, and permitting available time,
resources, and personnel, the analyst may seek
to refit fragmented specimens (e.g., Marean and
Kim, 1998), such that those without diagnostics
features are matched to those with such features.
Rule 2: Set the Universe
Faunal analysis focuses on identification of
remains from a particular geographic location
and period of time. Setting the universe requires
the zooarcheologist to determine what species of
animals are to be expected in the region surround-
ing and the time period represented by the arche-
ological site from which remains were recovered.
The zooarcheologist must have contemporary
information on the wildlife ecology and biogeog-
raphy of animal species likely to be represented
in the fauna, and comparative reference skeletons
(for vertebrates, exoskeletons for invertebrates)
will be required to make element and taxonomic
identifications. The researcher must also have
knowledge of the paleontological record and
whether or not biogeography of animal commu-
nities has changed since the period of occupation
corresponding to a zooarcheological sample.
Rule 3: Set Diagnostic Criteria
The faunal analyst must study osteological
reference materials, as well as published keys
and guides for criteria that enable separation
of remains by element and taxon. A specimen’s
identification is a hypothesis; the zooarcheolo-
gist is assessing if its osteological morphology
relates more closely to that of animals in one or
another taxonomic category (e.g., species, genus,
family, or higher-level units). Through compari-
son, potential species (or higher-level units) are
ruled out. There are multiple ways that zooarche-
ologists engage this process: (1) the most common
means is to use reference skeletal specimens of
known species and element; (2) published guides
and keys are available for some species in some
regions; and (3) the analyst may have to develop
and carefully record morphological or biometric
criteria. Development of criteria, use of published
standards, and use of reference materials consti-
tute QC because they represent protocols for the
laboratory. However, whether or not such stan-
dards produce valid identification of remains
from archeological sites is a different question, one
that requires research focusing on QA (see below).
Recording diagnostic criteria (as well as
assessment of those criteria) is particularly
important when the faunal analyst encounters
remains from what appears to be a rare species
or one for which the biogeographic range has
shifted. In addition, reference collections rarely
include individuals that capture intraspecific
variability in osteology (e.g., age and sex varia-
tion). Thus, analysts may need to employ more
than one collection from multiple institutions
(e.g., universities or museums) to verify their
identifications. Increasingly, identifications may
be verified using biomolecular approaches, such
as ancient DNA and ancient protein analysis.
Rule 4: Anticipate Difficult to Separate
Taxa
Recording diagnostic criteria is most important
when studying closely related species with simi-
lar osteological morphology. For example, in the
 Data Quality
American Southwest, members of the genus Lepus
(jackrabbits and hares) are commonly not identi-
fied to species because of overlapping morphol-
ogy. Indeed, it may be difficult to separate remains
between the genus Sylvilagus (cottontail rabbits)
and the genus Lepus within the family Leporidae.
Large cottontails and small jackrabbits are difficult
to separate because there is overlap in size. In the
same region two members of the genus Odocoileus
(mule deer and white-tailed deer) are thought to
have occurred in the past. For this genus, cranial
remains are easier to distinguish than postcranial
remains (Jacobson, 2003). Regardless of which
region one works in, the zooarcheologist must
become familiar with not just the universe of spe-
cies as candidates for identification but also which
species are closely related in terms of evolutionary
biology and whether or not shared biology leads
to similar osteological morphology.
Rule 5: Write a Systematic Paleontology
A systematic paleontology is a report that
presents a detailed description of how the iden-
tification process unfolds for a particular fauna
(Lyman, 2002). This report provides information
on how QC was accomplished during faunal
analysis in such a manner that other archeolo-
gists seeking to use the data can assess its quality.
Ideally, the report provides information on the
reference collections that were used, the details
of morphological and biometric criteria used to
make element and taxonomic identifications, as
well as justifications for why identification to
one or another taxon is warranted. Such reports
are the place where QC procedures are made
clear, but they are typically difficult to publish
in scholarly journals. The systematic paleontol-
ogy may be published as a chapter or appendix
in a thesis or dissertation, could be included as
online supplemental material, might be self-
archived through scholarly networking web ser-
vices (e.g., researchgate.net or academia.edu),
and/or could be curated digitally with data
produced from the analysis using digital library
and archiving resources (e.g., Open Context).
29
Rule 6: Make Data Accessible
Resources are increasingly available for mak-
ing data generated through faunal analysis avail-
able to the scholarly community (Kansa, 2015).
For example, Open Context archives data from
archeological projects in a format that makes data
generally accessible to other researchers. Data
archiving services are increasingly provided by
universities; what is required to use Open Context
or university services is a data management plan
crafted during research design, which includes
budgeting funds to pay for this type of service.
Alternatively, researchers can make datasets avail-
able as supplemental material when scholarly
research is published in peer-reviewed journals.
If such resources are not available, either because
a journal does not support publication of datas-
ets or due to lack of financial support, researchers
can post datasets through self-archiving web ser-
vices, such as researchgate.net and academia.edu.
One advantage of more comprehensive services,
such as Open Context or digital archives at uni-
versities, is that a systematic paleontology report
can easily be archived with datasets.
Moving From Quality Control to Quality
Assessment
QC is a critically important process that relates
to how confidently one can assess the validity
of published studies. To demonstrate that QC is
important in scholarly articles and conference pre-
sentations, authors do not have to report their full
QC protocol; rather, they can simply cite important
papers that document the general rules for insur-
ing QC to illustrate that their laboratory process
addresses concerns of data quality. The adoption
of QC rules in zooarcheology facilitates confidence
in the validity of identifications that support raw
data underlying scholarly research; however, a
separate step is required to address whether or
not QC protocols are meaningful—QA.
QA includes practices—indeed full studies—
that verify the integrity of the protocols of QC.
Each rule discussed above can be studied in
30 3. ZOOARCHEOLOGY
terms of QA. In general, laboratory procedures
might be reviewed independently by colleagues
to ensure that components of QC are included in
the process. Moreover, there are a number of spe-
cific practices that can be adopted to achieve QA.
An increasing number of zooarcheologists
reanalyze a random subsample of each assem-
blage they study to determine an identification
error rate. This is particularly useful for early
career zooarcheologists as it is well-known that
ability to identify faunal remains improves with
experience. Zooarcheologists have remarked
that with experience identification becomes less
taxonomically specific as analysts become pro-
gressively more aware of which species are too
difficult to distinguish based on morphological
and/or biometric criteria (see Rule 4 above).
QA includes probabilistic assessment of mor-
phological and/or biometric identification cri-
teria to verify their accuracy (e.g., Hager and
Cosentino, 2006; Jacobson, 2003; Munro et al.,
2011). Ideally, zooarcheologists survey osteologi-
cal comparative collections and assess such cri-
teria using skeletal specimens of known species,
age, and sex. Such studies consider a variety of
analytical problems and scales; for example, for
a single species, morphological or biometric cri-
teria on paired elements can be used to develop
approaches for determining the minimum num-
ber of individuals (MNI) represented in a faunal
assemblage. Alternatively, subtle morphological
criteria can be studied to determine whether or
not closely related species can be reliably sepa-
rated. Biometric analysis of size and shape of
particular elements to support taxonomic identi-
fication can also be assessed in a similar manner.
Zooarcheologists can more confidently incorpo-
rate criteria into QC once they have been assessed
using osteological specimens of known identity.
Care must be taken, however, as intraspecific
osteological variability is difficult to represent in
reference collections from zooarcheology labora-
tories and natural history museums.
It is common in fields such as environmen-
tal chemistry to have QC procedures audited by
an independent researcher. Similarly, entomolo-
gists engage third-party analysts to verify insect
identifications, a practice that is increasingly
common among zooarcheologists, particularly
for remains from closely related species that are
difficult to separate. In addition, biomolecular
approaches, such as paleoproteomics and analy-
sis of ancient DNA, can be employed either to
assess or verify identification of remains based
on morphological or biometric criteria. Such
approaches are now being used to produce pri-
mary data in faunal analysis, that is, to iden-
tify fragments of bone that cannot be identified
using conventional approaches (e.g., Welker
et al., 2015). QC and QA practices in zooarcheol-
ogy will undoubtedly grow and change as the
field continues to evolve; an important com-
ponent of zooarcheology that relates to quality
assurance is to analyze the taphonomic history
of animal remains from faunal assemblages.
TAPHONOMIC ANALYSIS
Taphonomy is the study of the transition of
organic matter from the biosphere to the litho-
sphere, and the word literally means “burial
studies” (see Lyman, 1994 for thorough discus-
sion; see Broughton and Miller, 2016 for a basic
summary). Zooarcheologsts and paleontolo-
gists recognize that this transition can involve a
substantial variety of processes and effects that
relate to an array of taphonomic agents. Such
processes can be additive—meaning that signa-
tures of processes, such as weathering, butchery,
or animal gnawing (e.g., rodent or carnivore),
might be left on bone—telling the zooarcheolo-
gist about the history of taphonomic damage
after the animal died and prior to excavation.
Alternatively, taphonomic agents can be sub-
tractive; for example, gnawing and digestion
of bone by carnivores can destroy portions of
skeletal elements or complete bones. The mag-
nitude of such damage varies among species
of carnivores and may even differ within the
 Quantification
same species depending on environmental and
behavioral settings [e.g., how productive the
environment is or how hungry the carnivore is;
see Nagaoka (2015)].
The taphonomist—in this case the zooar-
cheologist who is studying the taphonomy of
remains from an archeological site—is writing
a detailed narrative (a taphonomic history) of
the processes that influenced the skeletal and
