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A reanalysis of archaeological materials from Roth and Luster caves

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A reanalysis of archaeological materials from Roth and Luster caves
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Smith-McDonald, Elizabeth Kae
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English
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xiii, 157 leaves : illustrations, maps ; 29 cm

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Cave dwellings -- Colorado -- Mesa County ( lcsh )
Cave dwellings -- Utah -- Grand County ( lcsh )
Cave dwellings ( fast )
Colorado -- Mesa County ( fast )
Utah -- Grand County ( fast )
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bibliography ( marcgt )
theses ( marcgt )
non-fiction ( marcgt )

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Includes bibliographical references (leaves 140-148).
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Submitted in partial fulfillment of the requirements for the degree, Master of Arts, Department of Anthropology, Department of Sociology.
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by Elizabeth Kae Smith-McDonald.

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University of Colorado Denver
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Auraria Library
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ocm22692906
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Full Text
A REANALYSIS OF ARCHAEOLOGICAL MATERIALS
FROM ROTH AND LUSTER CAVES
by
Elizabeth Kae Smith-McDonald
B.S., Brigham Young University, 1983
A thesis submitted to the
Faculty of the Graduate School of the
University of Colorado in partial fulfillment
of the requirements for the degree of
Master of Arts
Department of Anthropology/Sociology
1989


This thesis for the Master of Arts degree by
Elizabeth Kae Smith-McDonald
has been approved for the
Department of
Anthropology/Sociology
by
James Grady
Date


iii
Smith-McDonald, Elizabeth Kae (M.A., Anthropology/
Sociology)
A Reanalysis of Archaeological Materials from Roth and
Luster Caves
Thesis directed by Assistant Professor Craig R. Janes
The research covered in this paper deals with
the contribution previously curated materials add to
solving current research problems in chronology, sub-
sistence, settlement patterns and social organization
and relationships. Artifacts recovered from the 1952
excavation of Roth and Luster Caves in west-central
Colorado were reanalyzed and a radiocarbon sample was
tested to provide the data needed to answer the
research problems. An Archaic and late Formative
occupation are theorized for Luster Cave. Roth Cave
provides evidence that it may have been occupied during
the Archaic period.
The form and content of this abstract are approved. I
recommend its publication.
Signed ______


To Emily,
may you grow surrounded by love and happiness


ACKNOWLEDGEMENTS
I would like to thank Michael Piontkowski for all
the help and advice he provided during the course of my
research as well as providing the funds for the
radiocarbon test. I would like to thank Diana Leonard and
Jeannette Mobley-Tenaka of the Henderson Museum for
preparing the collection and providing me with all the
available records in the Museum's possession, as well as
support during my research. I would like to thank Craig
Janes, Lorna Moore, and Jim Grady for their help as
members of my thesis committee. I would like to thank
Kate Aasen-Rylander for her advice concerning my
macrofossil analysis. I would also like to thank Jim
Wilde for his comments and criticisms on the rough draft
of my thesis. I would also like to thank my family for
their support during this project. Last, but not least, I
would like to thank my husband Ken for his support,
encouragement and love throughout this entire project.


CONTENTS
TABLES............................................... X
FIGURES.............................................. Xi
CHAPTER
1. INTRODUCTION...................................... 1
2. THE ENVIRONMENTAL ANED CULTURE-HISTORICAL
CONTEXT OF ROTH AND LUSTER CAVES. ............ 3
Environmental Context........................... 3
Previous Research in West-Central
Colorado..................................... 11
Culture-Historical Overview. .................. 17
The Paleolndian Period....................... 18
The Archaic Period........................... 19
The Formative Period......................... 19
The Protohistoric Period..................... 23
3 RESEARCH DESIGN................................ 25
Problem Domain I: Status of the
Collection................................... 25
Problem Domain II: Chronology.................. 27
Problem Domain III: Settlement
Patterns..................................... 29
Problem Domain IV: Subsistence................. 30
Problem Domain V: Social Relationships
and Organization.. .......................... 32
V
4. MATERIAL CULTURE ANALYSIS METHODS.............. .. 35
Lithics........................................ 36
Ceramics
37


viii
Perishables.................................... 38
Bone........................................... 42
Macro/Microbotanical Remains................... 43
Human Bone..................................... 45
Wood........................................... 45
Minerals....................................... 46
5. LUSTER CAVE ANALYSIS............................. 47
Lithics....................................... 47
Grounds tone................................. 53
Bifaces...................................... 57
Ceramics....................................... 68
Perishables.................................... 73
Worked Bone................................... 94
Macrofossils................................... 99
Human Bone.................................... 105
Minerals...................................... 106
Radiocarbon Date.............................. 107
6. ROTH CAVE ANALYSIS.............................. 109
Lithics....................................... 109
Grounds tone............................... Ill
Bifaces..................................... 114
Perishables................................... 117
Worked Bone................................... 127
Macrofossils.................................. 126
Human Bone................................. 128
7. DISCUSSION...................................... 130
8. SUMMARY AND CONCLUSIONS......................... 138
REFERENCES CITED..................................... 140


ix
APPENDIX
A. ARTIFACT CATALOG..
150


TABLES
Table
1. Cordage Formulae.................................. 41
2. Distribution of Technological Types in
Luster Cave..................................... 48
3. Distribution of Groundstone in Luster
Cave............................................ 54
4. Distribution of Projectile Point Types in
Luster Cave..................................... 58
5. Distribution of Ceramic Types in Luster
Cave............................................ 70
6. Distribution of Perishable Items in
Luster Cave...................................... 74
7. Distribution of Worked Bone in Luster
Cave............................................ 94
8. . Macrofossils from Luster Cave.................. 100
9. Corn Cob Measurements from Luster Cave........... 102
10. Distribution of Minerals in Luster Cave......... 107
11. Distribution of Technological Types in Roth
Cave........................................... 110
12. Distribution of Groundstone in Roth Cave........ 112
13. Distribution of Projectile Point Types in
Roth Cave..................................... 115
14. Distribution of Perishable Items in Roth
Cave........................................... 118
15. Macrofossils from Roth Cave...................... 125
16. Distribution of Diagnostic Artifacts in
Luster Cave.................................... 132
17. Distribution of Diagnostic Artifacts in
Roth Cave.................................... 132