taxonomic composition of the remains she/he is
studying. In some cases, taphonomists are able
to apply general rules of thumb. For example,
zooarcheologists can easily determine whether
or not a faunal assemblage was influenced by
“density mediated destruction” of remains. In
such cases, low-density (and thus less robust)
bones and parts of bone are of lower abundance
or are absent compared to portions and elements
that are higher density (more robust). A number
of processes can lead to differential destruction
of low-density portions and elements, such as
animal gnaw damage, weathering, and even
hydrological transport, which produces sepa-
rate lag and transported deposits. Similarly, the
shape of skeletal (or exoskeletal) elements can
influence whether or not destruction or preser-
vation occurs (Darwent and Lyman, 2002).
In other cases, the taphonomic history of an
assemblage may be quite unique, related either
to exceptional preservation or destruction con-
ditions. For example, natural trap caves may
attract and accumulate high numbers of carni-
vores (and their remains), compared to midden
deposits near prehistoric villages and camps. If
a carnivore is trapped in a cave but survives for
a period of time, it is likely that any previously
deposited animal remains will be extensively
gnawed. In contrast, animal remains deposited
in trash middens near archeological sites, may
or may not have attracted carnivores, but may
also have been differentially exposed to weath-
ering from wind, precipitation, and soil condi-
tions. If people cooked meat without removing
bones, or if bones were smashed to increase sur-
face area for processing within-bone nutrients,
31
such as grease, then yet a different taphonomic
narrative will emerge during analysis.
Correspondingly, taphonomy is an itera-
tive process that balances the study of what
are known to be general, identifiable effects
with the unique historical contingencies of ani-
mal death, butchery, transport, consumption,
discard, burial, and preservation. Identifiable
taphonomic effects might include marks from
hammering and fracturing bone to remove
marrow or carnivore tooth marks from gnaw-
ing. However, the degree to which each (or
any other taphonomic agent) influences the
character of a zooarcheological assemblage of
remains depends on the cultural and environ-
mental setting—or the configuration—of the
taphonomic history. Striking this iterative bal-
ance is intimately related to assessing data qual-
ity because studying the taphonomic history of
one or another assemblage of animal remains
may lead to the conclusion that it is useful for
answering one type of archeological research
question but not others. Because taphonomic
histories of faunal assemblages influence what
a particular dataset represents about prehistory,
it is important to make conservative statistical
assumptions when quantifying zooarcheologi-
cal remains.
QUANTIFICATION
There are two aspects of quantification cov-
ered here: (1) two fundamental quantitative
units; and (2) descriptive and inferential sta-
tistics. Selected sources on quantification in
zooarcheology are presented in Table 3.1. The
basic quantitative unit employed in zooarcheo-
logical research is the tally of animal remains,
such as whole bones and fragments of bones,
which have been identified to taxon and to skel-
etal element. Each fragment or whole element
represents a specimen, and thus the number
of identified specimens (NISP) for an assem-
blage is the complete tally of identified remains.
32 3. ZOOARCHEOLOGY
Zooarcheologists use NISP of faunal remains
to contrast the taxonomic abundance of vari-
ous animals (e.g., species) from an assemblage.
Comparatively, one might explore whether
or not the taxonomic abundance of a species
(or higher-level taxonomic category) differs
between assemblages or changes over time,
which could indicate a change in subsistence
strategy or local environment. In addition, the
zooarcheologist might also tally the NISP of
particular skeletal parts from a single type of
animal in an assemblage to address research
questions about butchery patterns, carcass pro-
cessing, and/or transport of animal resources
from hunting locations to camps or villages. An
inherent weakness of NISP, because it is a tally
of fragments and whole elements, is that differ-
ential fragmentation can lead to inflated counts
in one or a few categories and deflated counts in
others, particularly at ratio scale. This is known
as the problem of specimen interdependence,
which amounts to double- (or triple- or greater)
counting. Because of the potential deflation and
inflation effects of interdependence, some quan-
tification experts in zooarcheology have con-
cluded that NISP is at best an ordinal scale as
opposed to ratio-scale measure of taxonomic or
element abundance (e.g., Grayson, 1984; Lyman,
2008). Ordinal-scale measures convey more-
than and less-than relationships but do not pro-
vide the precision to determine the magnitude
of difference.
The MNI is calculated to overcome the prob-
lem of interdependence. In a faunal assemblage,
MNI is the number of individual animals rep-
resented by the tallied fragments and whole
bones. Specimens are visually inspected in
terms of morphology to determine if more than
a single element from a single animal of the
species (or higher-level taxon) is represented.
For paired elements (e.g., humeri, femora, tib-
iae, and the like), this inspection is done with
left- and right-side elements and portions of
elements. The element that is most commonly
occurring in the assemblage represents the MNI.
Thus, MNI solves the problem of multicount-
ing or interdependence inherent with NISP. Its
use, however, introduces a separate problem
termed the effect of aggregation. Depending
on how the researcher separates or aggregates
assemblages into larger or smaller subsamples,
the most abundant element is likely to change.
One might study a faunal assemblage from a
stratum with three excavation levels; the stra-
tum as a whole might have humeri of a species
as the most abundant element, with perhaps 9
lefts and 7 rights represented, equaling MNI of
9. Broken down by level, however, MNI could
change. If Level I had 4 lefts and 1 right, Level II
had 2 lefts and 6 rights, and Level III had 3 lefts
and 0 rights, the MNI for Level I would equal
4, that for Level II would equal 6, and that for
Level III would equal 3. MNI for the three levels
added together would then be 13 instead of 9 for
the stratum depending on whether or not one
aggregated the stratum as a whole or summed
the MNI for the level assemblages. Thus, NISP
and MNI have contrasting strengths and weak-
nesses as quantitative units; MNI overcomes
interdependence but introduces effects of
aggregation, whereas NISP overcomes prob-
lems of aggregation but introduces a problem
of interdependence. Fortunately, multiple stud-
ies have shown that at ordinal scale, MNI and
NISP tend to correlate to one another, and in
such cases, aggregation is a bigger problem than
interdependence. Because MNI is derived from
NISP, we advocate that zooarcheologists always
report NISP and that if MNI is used researchers
clearly present how it is calculated.
Regardless of which quantitative unit one
uses, MNI or NISP, to compare taxonomic
and/or element abundances, quantitative zoo-
archeological data are at best ordinal scale.
Zooarcheological data are produced from obser-
vations of faunal remains from assemblages that
were not randomly sampled from prehistoric ani-
mal populations, passing through the so-called
“cultural filter” (Daly, 1969). Faunal remains
also pass through a taphonomic history, which
 A Theoretical Framework
may or may not reduce confidence in the rep-
resentativeness of past animal populations. The
zooarcheologist may be interested in target vari-
ables that relate to the life assemblage (the past
living population) of prehistoric animals, such
as the population’s age structure. Alternatively,
target variables might relate to the death assem-
blage, or what was killed and exploited by hunt-
ers in the past. Because the life assemblage and
death assemblages are not sampled directly, it is
imperative to understand the taphonomic his-
tory of the faunal assemblage, but it also criti-
cal that the zooarcheologist adopt conservative,
ordinal-scale statistical assumptions.
A conservative approach can be accom-
plished by adopting nonparametric (or ordinal-
scale) descriptive statistics, such as using the
median (nonparametric) as a measure of central
tendency as opposed to the mean (parametric)
or the interquartile range (nonparametric) as
opposed to the standard deviation or variance
(parametric). In addition, there are several con-
servative nonparametric inferential approaches
that are cousins to well-known parametric tests.
For example, the independent two-sample t test,
which assesses a difference in means, can be
replaced with the Mann–Whitney U test, which
assesses medians. Spearman’s rho correlation
(rank order nonparametric correlation) is a more
conservative approach than Pearson’s r correla-
tion. The reason these descriptive and inferen-
tial tests are conservative is that they avoid the
assumption of normality, which directly concerns
the precise, ratio-scale variability of individuals
within samples around means through reliance
on the central limit theorem. Normality requires
assumptions about the way error behaves in
random, representative samples at ratio scale.
Zooarcheologists, indeed archeologists in gen-
eral, study samples that are of unknown repre-
sentativeness and that are certainly not random,
making our data ordinal scale at best, necessi-
tating this shift away from assuming normality.
For more detailed information on descriptive
and inferential statistics in zooarcheology, see
33
Wolverton et al. (2016). The statistical assump-
tions we do or do not make influences the way
that we logically frame research questions using
theoretical frameworks.
A THEORETICAL FRAMEWORK
Anthropology and ecology provide a num-
ber of theoretical perspectives with which to
frame zooarcheological research. The case study
we present in this chapter is framed within
optimal foraging theory (OFT) from evolution-
ary ecology. As with any theory that concerns
exploitation of animal populations and human
subsistence in the past, OFT requires fundamen-
tal assumptions about human behavioral ecol-
ogy. We first discuss the basic premises of OFT
and then summarize a zooarcheological case
study on prehistoric hunting at the Shag Mouth
site in New Zealand. Comprehensive treatment
of OFT in ecology can be found in Stephens and
Krebs (1986), and many details of its application
within anthropology can be found in papers
in Smith and Winterhalder (1992). In addition,
Broughton and Cannon (2010) edited a volume
of important archaeological papers. We rely on a
large body of ecological and zooarcheological lit-
erature to frame OFT; we present resources that
we consider to be essential reading in Table 3.2,
rather than cite multiple studies in this section.
OFT developed within evolutionary ecology
in the 1960s and 1970s. A commonly used model
framed within OFT is the prey choice model, which
states that foraging decisions about which ani-
mals to hunt during foraging bouts are adaptive
in the short term (see The Optimality Assumption
section). Foraging efficiency, or the net return of
hunting and gathering, is assumed to be maxi-
mized. In terms of diet breadth, new species are
only added to the dietary array once foraging
efficiency declines to the point that it is optimal
to include a less desirable (lower ranked) species.
Thus, hunters are optimizers who maximize for-
aging efficiency during hunting trips.
34 3. ZOOARCHEOLOGY

TABLE 3.2 Selected Zooarcheological and Ecological Sources on Optimal Foraging Theorya

ZOOARCHEOLOGY

Broughton, J.M., 1994. Late Holocene resource intensification in the Sacramento Valley, California: the vertebrate
evidence. Journal of archaeological Science 21, 501–514.

Broughton, J.M., 1997. Widening diet breadth, declining foraging efficiency, and prehistoric harvest pressure:
ichthyofaunal evidence from the Emeryville Shellmound, California. Antiquity 71, 845–862.

Broughton, J.M., Cannon, M.D. (Eds.), 2010. Evolutionary Ecology and Archaeology: Applications to Problems in
Human Evolution and Prehistory. University of Utah Press, Salt Lake City.

Broughton, J.M., Cannon, M.D., Bartelink, E.J., 2010. Evolutionary ecology, resource depression, and niche construction
theory: applications to central California hunter-gatherers and Mimbres-Mogollon agriculturalists. Journal of
Archaeological Method and Theory 17, 371–421.

Butler, V.L., 2000. Resource depression on the northwest coast of North America. Antiquity 74, 649–661.

Cannon, M.D., 2003. A model of central place forager prey choice and an application to faunal remains from the
Mimbres Valley, New Mexico. Journal of Anthropological Archaeology 22, 1–25.

Jones, E.L., 2006. Prey choice, mass collecting, and the wild European rabbit (Oryctolagus cuniculus). Journal of
Anthropological Archaeology 25, 275–289.

Munro, N.D., 2004. Zooarchaeological measures of hunting pressure and occupation intensity in the Natufian. Current
Anthropology 45, S5–S34.

Nagaoka, L., 2001. Using diversity indices to measure changes in prey choice at the Shag River Mouth site, southern
New Zealand. International Journal of Osteoarchaeology 11, 101–111.

Nagaoka, L., 2002. The effects of resource depression on foraging efficiency, diet breadth, and patch use in southern
New Zealand. Journal of Anthropological Archaeology 21, 419–442.

Stiner, M.C., Munro, N.D., Surovell, T.A., Tchernov, E., Bar-Yosef, O., 1999. Paleolithic population growth pulses
evidenced by small animal exploitation. Science 283, 190–194.

Ugan, A., 2005. Does size matter? Body size, mass collecting, and their implications for understanding prehistoric
foraging behavior. American Antiquity 70, 75–89.
ECOLOGY

Charnov, E.L., 1976. Optimal foraging, the marginal value theorem. Theoretical Population Biology 9, 129–136.

Charnov, E.L., Orians, G.H., Hyatt, K., 1976. Ecological implications of resource depression. The American Naturalist
110, 247–259.

MacArthur, R.H., Pianka, E.R., 1966. On optimal use of a patchy environment. The American Naturalist 100, 603–609.

Orians, G.H., Pearson, N.E., 1979. On the theory of central place foraging. In: Horn, D.J., Stairs, G.R., Mitchell, R.D.
(Eds.), Analysis of Ecological Systems, Ohio State University Press, Columbus, pp. 155–177.

Schoener, T.W., 1971. Theory of feeding strategies. Annual Review of Ecology and Systematics 2, 369–404.

Schoener, T.W., 1979. Generality of the size–distance relation in models of optimal feeding. The American Naturalist
114, 902–914.

Southwood, T.R.E., 1977. Habitat, the templet for ecological strategies? The Journal of Animal Ecology 46, 337–365.