FIGURES
Figure
1. Luster Cave location map........................... 4
2. Roth Cave location map............................. 5
3. The Uncompahgre Plateau Region..................... 7
4. Excavation plan of Luster Cave.................... 10
5. Excavation plan of Roth Cave...................... 10
6. Frontal view of Luster Cave....................... 12
7. Location of sites on the Uncompahgre
Plateau......................................... 14
8. Basalt chopper.................................... 49
9. Quartz hammers tone............................... 53
10. Sandstone arrowshaft smoother..................... 55
11. Rectangular mano.................................. 55
12. Loaf-shaped mano.................................. 56
13. Round mano........................................ 56
14. Bifaces........................................... 58
15. Untyped projectile points......................... 59
16. Typed projectile points.......................... 61
17. Sangre de Cristo Micaceous Wear................... 69
18. Rimsherd profile.................................. 70
19. Uncompahgre Brownware, corrugated................. 72
20. Uncomphagre Brownware, fingernail
impressed....................................... 72
21. Basketry........................................ 75


xii
22. Yucca quids....................................... 76
23. Modified leather.................................. 77
24. Bundle of shredded Yucca leaves................ 78
25. Yucca and sinew cordage........................... 82
26. Yucca cordage..................................... 82
27. Fur cordage....................................... 84
28. Human hair cordage................................ 85
29. Shredded juniper cordage.......................... 85
30. Yucca knots....................................... 86
31. Atlatl shafts..................................... 88
32. Arrow foreshafts and painted reed
fragment........................................ 88
33. Arrow shaft and modified wood................. 89
34. Wooden gaming pieces.............................. 89
35. Shafts with tenons................................ 91
36. Woodworking waste................................. 92
37. Fiber-wrapped twigs............................... 93
38. Bone awls......................................... 95
39. Bone gaming piece and.bone tubes.................. 97
40. Bone bead fragment, bone fishhook and
shell pendant................................. 98
41. Antler flakers.................................... 98
42. Macrofossils..................................... 100
43. Tooth crown fragment............................. 105
44. Burial matting................................... 106
45. Quartz hammer stone.............................. Ill
46. Loaf-shaped mano................................. 112
47. Round mano....................................... 113
48. Rectangular mano................................. 113


xiii
49. Bifaces......................................... 115
50. Projectile points............................... 116
51. Basketry fragment............................... 118
52. Basketry fragment............................... 119
53. Worked wood..................................... 120
54. Yucca quids..................................... 120
55. Unmodified leather.............................. 121
56. Yucca cordage................................... 122
57. Yucca leaf bundle............................. 123
58. Yucca knots.................................... 124
59. Bone awl fragments.............................. 125
60. Macrofossils.................................. 126
61. Human Bone..................................... 129


CHAPTER 1
INTRODUCTION
In 1951, a joint archaeological excavation was
established between the University of Colorado Museum and
the Department of Anthropology to pursue research in the
Glade Park area of west-central Colorado. Two caves and
three arroyo sites were excavated during the summer with
the results published in the March 1952 edition of
Southwestern Lore, and subsequently in "Archaeological
Investigations on the Uncompahgre Plateau in West-Central
Colorado" by H. Marie Wormington and Robert H. Lister
(1956). The materials from the sites were then curated at
the Henderson Museum on the University of Colorado/Boulder
campus, and essentially forgotten.
This project addresses a research problem dealing
with previously curated materials, that is, do these
materials have any value in contributing to solutions to
research problems archaeologists are addressing at this
time? This project is a reanalysis of materials excavated
from Roth and Luster Caves in west-central Colorado that
have been curated in a museum more than 30 years ago in
order to investigate the possibility that they could
contribute pertinent information to an area that has been
neglected for nearly that same length of time. The area


2
originally excavated is also of significance as a possible
transition zone between two Formative cultures, as well as
having been occupied by both an Archaic and Post-Formative
group. The two sites in question, Roth Cave and Luster
Cave, have been placed at various times within the context
of several of these cultural units (Buckles 1971; Lister
and Dick 1952; Pierson 1980; Wormington and Lister 1956).
The main research problem for this project is to
attempt to establish more clearly cultural affinity for
both of the sites. Projectile point and ceramic
typologies will be utilized in tandem with radiocarbon
dating to solve this problem. Additional materials
recovered from the caves will also be utilized in
answering research questions pertaining to subsistence,
settlement patterns and social relationships.


CHAPTER 2
THE ENVIRONMENTAL AND CULTURE-HISTORICAL
CONTEXT OF ROTH AND LUSTER CAVES
Environmental Context
Roth Cave is located in Mesa County, Colorado,
while Luster Cave is located in Grand County, Utah,
approximately 100-200 yards west of the Colorado/Utah
state border. Both caves are in the Glade Park region on
the western edge of the Uncompahgre Plateau at elevations
of 6400 feet mean sea level (MSL) and 5400 feet MSL,
respectively. Luster Cave sits approximately 400 yards
west and 100 feet upslope from the Little Dolores River,
with Roth Cave located at the foot of a sandstone cliff
about 500 yards north of the Little Dolores River, and
approximately 100 feet above the river (Lister and Dick
1952; Wormington and Lister 1956). The approximate
geographic location of Roth Cave is T12S R103W Section 17
(U.S.G.S. Sieber Canyon 1:24,000), with Luster Cave at
T20S R26E Section 32 (U.S.G.S. Westwater 1:24,000)
(Figures 1 and 2).
The Uncompahgre Plateau is considered part of the

Canyon Lands Section of the Colorado Plateau and is


4
Hix'
Figure 1. Luster Cave location map. U.S.G.S. Westwater
1:24,000. Sec. 32, T20S, R26E, Grand County,
Colorado.


5
Figure 2. Roth Cave location map. U.S.G.S. Sieber Canyon
1:24,000. Sec. 17, T12S, R103W, Mesa County,
Colorado.


6
located mainly in west-central Colorado, with the
northwest end extending about 25 miles into Utah (see
Figure 3). The Plateau is about 115 miles long and 25
miles wide and forms the divide between the
Uncompahgre-Gunnison and San Miguel-Dolores River systems.
Throughout much of its length the Plateau is comparatively
level, gently sloping towards the northeast from its
highest points on the southwest side. This tableland is
broken by numerous steep-sided narrow canyons which cross
it from southwest to the northeast. Structurally the
Uncompahgre Plateau is a fault block or uplift, and is
mostly surfaced by sandstone and mudstone of the
Dakota-Morrison formations and the Glen Canyon group.
Elevations on the Plateau range from about 5,000 feet MSL
on the northwest end to over 14,000 feet MSL to the
southeast. Average yearly precipitation varies from about
8 inches at lower elevations to over 23 inches at higher
elevations, with the majority of the Plateau receiving
about 12 to 16 inches. A large percentage of the
precipitation occurs in winter and early spring with
January, February and March being the months of heaviest
snowfall. Summer temperatures average 55 degrees at
higher elevations and 75 degrees at lower elevations. On
average, there are 140 days between the last frost of
spring and the first frost of autumn at lower elevations,
but at higher elevations the average is only about 50
days.


Figure 3. The Uncompahgre Plateau Region.


8
The most current climatic information closest to
the sites is derived from the Little Dolores and Little
Dolores 5 NE climate stations, located at 6700 and 6380
feet MSL, respectively. Unfortunately, the stations
monitored only precipitation information. The temperature
information is taken from the Colorado National Monument
station, at an elevation of 5780 feet MSL, approximately
three miles from Roth Cave. The mean annual temperature
is 63.7 degrees Fahrenheit, while the average high and low
temperature for January is 34 degrees Fahrenheit and 13
degrees Fahrenheit. The average high and low temperature
for July is 94 degrees Fahrenheit and 64 degrees
Fahrenheit. Annual precipitation averages 13 inches, with
1.45 inches and 0.40 inches as the average maximum and
minimum amounts occurring in January. The average maximum
and minimum amounts occurring in July are 2.91 inches and
0.53 inches. Average annual snowfall is recorded as 78.1
inches from the Little Dolores climate station. This
information was not available from the Little Dolores 5 NE
climate station.
Luster Cave is located in the Plains Lifezone (>
6,000 feet), and is characterized in this area by dry
grasslands mostly sage and yucca, occasional shrubs -
typically pinyon, juniper and scrub oak with few trees,
except those located along permanent water sources the
Little Dolores River in this case.