Stephens, D.W., Krebs, J.R., 1986. Foraging Theory. Princeton University Press, Princeton, NJ.
a This table is not intended to extensively cover the literature in these areas but represents readings we assign on these topics in our zooarcheology
classes.
 A Theoretical Framework
Many zooarcheological studies document
resource depression, which is a decline in the
availability of a prey population caused by
actions of the predator. Charnov et al. (1976)
envisioned three types of resource depres-
sion: exploitation depression related to mortal-
ity caused by predation (harvest); behavioral
depression due to changes in prey behavior in
proximity to predators (e.g., hiding); and micro-
habitat depression in which prey animals leave
an area to avoid predators. Resource depression
is at times misunderstood to mean “any decline
in prey populations”; however, animal resources
(or other types of resources) can decline in
availability because of environmental change,
which is an important alternative hypothesis to
resource depression.
Other zooarcheological studies employ the
patch choice model, which shifts the geographic
scale of foraging efficiency to the types of habi-
tats that are exploited. Resource patches become
the spatial unit of foraging rather than the loca-
tion of individual prey animals, and decisions
about which ones to exploit are based on the net
returns of the patch instead of the net returns of
the animal. Charnov (1976) framed the marginal
value theorem (MVT) to conceptualize how
foragers make decisions when resource depres-
sion takes place within patches as occurred in
the New Zealand example near the Shag Mouth
site (see below). New patches may be added if
the average net return rate for other available
patches decreases to the point that the new
patches are then profitable to exploit.
Application of OFT in zooarcheology is often
more nuanced than simple use of these mod-
els, though they have been applied widely.
Theoretical expectations have been developed
related to foraging from central places, such as
base camps. The MVT has also been applied at
a finer scale in butchery and transport studies.
Ranking of prey species in terms of foraging
returns often uses the proxy of body size, but
other currencies of net return have been concep-
tualized such as prey speed. Clearly, humans are
35
innovators who improve technological means for
hunting, fishing, gathering, and producing food,
and these processes have also received attention
in archeological studies. In literature, this is play-
ing out in terms of implementing niche construc-
tion theory (NCT) in archeology, which holds
that humans (and other animals) are capable
of modifying the selective environment includ-
ing the possibility of increasing net return rates
of resources. In sum, multivariate approaches
have been developed for application of OFT in
zooarcheology. A common characteristic of zoo-
archeological data is that samples are time-aver-
aged palimpsests representing multiple foraging
bouts, which we believe has led some skeptics
to conclude that researchers who employ OFT
in zooarcheology may ignore the subtle ecolo-
gies (sensu Wyndham, 2009) of human foraging
behaviors. We believe this skepticism is based on
a misunderstanding of the optimality assump-
tion as invoked in archeology.
The Optimality Assumption
A critical assumption of OFT is that decisions
about prey selection are based on economic opti-
mization. Species that are included in the diet
are taken upon encounter because it is adaptive
or optimal to do so. What is meant by optimality?
According to famed British ecologist Southwood
(1977), an optimal decision occurs when the
energetic returns of, say hunting here/now out-
weigh those of waiting here, or waiting to go there/
later reflecting the constraints of time and space
contingencies on decision-making (Fig. 3.1).
Alternatively, it may be favorable to wait here or
to forage there later if local resources are depleted.
In terms of NCT, some organisms (humans in
particular) can influence resource return rates
through modification of environments, trans-
forming a previously undesirable resource into
a more optimal one. For example, agricultural
intensification using the logic of Southwood’s
simple model (Fig. 3.1), would transform invest-
ment through technological innovation and
36 3. ZOOARCHEOLOGY
FIGURE 3.1 A conceptual model of patch use from
Southwood (1977:339, after figure 1), which he entitled
the “favorableness matrix,” where r refers to the “rate of
increase” related to each strategy. The square with rc is in
gray, because it is impossible for a forager to be there now.
plant tending in the here or there patch with the
intention of providing increased returns later.
Trapping, as another example, might be invest-
ment in the there patch converting what might
previously have been hunted resources into
collected ones—later. Other examples include
construction of clam gardens (Groesbeck et al.,
2014), feeding of animals, and technology
employed in mass harvest, such as game drives
(see also Madsen and Schmitt, 1998).
If the optimality assumption holds, then deci-
sions about what prey to take (and when) will
change based on the availability of preferable
prey animals (and other desired resources). In
the short term, people clearly make decisions
that may not be optimal for the long term, thus
“sustainability” continues to be an issue in many
human societies. If the short term and long term
are not distinguished by zooarcheologists, it is
a problem of scale. What evolutionary ecolo-
gists consider are the short-term contingen-
cies and decisions that took place on foraging
bouts; long-term effects are not what are being
assumed to be optimized.
The optimality assumption continues to come
into question because it is easy to imagine unreal-
istic scenarios; clearly foragers did not do econo-
metric cost–benefit analyses during foraging
bouts. Nor was decision-making an acultural
black-box-response to environmental stimuli.
Rather, foraging decisions likely reflected deep
traditional ecological knowledge (TEK) compris-
ing “subtle ecologies” of what resources consti-
tuted reliable and efficient foods within a suite
of environmental constraints. Subtle ecologies,
which are difficult to observe and quantify even
in extant human cultures, comprise “slow rela-
tions that rely on diffuse causalities and micro-
effects related to invisible or fleeting action”
(Wyndham, 2009, p. 272). In times of change, use
of alternative resources came from similar TEK.
OFT models in archeology simply seek to record
the results of these short-term decisions and to
study if and how foraging behaviors changed
over time. What we often observe in faunal
data are palimpsests of remains accumulated
from many foraging bouts. This may, in fact, be
advantageous because for a foraging strategy to
persist we are arguing that it must have been on-
average adaptive. Less optimal behaviors likely
occurred, and are part of the variability in this
long-term average. Whether or not zooarcheo-
logical palimpsests are representative of this for-
aging average is a question of data quality and
taphonomy (see earlier sections).
Suspicion that OFT is teleological concerns
how to explain change. How could have people
made optimal decisions that lead to resource
depression? This is where long-term and short-
term scales become conflated. Optimality only
refers to the short term, but foraging efficiency
can change over time. What makes OFT robust
instead of teleological is that it aids in spell-
ing out alternative hypotheses for explaining
changes in foraging efficiency over longer peri-
ods represented in the archeological record. If
humans caused a reduction in prey abundance,
then resource depression occurred as an average
influence of foraging bouts over time. If habi-
tat productivity for high-ranked prey declined,
resource depression did not occur, but the envi-
ronmental constraints on foraging would have
changed over time. Alternatively, if foragers
Another random document with
no related content on Scribd:
Gebel the principal constituents of the sudd are the papyrus and the
‘um soof’ reed. Both these plants grow with their roots bedded in the
soil below the shallow water of the lagoons. Strong gales are
prevalent in these latitudes, and these loosen the roots, so that, if the
storms are accompanied by flood, large masses of the plants are set
free, and begin drifting over the lagoons. Quantities of earth remain
clinging to their drifting roots, and thus they are driven backwards
and forwards by the wind. The storms come generally just before the
flood, and thus there is plenty of water for the reeds to float in.
Eventually they are driven, whole acres at a time, into the channel of
the river, and are carried down the stream. But the channel being
very narrow and winding, they soon get caught up, and a block
occurs. New masses come down, and these are sucked by the
stream under the original block, till a dense mass is formed,
sometimes as much as over 20 feet thick, and so solid that a man
can walk over it. If left to themselves, these blocks may last a very
long time, and cause the river to change its course; or else by
increased pressure the block is burst, and a great wave passes
down the river, which sweeps all other blocks away. Years of high
flood are generally followed by a great deal of sudd.
It appears that the conditions on the river between Lake No and
Shambe are much more favourable to blocking by sudd than they
used to be. In 1840 Mehemet Ali sent a scientific expedition under
D’Arnaud to explore the White Nile. At that time the main stream
through the sudd country was much bigger and stronger. No mention
is made of the Bahr el Zeraf at all, which looks as though it was of
much less importance, at any rate. They noticed, however, a number
of openings in the banks between the river and the swamps, some
natural, but some artificial, made by the natives for fishing purposes.
It is plausibly argued by Sir W. Willcocks that these openings were
later widened by the natives to enable them to escape in their
canoes from the slave-dealers, and then by the slave-dealers
themselves, escaping in their turn from Government patrol boats. All
these spills would drain into the Bahr el Zeraf, which gradually
became a navigable stream in its lower part. In 1863 Sir Samuel
Baker ascended the Bahr el Gebel without any difficulty; but in that
year there was a very high flood and a great deal of sudd. Returning
in 1865, Baker found the river north of Lake No considerably
blocked. In 1870 Baker was unable to ascend the Bahr el Gebel with
his expedition to Equatoria, and went by the Bahr el Zeraf. He cut
through the sudd in that stream with prodigious labour, and had
finally to cut a ditch through 2,000 feet of solid clay. Even then the
Bahr Zeraf level was so much below that of the Bahr el Gebel that he
could not get his boats through until he had dammed the Zeraf
behind them so as to lift them up. In 1873 he says he found the
canals much improved by the force of the stream. All this naturally
contributed to weaken the power of the main stream and render it
very liable to sudding.
In 1874, when the river was low, the sudd was cleared away by
Ismail Pasha Ayoub, then Governor-General of the Soudan, and all
through Gordon’s time in Equatoria there was free passage, but the
channel had dwindled very much. The heavy flood of 1878 brought
the sudd down again worse than ever, where it remained until
cleared by Marno in 1880. It was in that year that Gessi, on his way
back from his province, was caught and suffered such hardships in
the sudd on the Bahr el Ghazal. He was only rescued by the
appearance of Marno. Unfortunately, no record has been left of the
methods which Marno employed in the work, but he spoke of it as
quite an easy matter.
Little is known of the state of the sudd during the years of the
Mahdi and the Khalifa; but in 1898 Lord Kitchener found the Bahr el
Gebel blocked by sudd immediately above Lake No; and about the
same time Colonel Martyr, coming from Uganda, was unable to
penetrate more than 20 miles north of Shambe for the same reason.
As soon as the Khalifa had been finally crushed, operations to clear
the channel were immediately undertaken. In the first three months a
length of 80 miles of river had been cleared, including 5 miles of
actual sudd in eleven blocks, besides three more blocks which broke
away of themselves. The blocks that came away of themselves
represented a very large amount of sudd. After one of them had
burst, the floating weed took thirty-six hours to pass a given point.
The effect produced by the sudd in damming up the river is
illustrated by the fact that when the third block, which was nearly 20
feet thick, was removed, the upstream level fell 5 feet in four days,
and all the swamps and lagoons began to drain into the river.
The amount of labour was prodigious. At one place, owing to the
enormous masses of um soof and papyrus that kept pressing into
the river, no less than eleven clearances had to be made in one year.
Five gunboats and 800 dervish prisoners, besides officers and
guards, were employed. Sir W. Garstin gives an interesting
description of the methods by which the sudd was removed:

‘In the first place, the papyrus and reeds on its surface were burnt (curious to
relate, these green reeds burn readily when the marsh is dry), and in a few hours’
time the surface of the sudd was an expanse of blackened stalks and ashes. As
soon as the fire had died down, gangs of men were landed from the steamer and
employed in cutting trenches on the surface of the sudd. These trenches averaged
from 0·60 to 0·80 metre in width, and from 1 to 1·25 metres in depth—i.e., as deep
as the men could work. The surface was thus divided into a number of rectangular
blocks some 3 metres by 4 metres. To these blocks were attached, one by one,
steel hawsers and chains. This done, the steamer downstream went full speed
astern. It invariably took several pulls to detach a block, and in some instances as
many as nine were necessary. Both hawsers and chains kept constantly breaking,
although the former were calculated to stand a strain of 35 tons per square inch,
and the latter as much as 60 tons. As soon as a block was detached from the
mass, it was allowed to float downstream. It was curious to see the green reeds
and papyrus which had been confined beneath it reappear on the surface of the
water. A horrible stench prevailed from the rotting vegetation.’

In 1900-1901 four more blocks were removed. An experiment was

made to break up one of the blocks by means of explosives, but it
was found that the sudd, though very solid, was too elastic, and the
only effect was to make large holes in it and no more. The old
method had to be once more resorted to. By the end of 1901 only 23
miles of the channel remained uncleared, but this proved to be the
most difficult of all. One block was actually 7 miles in length. Portions
of the sudd had rotted, and, sinking to the bottom, completely filled
up the channel, so that there was no stream at all, and it was
impossible to tow pieces away and float them downstream by the
usual process. To get up the river it is still necessary to go round by
a series of lagoons, in which navigation is difficult, and operations
have been suspended for the present.
The sudd in the Bahr el Ghazal was much easier to remove, and
great progress has been made, so that now the whole of that river is
free, and boats can even ascend the Jur River to Wau.
It is very difficult to ascertain the precise effect of the removal of
the sudd on the water-level in Egypt. But it is certain that as each
block was removed a quantity of water drained off the marshes and
helped to diminish the fall of the river in summers of very small
supply. Most of this water, spread out over a large surface, must
otherwise have been evaporated and lost altogether. There can be
no doubt that the improvement of the channel has been a permanent
gain to Egypt of a very substantial kind, to say nothing of the
advantage to the Soudan from the opening up of such an important
line of communication. Those who laboured at the task deserve the
highest praise. The river was so low that all communication with
Khartoum was cut off for several months, and transport of supplies
was always difficult. Besides this, the climate is always unhealthy,
and the mosquitoes at night are almost beyond endurance.
Under present conditions it will require constant care and
watchfulness, especially in years of high flood, to prevent the sudd
from frequently obstructing the river. But if the danger is to be
permanently removed, the main channel must be so much improved
by widening and deepening it that it will carry a greater volume. This
will at the same time prevent the water from being dissipated in the
marshes, and diminish the chances of any obstruction. The
necessity for some work of this kind, if there is to be a reservoir at
Lake Albert or Lake Victoria, has already been referred to. The
clearing of the sudd is only the essential preliminary to the greater
scheme.
One point remains to be noticed. Under the old basin system in
Egypt there could hardly be too high a flood, nor did a low summer
Nile create any extraordinary difficulties when there was so little
summer cultivation. But with perennial irrigation a high flood
becomes a matter of supreme anxiety, and the preservation of its
dykes is the anxious care of every village. On the other hand, all the
schemes for reservoirs aim at increasing the summer supply. If the
Bahr el Gebel was trained so as to bring down more water in
summer, it would also bring down more in flood, though the swamps
would still act as an escape for the waters beyond a certain rise. It
might therefore become a matter of great importance to Egypt to
actually diminish the supply during the flood, especially as year by
year more of the basin land is converted to perennial irrigation.
Regulators at Lakes Victoria and Albert would serve in some degree
for flood protection as well as for storage against summer use. It is
calculated that the complete closing of the outlet of Lake Victoria at
the Ripon Falls would only raise the surface of the lake 20 inches in
a year. But it would be far more effective if some of the flood-waters
of the rivers—e.g., the Blue Nile and the Atbara—which are fed by
the rains of Abyssinia could be intercepted before they reached
Egypt. A large irrigation during the flood and early winter along the
Blue Nile might indeed actually lengthen out the flood in Egypt, whilst
depriving it of danger through excess at any one period.
 CHAPTER XIII

THE UNITY OF NILELAND

It is no longer possible to think of our occupation of Egypt as merely

a stepping-stone on the road to India—‘the Englishman reaching far
over to his loved India.’ Still less can it be looked upon solely as a
means for the regeneration of Egypt and the education of her people
till they are able to pass from a state of tutelage and stand securely
by themselves. Certainly, great strides have been made in this
direction. If Egypt were the whole matter we might hope that in time,
but not in one or two generations, a race of native administrators
might rise up, to whom the affairs of that country might safely be left.
But Egypt is only a portion of the great country of the Nile. Looking
southward from Alexandria or Suez, the horizon is only bounded by
the sources of the Nile, and these do not well up at Assouan, as
Herodotus was told. We might hope that the Egyptians would be
capable of managing Egypt; but not the most sanguine enthusiast
could imagine a period of time sufficient to make them capable of
managing the Soudan. A cry of ‘The Soudan for the Soudanese’
would hardly be more ridiculous. The story of the binding of the Nile,
incomplete as that story is at present, makes one thing, at least,
perfectly clear, and that is, that all Nileland is one country. No divided
sovereignty is possible; there must be one firm hand over all.
It would have needed a preternaturally keen eye to perceive that
from the moment we began to patch the old Barrage the occupation
of the whole Valley of the Nile was inevitable. Looking back, it is
easy to see how it all followed in logical sequence. Everything
depended on the Nile. The more Egypt was developed, the greater
grew the need for the regulation of the water. The rulers of Egypt
need have troubled little about the fate of countries divided from
them by so many leagues of rainless desert, but for the link of the all-
important river.
 It sounds a far cry from the snows of Ruwenzori, the lakes and
swamps of Equatorial Africa, or the rain-swept hills of Abyssinia, to
the cotton-mills of Lancashire. The Egyptian peasant, lifting water on
to the fields of the Delta, knows that the connection is close enough.
We have our own direct commercial interest in holding the Valley of
the Nile, and Egypt is still on the road to India. Apart, therefore, from
the duties which rest upon us as a civilized Power, we are doubly
responsible for the welfare of the people of the Nileland.
Fifty years ago a distinguished English sailor travelled to
Khartoum and El Obeid, and published an account of his journey in a
little volume entitled ‘A Ride across the Nubian Desert.’ In eloquent
words he describes the wonders of the Nile’s course, and continues:

‘Surely the hand of the Almighty has traced it across the desert that it might be
the union of distant nations. . . . Its mission is not yet accomplished; it is waiting to
be the road to civilize Africa. But it is not an Eastern nation, and not the
Mohammedan religion that can do it; and I am one of those who hope and believe
that Providence will destine it for England. An English Government and a handful
of Englishmen could do it. Cities would rise up at Assouan and Khartoum, whose
influence would be felt over the whole interior. . . . I know, alas! the spirit of the age
is against such thoughts, and there are even men who would wish to abandon our
Empire; but I speak the voice of thousands of Englishmen who, like myself, have
served their country abroad, and who do not love her least, who will never consent
to relinquish an Empire that has been won by the sword, and who think the best
way to preserve it is often by judicious extension.’

On many a stricken field the author of these prophetic words,

Captain Sir William Peel, V.C., the hero of the Naval Brigade in the
Crimea and the Mutiny, proved the sincerity of that love for his
country of which he spoke so warmly. And now, after so many years
and so many vicissitudes of fortune, an English Government and a
handful of Englishmen are grappling with the work on which his heart
was set.
 PART II
THE NEW SOUDAN
 CHAPTER XIV
THE PAST

As with modern Egypt, so with the modern Soudan: the name of the
Albanian tobacco-seller is writ large upon the pages of her history. In
spite of the ancient connection between Egypt and Ethiopia, in spite
of the dependence of Egypt upon the Soudan for her water, the
warlike tribes of the south remained for more than 1,000 years free
from any attempt at domination by their neighbours. It was Mehemet
Ali who, in the year 1819, laid the foundations of the empire which
reached its furthest limits under the Khedive Ismail, an empire of
which the brief but disastrous history brought nothing but misery and
ruin to the Soudanese, and made the Soudan a name of fear and
trembling to every Egyptian peasant.
About A.D. 700 Arabs of the tribe of Beni Omr, driven out of Arabia,
crossed the Red Sea, and began to settle about Sennar, on the Blue
Nile. By degrees these fugitives, reinforced by other tribes, some
from Arabia direct, some, it is said, by way of Egypt and the
countries further west, swelled to an invading host and permeated
the whole of the Northern Soudan, and the original inhabitants were
largely converted to Islam. In the Sennar region the two principal
negro tribes were the Fung and the Hameg. The conquerors, while
they imposed their language and religion on the conquered, seemed
to have been absorbed into their ranks; for the distinction between
Arab and negro diminished, and the old tribal names reappeared. In
1493 Amara Dunkas, a sheikh of one of the Fung tribes, was
recognised as king of all the Fungs, and conquered all the country
on both sides of the Blue Nile from Khartoum to Fazokhl. The
negroes who remained in the country were merged in the Fungs.
The remainder emigrated to the mountains of Southern Kordofan,
where, under the name of Nubas, they have ever since maintained
themselves in a somewhat precarious independence against the
raids of the Arabs of the plains. About the same time was founded
the Sultanate of Darfur, which in time extended its dominion to the
banks of the Nile. South of these two powers the Shilluks and other
negro tribes continued, as before, generally engaged in some petty
warfare, and regarded as a convenient reservoir of slaves by their
Arab neighbours.
The Fung dynasty lasted 300 years, and attained a very
considerable position. About A.D. 1600 in the reign of Adlan, Sennar
even became famous for learning, and was the resort of many
scientists and philosophers from Cairo and Bagdad. In the reign of
King Baadi, 1719-1758, the fame of the kingdom of Sennar reached
its height. A quarrel arose with Abyssinia on account of some
presents from the King of France which had been intercepted by
Baadi. The Abyssinian King invaded Sennar with a great host, but
met with the most signal defeat. So great an event was heralded
throughout the Mohammedan East. The bazaars of Constantinople
and Delhi were alike filled with the renown of Sennar. Once more
crowds of learned and celebrated men flocked into the country from
every quarter. But it was the last flicker of sunlight before the night
fell. Baadi himself was deposed and exiled on account of his bad
administration. The Hameg tribe, long subject to the Fungs, began to
lift their heads. By 1790 the kingdom of the Fungs had disappeared,
and for thirty years the Hameg continued supreme. Fire and sword
was their sole notion of supremacy; it was no mere theory with them.
The country was utterly given over to anarchy when Mehemet Ali
determined to interfere.
The motives that prompted him were many; possibly, ardent
irrigationist that he was, the desire to secure the upper waters of the
Nile may have been among them; but beyond a doubt, like
Cambyses of old, his principal object was gold. Extraordinary
rumours were current as to an El Dorado in the south. Every officer
and man who took part in the expedition entertained the most
extravagant notions of gold-strewn districts. By means of this, and
also by securing the profitable traffic in slaves, Mehemet hoped to be
able to win sufficient resources to carry out his ambitious schemes in
Asia and Europe. It was also very convenient at the moment to find
employment for his irregular troops. It would be a mistake, however,
to explain his action wholly by such reasons as these. All through his
life ran the dream of posing as a second Napoleon. It is curious to
find that along with the army he sent a number of learned men and
skilled artisans, while it was announced that the object of the
invasion was to introduce the benefits of a regular government of
civilization. Mehemet Ali had closely studied the methods of his great
model.
But of all these designs only one, and that the worst, was destined
to be fulfilled. The slave-trade had always flourished in the Soudan.
The Arab States were founded upon slavery. Along the great Arbain
road, the desert ‘track of the forty days’ from Darfur to Assiout, yearly
caravans containing slaves as well as other merchandise passed
into Egypt; the Nile route served the same purpose, and from the
Red Sea ports there was a constant export trade to Arabia and
Turkey. All this was nothing compared to the dimensions which the
trade assumed under Egyptian rule. It became practically the sole
trade of the country; it reached like a pestilential blight even as far as
the Equator. Bitterly did the Soudan suffer for the Napoleonic ideas
of Mehemet, and bitter, but deserved, was the penalty which Egypt
had to pay for her misgovernment in the end. Even to-day among the
remotest tribes the name of ‘Turk’ stands for loathing and terror.
The army, commanded by Ismail, son of the Viceroy, reached
Sennar without opposition. Thence, accompanied by his brother
Ibrahim, he advanced to Fazokhl in search of the famous gold-mines
in the Beni Shangul. But the gold proved disappointing. Ibrahim
returned to Egypt, destined to win fame as the butcher of the
Peloponnese in the Greek War of Independence. The Arabs rose
against Ismail, and he had to return to defeat them. Unsuccessful in
his quest for gold, he had devoted all his energy to the slave-trade,
but his cruelties and barbarities were too much even for a people
familiar with the Hameg. The local chief at Shendi, appropriately
named El Nemr (the Tiger), invited him to a banquet. While he and
his followers, contrary to the precepts of their own Koran, drank
freely of the forbidden wine, straw was silently piled high about the
house and fired. To a man they perished in the flames.
 Meantime, Achmet Bey, the Defterdar, had conquered the
province of Kordofan from the Sultan of Darfur. Hearing of Ismail’s
fate, he marched towards Shendi to avenge him. The story of what
happened, as told by the Egyptians, wears an ugly look. The details
are wanting, but, at any rate, few were left to tell the other side of the
story. At Metemmeh, on the bank of the Nile opposite Shendi, the
people sent messengers to sue for pardon. It was granted. But when
the Defterdar marched into the town a lance was thrown at him. The
pardon was at once rescinded, and a general massacre ensued. El
Nemr himself, however, had fled to Abyssinia. He, at any rate, had
no faith in Egyptian promises. The Defterdar then marched towards
Khartoum, and at Tuti Island another great slaughter took place. It
was a bad beginning. To the native Soudanese the distinction
between the benefits of a regular government of civilization and the
fire and sword of the Hameg must have seemed slight indeed.
To build aright on such foundations would have been difficult for a
nation of born administrators. For the Egyptians it was impossible.
There were among the Egyptian Governors of the Soudan honest
and righteous men, but, amid a crowd of officials bred and trained in
an atmosphere of corruption and slavery, their spasmodic efforts
after good only gave fresh opportunities for evil. Military stations
were established in various parts of the country for the sake of
security, and they became fountains of slave recruits to swell the
ranks of the army. The navigation of the White Nile was declared
free, and it became the favourite route of the slave-traders.
Khartoum, from a village of skins and reeds, rose to be a city of
bricks and the capital of the Soudan, but also a convenient and
central market for a huge slave-trade. The Abyssinians, who
espoused the cause of the Sennar rebels, were beaten back into
their mountains, but the savage methods of warfare only brutalized
and demoralized the victors. It speaks volumes for the barbarous
character of the times that when Adlan, the leader of the
Abyssinians, was captured by Kurshid, reputed the best of the
Governors of the Soudan, he was immediately impaled. The annals
of these years are filled with stories of famine and rebellion, and, to
add to the general desolation, cholera and other diseases constantly
ravaged the country.
 But worse was to come. Down to 1853 the southernmost Egyptian
station was only 120 miles south of Khartoum. The annexed
provinces of Kordofan, Sennar, and Kassala (or Taka) groaned under
oppression and tyranny, but the negro inhabitants of the Upper White
Nile and the Bahr el Ghazal were still comparatively unmolested. In
that year the English Consul in the Soudan started a trading
expedition up the river. Other traders followed, who established
stations far up the country. Peaceful trading soon succumbed to the
temptations of the slave-trade. For the sake of protection, it began to
be found necessary to employ bands of armed Arabs or Nubians.
Gradually the European traders disappeared; by 1860 the last of
them had sold their stations to their Arab agents. No greater curse
was ever let loose upon a country than these human locusts, and the
Egyptian Government was directly responsible. Under the shallow
pretence of legitimate commerce, trading monopolies were leased to