9
Roth Cave is located in the Foothills Lifezone
(6,000 8,000 feet) which is characterized by extensive
areas of grass and shrubs including pinyon, juniper, scrub
oak, sage and yucca, in this area.
The method of excavation followed a similar
procedure in both caves (Lister and Dick 1952:71, 80;
Wormington and Lister 1956:95-96, 106-107). To assist in
horizontal control during excavation, and as part of the
mapping process, points at five foot intervals were marked
and numbered upon the cave walls. These marks were used
as reference points for locating all objects encountered
during the excavation (Lister and Dick 1952:71, 80;
Wormington and Lister 1956:95-96, 106-107). Six areas in
Luster and three areas in Roth, all identified by letters,
were excavated (Figures 4 and 5). Material from each area
was removed in levels of 12 inches until the cave floor
was encountered, allowing for the determination of
vertical position of all artifacts found (Lister and Dick
1952:71, 80; Wormington and Lister 1956:95-96, 106-107).
An attempt was made to locate all cultural material in
place, but screening facilitated the location of smaller
items. Approximately three-quarters of Luster Cave and
one-third of Roth Cave were excavated (Lister and Dick
1952:71, 80; Wormington and Lister 1956:95-96, 106-107).
A map was made of each cave before excavation started, and
a photographic record was kept during the operation.
Detailed notes were entered into field notebooks


10
Figure 4
Excavation plan of Luster Cave (From Wormington
and Lister 1956:95)
N
ED I Level
Kiiiil 3 Levels
0 5 10 feet .
Figure 5. Excavation plan of Roth Cave (From Wormington
and Lister 1956:107)


11
throughout the work, and a field catalog was kept for all
specimens recovered with all specimens being numbered so
that they could be identified at a later date (Lister and
Dick 1952:71). Unfortunately, the photographic record, as
well as the field notebooks, could not be found in any
files at the Henderson Museum during the course of this
project.
A recent survey of Luster Cave indicated that
there is little left that could be reexcavated (Figure 6).
The fill in the cave has been disturbed, not only from the
excavation in the 1950s, but it also appears as if there
has been recent disturbance as well.
Previous Research in West-Central Colorado
Research on the Uncompahgre Plateau of
west-central Colorado over the last fifty years has
indicated that a variety of different cultures have
occupied the area including the Archaic and Ute. A
Formative culture may have also occupied the area,
although further research is needed to establish possible
affiliation with the Formative cultures bordering the
area.
The earliest reported work on the Uncompahgre
Plateau was a survey of the Paradox Valley and adjacent
areas in 1931 by the State Historical Society of
Colorado and the Smithsonian Institution (Woodbury and
Woodbury 1932). While most of the study was conducted
south of the Uncompahgre Plateau in the Paradox Valley,


12
Frontal view of Luster Cave, looking into the
cave from the east.
Figure 6


13
some survey work was done on the Plateau, and the
Woodburys reported finding a pueblo about four miles west
of Norwood along Naturita Creek.
Harold Huscher (1939) conducted a survey along the
northeastern slope of the Plateau and reported a number of
preceramic sites which contained crude grinding stones,
thin bifacially-flaked knives and projectile points.
Huscher and Huscher (1943) also encountered circular stone
structures which they argued were hogans of Athabascan
(Navajo) origin. Many of these structures, particularly
those located on the southwestern slope of the Uncompahgre
Plateau, resemble Tabeguache and Cottonwood Pueblos and
were associated with Black-on-White pottery, suggesting
that they were not hogans at all but were possibly
affiliated with a formative culture.
A majority of the sites which have been excavated
on the Plateau are rock shelters. C.T. Hurst from 1939 to
1947 worked on several of these sites. The first site,
Tabeguache Cave I, was located about ten miles northeast
of the town of Nucla and was considered by Hurst to be a
Basketmaker II site (Figure 7). This cave contained
slab-lined cists with some corn and square-toed sandals.
Tabeguache Cave II was located about ten miles downstream
from Cave I, and Hurst (1945) believed that it had been
occupied at three different time periods. The earliest
/
occupation he attributed to a pre-Basketmaker people which
are represented by the Tabeguache point, bifacial knives


14
Figure 7. Location of sites on the Uncompahgre Plateau.


15
and milling stones. The second occupation was by nomads
who were contemporary with Basketmaker II peoples. Hurst
(1945:8) postulated that these nomads had obtained
Basketmaker items by trade or conquest. This level
contained some corn, corner-notched points, rod and bundle
basketry and a slab-lined cist. Hurst attributed the
upper level, which contained pottery and various stone
artifacts, to the Utes.
Hurst (1948) excavated another rock shelter,
Cottonwood Cave, about nineteen miles east of Nucla, which
he claimed was also a Basketmaker II site. Cottonwood
Cave contained a bundle of corn, yucca fiber cordage,
metates and square-toed sandals. The westernmost rock
shelter excavated by Hurst (1947) was Dolores Cave,
located along the Dolores River near the town of Uravan,
and was occupied from Basketmaker II times to the early
historic period. This cave contained a slab-lined
fireplace, a few stone artifacts, and a rope-wrapped
bundle.
In addition to these rock shelters, Hurst also
excavated several small masonry structures on the
Uncompahgre Plateau. Tabeguache Pueblo was located 14
miles northwest of Nucla, and Cottonwood Pueblo was 16
miles east of Nucla. On the basis of pottery types,
Hurst (1946, 1948) regarded these ruins as belonging to
the Pueblo I and II time periods. During 1948 Hurst
excavated another structure in the same settlement as


16
Cottonwood Pueblo, but he died that winter and no
information about this structure was ever published.
H.M. Wormington (Wormington and Lister 1956)
worked on the northeastern slope of the Plateau where she
excavated the Moore, Casebier and Taylor sites. Robert
Lister excavated the Alva Site near the Taylor Site. All
of these siteis were rock shelters which Wormington and
Lister felt represented a single complex which they named
the Uncompahgre Complex. This preceramic and
prehorticultural complex is believed to have begun
sometime during the first or second millennia B.C.
Wormington and Lister (1956:81) describe this complex as
being characterized by specialized cutting and scraping
tools which they called Uncompahgre Scrapers; a great
variety of projectile point types; occupation of caves or
rock shelters; bifacially-flaked knives; thin, flat
milling stones; and various bone implements. Wormington
and Lister (1956:81) believed that it was probable that
this complex was widely distributed on the Uncompahgre
Plateau, and attributed the sites reported by Huscher
(1939) on the northeastern slope as belonging to this
complex. They also placed Hurst's Dolores Cave and the
lowest level of Tabeguache Cave II in this complex.
Buckles (1971) excavated several Uncompahgre Complex rock
shelters on the northeastern slope of the Plateau, and he
suggested that this Archaic pattern continued on the
Plateau until historic times. Buckles (1971:1170) also