these traders in various districts. The fact that the Government had
not a shadow of claim even by right of conquest to the territories
leased was no obstacle. All the country south of Kordofan and Darfur
along the White Nile or the Bahr el Ghazal was regarded as
peculiarly suitable for these nefarious bargains. The Khartoumers, as
they were called, because they had their headquarters in the capital,
established themselves everywhere, and became practically
independent potentates. With their armed bands of brigands they
raided the native tribes, and even used them to fight against each
other. Only the Dinkas, protected by the impenetrable marshes of the
sudd region, and the powerful and warlike Azande, or Niam-Niam, in
the south, were able to maintain themselves. But the Bongo, a
numerous and peaceful agricultural people, were easily reduced.
The fact that they had attained a higher civilization than their
neighbours (for they smelted the iron found in their swamps with
furnaces of clay and rude bellows, and worked it with stone
hammers on anvils of granite, made pottery, and even had some
acquaintance with surgery) only made them the more valuable in the
slave-market. The Jur, Dembo, and Golo tribes were likewise among
the principal sufferers. Anarchy is but a mild term for the condition of
affairs.
 Some of these unhappy victims may have heard the news on their
way to the northern slave-market that slavery was abolished in the
Soudan. If so, it cannot have done much to sweeten their bondage
or to heal the strokes of the lash, yet a viceregal decree to that effect
had been solemnly promulgated at Berber in 1857. It was
characteristic of many of the descendants of Mehemet Ali that they
inherited great part of his intellectual vigour and wide sweep of
imagination without any of his executive capacity. Said Pasha, who
became Viceroy in 1854, visited the Soudan and clearly recognised
the failure of his foreign empire. A large force had to be maintained
to screw exorbitant demands out of a discontented population.
Agriculture was depressed, and every other industry was perishing
under a system of taxation vicious in itself, and collected by methods
which might have made a Verres blush. He determined to evacuate
the country. But the burden of the Soudan, so lightly taken up in
greed of gain, was not to be so lightly laid aside. Egypt was now
holding a wolf by the ears. The officials who battened on the ruin of
the country opposed a strenuous resistance. Things had come to
such a pass that the sheikhs and notables of the provinces
themselves feared that the withdrawal of one devil would be followed
by the entry of many. Said contented himself with reorganizing the
government and announcing a number of reforms of a drastic and
far-reaching nature, and then returned to Egypt. It was the first of
many reorganizations and many reforms, all of which were as
effective as the decree for the abolition of slavery. The plan of much
talking and little doing became a fixed principle of Soudan policy.
The story of the tax on sakiehs (water-wheels) affords a good
illustration of Egyptian methods. One of Said’s reforms was to fix this
tax at 200 piastres per annum. In less than nine years it had risen to
500 piastres. Jaaffar Pasha, who finally raised it to this extent,
declared openly that he fixed it at that rate in order to see how much
the peasants would really pay, and he hoped after a three years’ trial
to be able to arrive at a just assessment. It was not a very scientific
plan of taxation in any case, but, unfortunately, Jaaffar was removed
before the scheme had time to work out, and his successors,
absolutely indifferent to his motives, retained the tax, and even
further increased it. It was calculated that on average land the tax
often far exceeded the net returns for one sakieh. Even a ruined
wheel was liable to the full amount, and if an owner returned to it
after an interval he was saddled with the whole of the arrears. On the
same principle taxes continued to be charged on land and trees that
had long since been carried away by the floods. The natural results
followed. Many cultivators were ruined and reduced to beggary,
others fled the country, and much land went out of cultivation. In
1881 more than 2,000 sakiehs were lying derelict in Berber and
Dongola.
By the time Ismail Pasha came to the throne in 1863 it had
become abundantly clear that the Egyptians were unfit to govern the
Soudan. It looked as though in a few years the whole country would
have become a wilderness, totally uninhabited save for a few
wanderers, whose sole occupation would be selling each other into
slavery. And yet the next few years witnessed an enormous
extension of the Egyptian Empire, and Ismail himself enjoyed, until
the bubble burst, a great reputation as a genuine and whole-hearted
reformer. Nor was that reputation wholly undeserved. Strange
compound that he was of vast ambitions but changeable resolution,
of far-reaching sagacity but reckless carelessness, a Westerner in
the conception of his ideals but an Oriental in every sense in his
pursuit of them, he proved himself in his treatment of the Soudan, as
in other spheres, to possess many of the elements of greatness. If
he failed, it was partly because the evil was beyond cure: the
impending catastrophe was too great to be averted. His employment
of Baker and Gordon and other Europeans showed that he realized
the incapacity of Egypt to perform the task by herself. That was in
itself a great step forward; undoubtedly it staved off for a little the day
of retribution. His eager support of the project of a railway to
Khartoum, first mooted by his predecessor, Said, showed a sound
appreciation of the position, though his ineffective attempts to carry it
out showed his weakness as clearly. But the whole hierarchy of
Egyptian officialdom was rotten to the core. The best of rulers
without good ministers is predestined to failure.
To add to a falling house must always be a desperate remedy. No
other course seemed open to Ismail, if he was really to cope with the
slave-trade. So long as the basin of the Upper Nile remained in the
hands of the ‘Khartoumers,’ the sources of the traffic flowed as
briskly as ever, and at the same time the Red Sea ports afforded
every facility for export. Accordingly, in 1866 Ismail purchased the
districts of Suakin and Massowah from the Turks by an increase of
tribute. In 1869 he took a still more important step, and determined
to annex the whole basin of the Nile. He invested Sir S. Baker with
absolute and despotic powers over the whole country south of
Gondokoro. No better choice could have been made. An
administrator of the best type, energetic and high-minded, Baker was
also no stranger to the scene of his mission. He had already in 1861
conducted an expedition up the White Nile to join hands with Speke
and Grant in their investigations of the sources of the Nile, and in
1864 he had discovered the Albert Nyanza.
A strong man was needed. The Khedive seemed in earnest, but
he was occupied with the Suez Canal and other matters nearer
home. His representatives in Khartoum took quite another view; it
was the custom of the Soudan Government to take away with one
hand what it gave with the other. Baker’s appointment bore the
ominous date of April 1, and the fact may well have recurred to him
when, on arriving at Khartoum towards the close of the year, he
discovered that the territory he was sent to annex had already been
leased by the Governor-General to a couple of notorious slave-
dealers. Every conceivable obstacle was put in his way by the
officials. But, in spite of all opposition, he organized his expedition,
and after a journey of incredible difficulty and labour, for the real
channel of the river was blocked by sudd, he reached Gondokoro in
May, 1871, and formally annexed it as ‘Ismailia.’ Next year he
passed south, and proclaimed Unyoro an Egyptian province,
organized a number of military posts, and entered into friendly
relations with M’tesa, King of Uganda. For the time the slave-traffic in
these new provinces was crushed. In 1873 Baker returned to Cairo
with a record of successful work behind him, which must have
astonished no one more than the Khedive himself.
But once the strong hand was removed, the stone which had
been heaved uphill with so much labour rolled swiftly down again.
Less than a year elapsed between the departure of Baker and the
arrival of Colonel Gordon, on his appointment as Governor-General
of Equatoria. Even in that short time the Egyptian occupation had
become merely nominal. Two posts only were held, Gondokoro and
Fatiko. Three large slave-trading stations were in full swing on the
Bahr el Zeraf alone, whilst on the Bahr el Ghazal the notorious
Zubehr had established himself as a practically independent
potentate, and was even preparing on his own account an invasion
of Darfur. The situation called forth Gordon’s fullest energies. Never
did he perform better work than during his three years in Equatoria.
As far as it could be done under Egyptian supremacy, he checked
the slave-trade and laid the foundations of good government. The
country was organized and divided into districts with proper
garrisons both along the Sobat and the White Nile. The tribes were
peaceful and contented. Communication was established with the
great lakes; Lake Albert Nyanza was for the first time
circumnavigated. A treaty was made with M’tesa, King of Uganda,
recognising his independence, and Emin Bey was sent to represent
Egypt at his Court. In 1876 Gordon returned to England.
In Egypt, meantime, the Khedive’s reckless extravagance was
fast hurrying him to disaster. But the more involved he became, the
more he extended his ambitions, like a ruined spendthrift who must
keep up his credit at any cost. Extension of his Empire became a
mania. After Equatoria came the turn of Darfur in 1874. Darfur had
maintained its independence for over 400 years under an unbroken
line of Sultans. One of them, Abd-el-Rahman the Just, had entered
into correspondence with Napoleon during his occupation of Egypt,
and congratulated him upon his defeat of the Mamelukes. Napoleon
replied in a remarkable letter:

‘To the Sultan of Darfur, 12 Messidor, Year VII. In the Name of God,
compassionate and merciful; there is no other God but God! To the Sultan of
Darfur, Abd-el-Rahman.
‘I have received your letter, and understand its purport. When your caravan
arrived I was absent in Syria punishing and destroying my enemies. I pray you
send me by the first caravan 2,000 black slaves, over sixteen years of age, healthy
and strong. I will buy them from you. Order your caravan to come immediately,
without delay. I have given orders for its protection all along the route.
‘Bonaparte, ‘Commander-
in-Chief.’

Many motives combined to make Ismail desire the annexation of

the country. There were longstanding frontier grievances. Its
commerce and slave-trade were still considerable, and Ismail hoped
to profit by the one as well as to suppress the other. The copper-
mines of Hofrat-en-Nahas in Southern Darfur were also a powerful
attraction in view of his failing treasury. They were reported to be
extraordinarily rich, with veins standing 2 feet out of the ground. And,
since Zubehr could not be prevented from his proposed expedition,
the only course seemed to be to join him in the conquest.
Accordingly, an expedition was despatched from the north, while
Zubehr co-operated from the south. The Sultan and two of his sons
were killed in battle, and another troublesome province was added to
the Khedive’s dominions. Zubehr was made a Pasha, but was
refused the governorship, which he claimed as his right. For a
moment he seemed inclined to assert his independence, but in the
end he rashly determined to press his case in person at Cairo,
leaving his son Suleiman to fill his place in his absence.
The same year saw the annexation of Harrar at the request of the
Mohammedans in that country. Raouf Pasha, who had been left in
charge at Gondokoro after Baker’s departure, was sent for that
purpose. He showed that he had learnt but little wisdom or mercy
from his association with Baker and Gordon, for he commenced his
administration by strangling the late Sultan, a wholly unnecessary
act. Egyptian territory had been extending down the Red Sea coast
for some years previously, at the expense of Abyssinia. Little was
gained, except some friction with the King of Abyssinia, for the
occupation was generally quite nominal, and the tributes imposed by
Egypt were seldom or never paid. Still, Egypt now possessed the
coast-line as far as the Straits of Bab-el-Mandeb, and the purchase
of the port of Zeila from Turkey in 1875 extended her possessions to
Cape Guardafui and beyond, and consolidated her position, such as
it was, in Harrar, and what is now Somaliland. But even this did not
satisfy the Khedive.
Gordon had clearly perceived that it was impossible to properly
control the Equatorial provinces without an outlet to the Indian
Ocean, to replace the long and precarious line of communication by
the Nile. He therefore advised the Khedive to occupy Mombasa from
the sea, while he himself co-operated from inland by way of the
Victoria Nyanza. Although the difficult nature of the country and the
inferior quality of his troops soon convinced Gordon that it was
impossible for him to carry out his part in the project, a naval
expedition, known as the Juba River Expedition, set out in 1875
under the command of McKillop Pasha. Missing the mouth of the
Juba River, which had been selected by the Khedive as their
objective, without any great knowledge of the geography of these
regions, they ran further south, but encroached on the territory of the
Sultan of Zanzibar. At the instance of Great Britain the expedition
was given up, but no objection was raised to the recognition of the
Khedive’s authority as far south as the tenth degree of latitude.
It was not long before the folly of all this extravagant expansion
began to appear. Abyssinia had had many causes of quarrel with
Egypt, and, in fact, the relations between the two countries had
consisted of a state of intermittent war or at best armed neutrality
since the time of Mehemet Ali. But the purchase of Zeila thoroughly
alarmed King John, and he took steps to protect his rights. War
followed, disastrous to Egypt. A first army under Arendrup, a Dane,
was, after a few preliminary successes, totally annihilated. A second
was hastily fitted out and despatched. It was a model of all an army
should not be, and had not King John been diverted by the fear of
his rebellious vassal, Menelik, it would no doubt have suffered the
fate of the first. As it was, it managed to return to Massowah after
two or three months’ tedious and inglorious campaigning and one
severe defeat.
The falling house had been extended in every direction, but it was
falling still. The Abyssinian trouble was not the only sign of
weakness. The internal condition of the provinces was as bad as
ever; the whole country was restless and disturbed; the feebleness
of the Government was increased by the huge distances over which
its garrisons were scattered; the slave-trade, openly favoured by the
officials whose duty it was to suppress it, was recovering from the
blows which had been dealt it. One more heroic effort was made to
set things right. Gordon was recalled to Egypt and made Governor-
General of the whole Soudan, including Equatoria and the Red Sea
provinces. He was specially charged with the duty of settling matters
with Abyssinia, of suppressing the slave-trade, and of improving
communications.
It was with the utmost reluctance that Gordon returned to the
Soudan. Under existing conditions his task was a hopeless one, and
he knew it. His letters show how clearly he foresaw the coming
catastrophe. He was aware that, while the Egyptian Government
was concluding an anti-slavery convention with England, it was at
the same time intriguing almost openly with Zubehr, the prince of
slave-dealers. Less than half-hearted support was to be expected
from Cairo. At the very moment that he needed them most, great
part of his troops were withdrawn to serve in the Russo-Turkish War.
Immediately on assuming the reins of government he found himself
confronted by a serious rebellion in Darfur; at the same time the
slave-dealers in the south were gathering in force under the
leadership of Suleiman, Zubehr’s son. But Gordon faced the peril
undismayed. His activity was almost superhuman. Hastily patching
up a temporary arrangement on the Abyssinian frontier, he travelled
to Khartoum by way of Kassala, Gedaref, and Sennar. Here he spent
some time in carrying out a number of reforms, and in May set out to
deal with the rebellion in Darfur. Darfur had had its first experience of
Egyptian rule, and Harûn, a member of the deposed royal house,
had taken advantage of the general discontent. There flocked also to
his standard the nomad Arab tribes, who had stood aloof when
Darfur was first conquered, but now saw their hereditary trade
threatened. But Gordon in a few months had drawn together his
scattered garrisons and scattered the rebels by a display of force. By
the almost unsupported exercise of his personal influence he next
dispersed the combination of slave-dealers under Suleiman, and by
the end of the year he was back again at Khartoum, after another
visit to the Abyssinian frontier and a round by Suakin and Berber.