17
proposed that during part of this time there was a
coexistence of the hunters and gatherers of the
Uncompahgre Complex with horticultural groups.
Lister (Lister and Dick 1952, Wormington and
Lister 1956) also worked in the Glade Park area on the
northwestern edge of the Uncompahgre Plateau. The sites
excavated include Luster Cave, Roth Cave, the Arroyo Sites
and the Little Park Caves. The Arroyo sites contained
projectile points, knives, milling stones, a clay
figurine, corn cobs, and a Fremont-like petroglyph showing
human figures with headdresses. Roth Cave had projectile
points, metates, basketry but lacked pottery. Luster Cave
contained corn, various stone artifacts, basketry,
cordage, and Ute-like pottery.
Following the work of Wormington and Lister there
was little archaeological research completed on the
Plateau until Metropolitan State College of Denver held
field schools in the area during 1974-77. Unfortunately,
there has been little published dealing with these
excavations. Crane (1977) completed macrobotanical
research on the Weimer Ranch sites, excavated by C.T.
Hurst in 1947-48, of which only one had been reported
(Hurst 1948).
Culture-Historical Overview
The cave sites are within the potential geographic
range of several aboriginal cultures: the Paleolndian,


18
Archaic, Anasazi, Fremont and Numic (Ute). Researchers
have utilized a general culture-temporal framework as a
heuristic device for organizing these synchronic cultural
manifestations into a diachronic evolutionary framework:
the Paleolndian period (ca. 10,000 B.P. to 8,000 B.P.),
the Archaic period (ca. 8,000 B.P. to ca. A.D. 500), the
Formative period (ca. A.D. 500 to A.D. 1150/1200), and the
Protohistoric period (ca. A.D. 1300/1400 to ca. A.D.
1776). The historic period began with the documented
travels of the Dominguez-Escalante Expedition. Subsequent
decades saw limited use of west-central Colorado by Euro-
Americans; utilization became intense only after the gold
rush to western Colorado in the 1850s, and the removal of
the Utes in the early 1880s (Reed 1984).
The Paleolndian Period
Peoples representative of the Paleolndian period
appear to be the first to inhabit the region. Evidence of
this big-game hunting adaptation is presently found in the
form of projectile points occurring as isolated artifacts
or on sites with later cultural materials. Sites in which
Paleolndian materials have been recovered include a deep
horizon at Christmas Rockshelter, located near Montrose,
from which Buckles (1968, 1971) recovered a base of a
Paleolndian point (Reed 1984). There has not been an
absolute date associated with the point, but since nothing
associated with it is younger, Buckles (1968, 1971) feels
it is of Paleolndian origin. Several Folsom and Plano


19
points have also been collected as surface finds near
Montrose, on the Uncompahgre Plateau, along the Gunnison
River along the base of Grand Mesa (Piontkowski, personal
communication 1989), in Dinosaur National Park and in
Tabeguache Canyon (Cassells 1983).
The Archaic Period
As terminal Pleistocene environmental conditions
were supplanted by those more similar to today's, the
big-game hunting adaptation of the Paleolndians was
replaced by one emphasizing plant collection and
processing and the hunting of a wider variety of smaller
fauna. Human populations evidently grew, as sites
attributed to the Archaic Stage are quite numerous. These
sites outnumber those affiliated with other cultural units
in west-central Colorado. The sites that have been
investigated include the Taylor, Alva, Casebier and Moore
Rockshelters (Wormington and Lister 1956). Levels of
Christmas Rockshelter have also been placed within this
cultural context (Buckles 1968, 1971). C.T. Hurst also
excavated the Tabeguache Cave sites which have been placed
within this cultural context (Hurst 1940, 1943, 1944,
1945, 1946).
The Formative Period
Following A.D. 1, there occurred an important
shift in the economic adaptations of prehistoric peoples
in the northern Colorado Plateau. Cultigens became an


20
important source of food, and ceramics and substantial
habitation structures appeared. Traditions such as the
Anasazi in southwestern Colorado and the Fremont of Utah
and northwestern Colorado flourished in many areas. In
west-central Colorado, however, there is rather limited
evidence of these formative cultures. The degree to which
the prehistoric peoples of west-central Colorado conformed
to a Formative Stage lifeway is presently not well
understood. Present indications are, however, that the
transition from an Archaic lifeway to a Formative lifeway
may not have been as complete as compared to other
contemporary groups of the northern Colorado Plateau.
Recent archaeological investigations in west-
central Colorado have produced no firm evidence of
Basketmaker III manifestations. Further, this research
has not supported the Anasazi cultural affiliation of
Formative Stage sites, as once posited for the area (e.g.,
Schroeder 1964). Whereas the general adaptive strategies
represented at such sites as Cottonwood, Tabeguache I and
II and Dolores Caves may have been similar to the
Basketmaker II culture, as no Basketmaker II surface
structures such as those found in the Durango area (see
Morris and Burgh 1954; Reed and Kainer 1978) have been
discovered. The later stone structures lack key
architectural features such as kivas and high walls, and
have far too few ceramics to represent a typical Anasazi
site. Certain artifact types, such as manos, vary


21
considerably from contemporaneous Anasazi sites. In
short, architectural and artifactual variation seems too
great to support the presence of a bona fide Anasazi
occupation of the project area.
If the Formative Stage sites in west-central
Colorado are not considered Anasazi, then it follows that
they be compared and contrasted to the other recognized
Formative Stage culture in the area, the Fremont.
The San Rafael variant is the Fremont variant
closest to the project area. The Uinta variant may
actually extend southwards to the vicinity of Cisco, Utah,
to include the Turner-Look site, which yields a large
number of calcite tempered Uinta Gray ceramics (Wormington
1955). Currently, there are several sites that are
associated with the Fremont culture on the northwestern
Uncompahgre Plateau, including two sites in Sieber Canyon,
Roth Cave and Luster Cave (Piontkowski, personal
communication 1989). Presently, there is some question as
to whether the association is valid for Roth and Luster
Caves.
If the differences between the Formative Stage
sites in west-central Colorado and the Anasazi or Fremont
cultures are too great to support notions that they
represent regional variants or subcultures of the Fremont
or Anasazi cultures, then perhaps the least radical
alternative would be to suggest that these sites represent
an in situ development from an Archaic technocomplex (Reed


22
1984:39). In this scheme, people practicing an Archaic
tradition lifestyle adopted a Formative Stage lifestyle as
the need to intensify food production arose. Being
relatively close to Anasazi and Fremont culture areas,
they were able to trade certain items, such as ceramics,
and were open to influence for such things as
architectural styles. The importance of cultivated
foodstuffs relative to collected wild foods may not have
been similar to either the Fremont or the Anasazi; perhaps
hunting and gathering techniques were still able to meet
most of the economic needs. It is proposed that these
similarities can be explained primarily by two factors.
First of all, no culture develops and flourishes in
complete isolation. Therefore, diffusion can be said to
account, in part, for the ceramic and architectural
similarities. The other explanation, however, has an
ecological basis. For instance, the type of building
materials available and the nature of the soil deposit can
influence what type of dwelling is built. The type of
temper and clay that people use to make their pottery is
also influenced by what is available. More important,
however, is the extent to which the chosen subsistence
technique effects the settlement pattern and
sociopolitical organization (Crane 1977). The gross
environment of the Uncompahgre Plateau does differ from
that of eastern Utah. However, archaeological evidence
suggests that the people in both areas had a similar


23
ecological adaptation in that although they grew some
domesticates, they were more heavily dependent upon
hunting and gathering (Crane 1977; Reed 1984). It is
hypothesized, therefore, that common factors in economy
and technology can account for similarities in settlement
pattern and the inferred sociopolitical organization.
The Protohistoric Period
Following the disappearance of the Formative
lifeway from west-central Colorado, human adaptation
evidently reverted to that similar to the Archaic Stage.
Some archaeologists suggest that the term "Post-Formative
Archaic Stage" might in fact be a more appropriate term
for this stage (Reed 1984). Hunting and gathering was
once again the primary mode of subsistence, and a nomadic
lifestyle was practiced. The material culture was quite
similar to that of the Archaic Stage, although the bow and
arrow had become popular. Most of the data obtained so
far for this stage concerns the Ute Tradition at the end
of this period. The Ute evidently entered the region
between A.D. 1200 and 1400, based on linguistic and
archaeological evidence (Buckles 1971; Reed 1984). The
Ute were expelled from west-central Colorado by 1881 (Reed
1984).
The period prior to the apparent immigration of
the Ute is poorly understood in west-central Colorado.
Only one site definitely dating to this period has been
identified in the region. Buckles obtained a radiocarbon


date calibrated between A.D. 1335 and 1435 from a lithic
scatter in the Ridgeway Reservoir project area (Reed
1984:42).


CHAPTER 3
RESEARCH DESIGN
This project was undertaken to examine what
potentially new information could be gleaned from
museum-curated artifacts of excavations that took place
over 35 years ago. It addressed a variety of research
questions which have been at the forefront of
Formative-culture research for the past ten years
including chronology, settlement patterns, subsistence and
social relationships and organization. An additional
research question concerned the status of the collection.
Each of the above research questions will be addressed
below, defined as they apply to the caves specifically,
with appropriate research topics and questions following
within each section.
Problem Domain I: Status of the Collection
As archaeologists have become aware of the
importance of a variety of scientific methods that are now
utilized to complement the investigations of
archaeological features, attempts have been made, where
appropriate, to leave portions of a site unexcavated in
order to "save" it for future generations and improvements
in methodology. The problem that prompted this project


was how much additional information can be gleaned from
museum-curated objects before reexcavation is even
considered.
Research Topic A: Condition of the collection.
Question 1: Are the specimens clean or
dirty?
Data Requirements: Inspection of the
collection.
Question 2: Have the specimens been treated
for long-term preservation?
Data Requirements: Inspection of the
collection.
Question 3: Are the specimens all present?
Data Requirements: Inspection of the
collection, comparison with acquisition
ledger and published literature.
Question 4: Were excavation notes and
pertinent information curated with the
collection, in the same repository, and is it
in legible form?
Data Requirements: Perusal of records and
photos.
Research Topic B: What resources were conserved
that might be utilized for extraneous tests, and
will the tests be accurate?


Question 1: What is needed to provide for
accurate C14 tests?
Data Requirements: Material appropriate for
radiocarbon testing, preferably charcoal.
Question 2: What is needed to provide for
accurate macro/microbotanical tests, and are
these possible with the materials available
from the collection?
Data Requirements: Soil samples which have
been kept sterile from modern contaminants.
Question 3: What is needed to provide
accurate information from obsidian testing,
and are these tests possible with the
material available from the collection?
Data Requirements: Quantities of obsidian
large enough to test.
Problem Domain II: Chronology
The time period for which Roth and Luster Cave
were occupied was not absolutely established, but fixed
within a range in which it was possible that they were
occupied, through comparative typological analysis and
stratigraphy (Lister and Dick 1956). Luster Cave was
suggested to have been occupied within the range of 950
1300 A.D., while Roth Cave was suggested to have been
occupied from about 500 850 A.D. Unfortunately, C14
samples which were taken at the time of excavation were
never processed, leaving the two caves in a somewhat


28
ambiguous chronological position. Over the years, the
caves have been claimed to have had occupants of Numic/Ute
origin (Pierson 1980), or Formative origin (PII/Anasazi or
Fremont) (Lister and Dick 1956; Wormington and Lister
1956; Reed 1984). A well-established chronology would be
beneficial because the two caves are located in an area of
transition, a boundary of both Fremont and Anasazi
occupation. The later Numic/Ute, however, occupied most
of the surrounding area. Comparison with current
projectile point, ceramic and basketry typologies, as well
as reliance on C14 dating will establish a more definite
temporal framework for the caves.
Research Topic A: The temporal span of Luster and
Roth Caves.
Question 1: Can Roth and Luster Cave be
placed in an absolute-dating time frame?
Data Requirements: Utilization of C14 and
dendrochronological dating.
Question 2: Utilizing known projectile
point, ceramic and basketry typologies, can
Roth and Luster Caves be placed within a
relative-dating time frame?
Data Requirements: Examination of collection
for comparable diagnostic specimens, comparison
of these with known, reliable typologies for
Archaic, Formative (Anasazi and Fremont) and
Numic cultures.


29
Problem Domain III: Settlement Patterns
Settlement and subsistence patterns are quite
complex, being intimately related to social organization,
technology and other systems comprising culture. They
refer to the manner in which economically important
resources are procured, whether through seasonal
wanderings from maturing resource to maturing resource, or
through sedentary villages, from which procurement forays
emanate. The study of settlement and subsistence patterns
provides important data that permit the development of
cultural ecological models of human adaptation in the
region. These models are in turn important in the study
of culture process (Reed 1984).
Although it is beyond the scope of this project
to plan, carry out and analyze an intensive survey of the
area around Luster and Roth Caves, it is reasonable to
assume that the caves were utilized for a specific
purpose, and it is possible to extrapolate, within a
reasonable margin of error, what this purpose was. It is
also possible to compare these caves within a context of
sites that have been located, and possibly investigated,
in order to gain at least a peremptory view of the
northwestern Uncompahgre Plateau as it was utilized in
prehistoric times, as opposed to historic times.


30
Research Topic A: Seasonal Occupation
Question 1: At what time of year were Roth
and Luster Caves occupied?
Data Requirements: Seasonality data in the
form of plant and animal remains recovered
from the caves. Analysis relating to this
question must consider the artifact array as
representing various activities. The greater
the array of discrete activities, or a variety
of discrete tasks, the stronger the argument for
use of the site over several seasons.
Question 2: Assuming compatible locations in
the ecozone, were similar activities being
carried out at Roth as opposed to Luster?
Data Requirements: Items of material culture
recovered from controlled contexts which,
when considered as clusters, represent
various activities that were carried out at
or from the sites.
Question 3: Are there comparable sites in
the area?
Data Requirements: Locational analysis to
examine site location, use, and temporality.
Problem Domain IV;__Subsistence
Given the fact that maize was recovered from both
caves, as well as additional macrobotanical remains, it
seems reasonable to assume that subsistence can be


31
addressed to a certain extent. The question that remains
to be addressed, however, is how dependent were they upon
cultivated foods and was the degree of dependence
reflected in the length of time the caves were occupied?
Although the caves appear to be in reasonably good
locations for year-round occupation, the amount of
cultural material recovered and the relatively shallow
occupational depth in the caves would suggest that they
were occupied sporadically. Macro/microbotanical
evidence, as well as faunal material would lend itself to
further answering this question.
Research Topic A: Use of domesticated plants.
Question 1: Did the inhabitants of the caves
plant and harvest the corn recovered during
excavation, or did they obtain it through
exchange of goods?
Data Requirements: Environmental data for
compatible growing seasons; examination of
the corn itself for comparison with other
types located in the area.
Question 2: Were the inhabitants of the
caves involved in irrigation practices?
Data Requirements: Investigation of
irrigable flatlands adjacent to the
habitation sites.
Research Topic B: Wild Resource Exploitation.


32
Question 1: What wild plant and animal foods
were the inhabitants of the caves collecting?
Data Requirements: Analysis of bone scrap,
macrofossils and pollen samples.
Question 2: What is the geographical
distribution of these plants and animals?
Data Requirements: Reconstruction and
understanding of where particular resources
are available, with consideration of seasonal
variation.
Problem Domain V: Social Relationships
and Organization
The study of the social organization of the
prehistoric cultures which occupied the Uncompahgre
Plateau in west-central Colorado is generally limited to
analysis of political organization and residential social
groupings, due to the simple nature of their social
organization (Reed 1984). The collection will provide
enough information to identify possible components of the
social and community organization present during the
occupation of the caves. It is also within the scope of
this research domain to ascertain the extent to which the
two sites may represent one of the two main Formative
cultures known in the region, namely the Anasazi or the
Fremont. It may also be possible to ascertain whether the
materials recovered from the caves represent a culture
which has developed in situ from an Archaic technocomplex.


By identifying the culture which occupied the caves, it
may then be possible to trace any interaction which
occurred with an outside group.
Research Topic A: Social and Political
Organization
Question 1: What type of social and
political organization was characteristic of
the historic and proto-historic inhabitants
of the Uncompahgre Plateau?
Data Requirements: Perusal of historic and
ethnographic literature for insights into the
social and political organization of the Utes.
Research Topic B: Time and Space Relationships
Question 1: Are the artifacts recovered
comparable to each other in time and space?
Data Requirements: Typological comparison of
artifacts and, if possible, an explanation of
time and spatial ranges for those artifacts.
Question 2: Are there associated artifacts
that are dissimilar to the majority of the
collection with regards to time and space?
If so, can these artifacts be traced to their
points of possible origin?
Data Requirements: Typological comparison of
the artifacts.
Question 3: Can inferences be made from the
analysis of the artifacts as to cultural


associations?
Data Requirements: Comparison of artifacts
to find possible points of origin.


CHAPTER 4
MATERIAL CULTURE ANALYSIS METHODS
Analysis of the material culture recovered from
the caves is a vital component of the research, without
which nothing could have been accomplished. Thus, the
following subsections will address the analysis methods
used for each' specific type of artifact mentioned in the
original reports, and which are accounted for within the
acquisition records of the museum. While it would be
desirable to analyze the specimens with respect to the
wide range of possible analysis methods available at this
point in time, due to the small number of specimens
available within a specific material type/database, a
large majority of the reanalysis will not be able to
address certain statistical analyses. Because there has
been a noticeable gap in research on the Uncompahgre
Plateau for thirty years, most of the analyses will rely
on typologies established for the Great Basin and
Southwestern cultures. It will take the collective effort
of researchers working on the Uncompahgre Plateau in the
future to create typologies for this area.


36
JLl.thi.CS
The lithic assemblages (which will also include
the groundstone) from Roth and Luster Caves are examined
separately, following a stylistic and technological
analysis. While lately the emphasis in lithic analysis
has been on attempts to establish "pure" classification
schemes based on statistical manipulations rather than
more description (Holmer 1978, 1986; Holmer and Weder
1980; Wilde 1986), the analysis of the materials from the
caves will emphasize comparison with existing collections
due to the limited number of specimens.
The stylistic analysis will compare typologies
that have already been established for the Great Basin and
Northern Colorado Plateau regions, including Archaic,
Formative and Historic groups. Holmer (1978; Holmer and
Weder 1980) will be consulted to a large degree for the
Archaic and Formative typologies from the eastern Great
Basin.
Given the absence of a well-dated projectile
point sequence for west-central Colorado, literature from
other regions must be referred to for comparative
purposes. However, caution will be exercised to avoid
utilizing the projectile point typologies too casually to
determine site age and cultural affiliation.
Archaeologists all too often suggest that the dates of
point types in other regions are quite similar to the
dates of points in west-central Colorado, and sometimes


37
imply that the cultural groups are the same (Reed 1984).
Plains or Great Basin cultures influence or occupation may
be posited, instead of realizing that many projectile
point types have a very broad geographical distribution,
spanning many cultural groups, and were manufactured over
long periods of time.
The technological analysis will be conducted on
both tools and debitage. Variables which emphasize
production technology will be the primary focus, including
material, type of object, amount of cortex on the
specimen, presence of wear on the specimen and other
modification (Wilde 1986:59-63). The bifaces and
groundstone, although technologically classified within
the analysis will be further broken down into more
traditionally-named categories such as scrapers, knives,
drills, projectile points, manos and metates.
Ceramics
Ceramics have often been a diagnostic cultural
element of archaeological features in the southwest. It
is not until the beginning of the formative period that
ceramics appear to come onto the scene. Ceramics have
also helped to chart external relationships between
cultures through the movement of tradewares, and also the
movement of ceramic elements such as design and form.
Although few ceramics were located at Luster Cave, and
none at Roth Cave possibly suggesting that Roth Cave may


38
predate ceramic technology it is still possible to
compare the ceramics recovered with known types of
Anasazi, Fremont, and Numic origin.
In the Anasazi tradition, the general grayware
types that are noted include Chapin Gray, Moccasin Gray,
Mancos Gray, and Mancos Corrugated. These types are
common throughout the Four Corners region, and are typical
of the Mesa Verde Anasazi variant (Breternitz et al.
1974) .
In the Fremont tradition, the two grayware types
that might occur in this area are Uinta Gray and Emery
Gray (Madsen 1977). Both of these types are similar to
those recovered from Turner-Look, the largest, and
closest, investigated Fremont inhabitation to Luster Cave.
Buckles (1971:531) felt that the ceramics
recovered from Luster Cave were similar to those of the
Fingertip Impressed Type of Uncompahgre Brownware; a type
he feels is typical of the proto-historic cultures that
occupied the Uncompahgre Plateau.
Perishables
Luster and Roth Caves were both protected from the
elements that often afflict more open sites. As a result,
a variety of perishable items that are normally lost
through the processes of decomposition were recovered,
including several fragments of basketry and a quantity of
cordage and quids. The specimens were measured with


39
calipers, and all measurements will be recorded in the
metric system.
Basketry is a class of perishable artifacts that
includes several distinct kinds of items, among which are
rigid and semirigid containers (or baskets proper),
matting, and bags. All forms of basketry are manually
woven without frame or loom. As all basketry is woven, it
is technically a textile class or variety; however, that
term is often restricted to cloth fabrics. Cordage is a
class of elongated fiber constructions that can be
subsumed under the English terms string and rope. The
manufacture of cordage is the oldest fiber-based
technology in the New World archaeological record. The
technological sophistication of these very early cordage
specimens indicates considerable antecedent development.
Cordage manufacture was very likely part and parcel of the
technological repertoire of the earliest migrants to this
hemisphere (Adovasio 1988). j
Basketry specimens were analyzed following
Adovasio (1977) basing the analysis on observances and
measurements of coiling type, foundation type, and stitch
type. Cordage specimens will be allocated to five
structural types. The five structural types were
established on the basis of three interrelated
construction attributes; 1) number and composition of
plies; 2) direction of initial "spin"; and 3) direction of
final twist (Adovasio 1988).


40
The term ply is utilized to mean a strand or bunch
of fibrous material that is almost always twisted. These
strands can be used alone to form single-ply cordage or in
groups to form multiple-ply cordage. Multiple-ply cordage
is produced by twisting two or more "single" plies
together.
An individual ply is simple if it consists of a
single strand or bunch of material with the same twist. A
ply also can be compound. Compound plies are constructed
with multiple strands or bunches of material that are
individually twisted and then twisted with each other in
the opposite direction. Compound plies are therefore
separate pieces of cordage that when twisted with other
such plies form a technically distinct final cordage type.
Spin denotes the initial twist imparted to a fiber
strand or bunch of fibers, and final twist records the
direction imparted to several plies that have been twisted
together. The term spin is used here to designate the
initial twist of a ply because this term is virtually
universal in the archaeological literature on cordage and
because it facilitates cordage description. The direction
of initial spin or final twist can only be S or Z, and
these terms have exactly the same meaning as specified by
Emery (1966:11).
Each specimen was also analyzed for the presence
of splices and knots, as well as length, diameter, number
of twists per centimeter, angle of final twist, and other


41
cordage manipulations, such as rat-tailing, wrapping, etc.
Angle of twist measurements were recorded using procedures
outlined by Emery (1966:11). Cordage formulae follow
Hurley (1979), and the formulae for the five types
identified in the assemblage are shown in Table 1.
TABLE 1
CORDAGE FORMULAE
Type Description Ply Formula
I Single ply, Z twist z
II Single ply, S twist s
III Two ply, Z spun, S twist s z/z
IV Two ply, S spun, Z twist z s/s
V Compound three ply, S and Z S twist spun s z/z s z/z
Adovasio (1975; 1980) states that there is nothing
more homogenous and diagnostic than the basketry
associated with the Fremont culture. Within the Fremont
basketry assemblage are included coiling and twining two
of the three major sub-classes of basket weaves the
third, plaiting, is virtually absent. Coiling is the
numerically dominant subclass of Fremont basketry and is
represented in all Fremont sites where basketry is
preserved. Basketry produced via twining techniques is
relatively uncommon in most Fremont Sites and frequently
is not represented at all.
Trends discernible throughout the culture area
over the 900-year period during which Fremont coiling was


42
produced include a gradual shift from mixed to almost
uniformly R-L work direction, the increased preference of
half rod and bundle foundation to all others, and the
tendency to employ non-interlocking or intentionally split
stitches on the non-work surface to all other types.
Thus, it is reasonable to expect the basketry from Roth
and Luster Caves to reflect these trends, if they are
affiliated with the Fremont Culture.
Bone
Only the worked bone will be discussed within the
context of analysis methodology, as all the unworked
faunal material was placed in the care of another
department at the University of Colorado/Boulder, and has
subsequently been misplaced. Unfortunately even the
curation records only refer to "animal bone" rather than
to specific types precluding even the slightest inference
of information from the records. The worked faunal
material represents a total of 17 specimens from the
collection.
Worked bone has traditionally been categorized in
a variety of classes according to arbitrarily selected
characteristics of the bone from each respective site.
However, in the past ten years the "new archaeology" has
finally reached into the realms of worked bone analysis to
include studies such as the classification of tool types
through usewear analysis (Gooding 1980), experimental


I 43
studies of specific bone implements, such as deer ulnas
(Harrell 1983) and comparative analysis (Dailey 1970a).
Unfortunately, the majority of sites do not produce
samples large enough for major renovations in the analysis
of worked bone, including Roth and Luster Caves. Thus, a
basic analysis determining types of worked bone present -
such as gaming pieces or awls will be conducted, and where
possible, pertinent information as to usewear and
manufacturing techniques will be included.
Macro/Microbotanical Remains
Evidence of cultigens is relatively rare in
archaeological contexts in west-central Colorado. Sites
yielding cultigens are scattered throughout the region in
the lower elevations. Nearly all of the finds are corn,
but two sites, Tabeguache Cave II and 50R243 have yielded
squash remains (Reed 1984). Whether these finds represent
domestic or wild varieties of squash is unknown.
Macro/microbotanical remains provide information
to answer questions about paleoenvironmental data and
subsistence. Several items in the collection could have
been utilized to provide palynological and macrobiotic
information, had certain precautions been taken during the
excavation to prevent contamination (Adams and Gasser
1980; Scott 1983). However, most palynological techniques
were developed 10 20 years after the excavation of Roth
and Luster Caves took place.


44
Macrobotanical remains recovered from the
excavation and curated with the collection will be
examined for charring and other indications that they were
utilized by the population, rather than being by-products
of the local environment (Minnis 1981). Seeds can occur
from several sources, both prehistoric and modern, and in
caves such as Luster and Roth, preservation of both is
typical because of the dry environment, as opposed to open
sites, where generally only charred seeds are preserved at
any depth below the modern surface level (Minnis 1981).
It may often be the simplest, however, to reject all
uncharred undomesticated seeds as modern in origin and to
retain only the charred material as genuine (Keepax
1977:226). Many ethnobotanists use this as a basic rule,
and given the nature of this research, it will be the
basic guideline for determining the status of the
macrobiotic remains.
Of consideration as well is the analysis of the
maize present in the collection. Because of the lack of
funds for re-examination by a paleobotanist, and due to
the relative inexperience in this category by the author,
the analysis of the corn remains by Nickerson provided in
the final publication about Luster Cave will be utilized
(Wormington and Lister 1956) to compare with the current
analysis.


45
Human Bone
The analysis of the human remains will follow
those procedures outlined in Brothwell (1981).
Unfortunately, both the infant burial from Luster Cave
and the child burial from Roth Cave are missing from the
collection. As a result, only the dentition can be
observed, with any conclusions that can be drawn based on
those findings.
Wood
While wood is generally considered only to be
found in the form of charcoal or posts, within the context
of Luster Cave, a variety of worked wood items were
recovered. It may be possible to examine these specimens
for additional information about the types of projectile
points that were being utilized, as well as construction
techniques of the item itself. Artifactual determination
of wooden specimens will be based on any occurrence of
smoothing, cutting, shaping, or binding of the specimens.
Once identified as cultural, the artifacts will be
segregated on the basis of function, although, where use
is not apparent, descriptive categories will be
established.
Charcoal can be utilized for C14 tests, as well
as identified given the appropriate collection with
which to compare it.


46
Minerals
The minerals will be identified according to type.
Any cultural modification that may be present will also be
noted.


CHAPTER 5
LUSTER CAVE ANALYSIS
Lithics
The excavations recovered a lithic assemblage of
211 artifacts. Seventy-nine specimens are classified as
tools while the remaining 132 are debitage. Tools were
classified and analyzed according to basic production
technologies and include flaked or chipped stone and
ground and pecked stone. However, these groupings are
somewhat arbitrary and some overlapping occurs.
Analysis was conducted on both tools and debitage.
Variables which emphasize production technology were the
primary focus of the initial analysis, followed by a
second analysis which focused on specific attributes which
would allow for cross comparison with other lithic
assemblages. Of the 211 specimens present in the
collection from Luster Cave, there were 22 types
delineated within the technological analysis. The
distributions of these types across the site are recorded
in Table 2.
There were two specimens making up the first
type. This type was produced from obsidian; both


TABLE 2
DISTRIBUTION OF TECHNOLOGICAL TYPES IN LUSTER CAVE
48
Area A B C i D E
Level Surf. 1 2 3 4 5 1 2 3 4 5 1 2 3 4 1 12 1
Type 1 1
Type 2 2
Type 3 1
Type 4 1
Type 5 1 5 5 3 1 3 4 4 3 2 3 5 4 2 2 4 2
Type 6 1 2
Type 7 1 3 1 1 3 2 1 1 1
Type 8 1 1
Type 9 3 a 2 5 2 2 2 b 2 3 2 2 1 1 1
Type 10 1
Type 11 1 2
Type 12 1 1 1
Type 13 1
Type 14 1 2 1
Type 15 1
Type 16 1 2 2 1 1 1
Type 17 1 1 1 2 2 2
Type 18 1 1 1
Type 19 1
Type 20 1
Type 21 2
Type 22 1
a = 11, b = 12
Area Level F 13 4 5
Type 1 1
Type 5 1 2
Type 7 2
Type 9 1 d c 3
Type 14 1
Type 16 2
Type 18 2
c
13, d = 17


49
specimens were tertiary flakes. There was one edge which
had been retouched on one specimen; the other specimen had
no visible wear apparent on any edges. Boith of these
specimens are classed as debitage. Because the sample of
obsidian was so small, no further testing on the obsidian
samples was considered.
There were two specimens comprising Type 2. Both
specimens were choppers of basalt, showing mixed cortical
and non-cortical surfaces (Figure 8). On one specimen
there was partial battering along one edge, while the
other chopper exhibited no such wear. Dimensions are 5.38
and 7.4 cm. in length, 6.9 and 6.0 cm. in width, and 3.0
and 3.5 cm. in height.
Figure 8.
Basalt chopper.


50
There was one specimen which made up the third
type. This specimen was a basalt uniface which had been
utilized along one edge, and may be considered a chopper.
It exhibits mixed cortical and non-cortical surfaces.
The following eleven types were all made from
cryptocrystalline silicates, which in all cases from
Luster Cave are chalcedony and chert all of which
appears to have been quarried from local, known quarry
areas (Piontkowski, personal communication).
One specimen makes up this Type 4. It is a
secondary biface of whitish chalcedony. This specimen has
been stained with red ocher in two places along its base.
Fifty-six specimens are included in Type 5, all of
which are tertiary flakes of a variety of chalcedonies and
cherts. Although there did not appear to be visible wear
on the specimens, all of the specimens within this
category are modified bifaces and will be discussed in
detail later in the section. The specimens were recovered
throughout the fill from the cave.
Type 6 is comprised of three specimens of chert.
Each specimen is a tertiary biface, with additional
modification. The three specimens will be discussed later
in the section.
The specimens within Type 7 are all modified
tertiary bifaces of either chert or chalcedony. There
does appear to be visible wear on each specimen.


51
Type 8 is comprised of two unmodified tertiary
unifaces of chalcedony. One specimen appears to have
visible wear along one edge.
Type 9 consists of 84 specimens of various cherts
and chalcedonies. All the specimens are unmodified,
tertiary flakes with wear visible on the surfaces of only
three specimens. All the specimens within this type are
considered debitage, except for the three exhibiting wear,
these specimens are considered utilized flakes. Specimens
of this type were recovered throughout the fill.
Type 10 consists of one specimen. It is a chunk
of chert, without any visible wear or modification.
Type 11 is comprised of three specimens of chert.
The specimens appeared to have mixed cortical and
noncortical surfaces, with little visible wear and no
additional modification. The specimens are considered to
be core fragments.
Three specimens considered to be choppers make up
Type 12. The specimens are of chalcedony, with mixed
cortical and non-cortical surfaces. Some wear was visible
on the edges of the specimens, although there was no
additional modification.
Type 13 is a tertiary biface of siltstone with no
visible wear and no additional modification.
Type 14 is comprised of five specimens of
siltstone. All are secondary flakes with no visible wear


52
or additional modification. All specimens in this type
are considered to be debitage.
One secondary flake of siltstone comprises Type
15. It exhibited no visible wear or additional
modification.
Type 16 is comprised of ten specimens of
sandstone. All specimens are considered cobbles and show
extensive visible wear, although there is no additional
modification. All the specimens in this type are
considered to be groundstone and will be discussed later
in the section.
Type 17 consists of nine specimens of Brushy Basin
quartzite. The specimens are tertiary bifaces, some of
which have additional modification and will be discussed
in further detail later in the section.
Five tertiary flakes of Brushy Basin quartzite
comprise Type 18. There was no visible wear or additional
modification present. All the specimens in this type are
considered debitage.
Type 19 consists of one specimen which is a chunk
of quartzite without any visible wear or additional
modification. The specimen is so clear, it was almost
mistaken for glass.
Type 20 consists of one specimen of quartzite. It
is a cobble with extensive visible wear. This specimen is
considered to be a hammerstone (Figure 9).


53
Figure 9. Quartz hammerstone.
Type 21 consists of two cores with mixed cortical
and non-cortical surfaces of quartzite. There appears to
be limited wear, and no additional modification.
One primary pebble of quartzite comprises Type 22.
There does not appear to be any visible wear or additional
modification. Its possible use is unknown.
Groundstone
There were ten specimens which were determined to
be groundstone all of sandstone. Nine of the specimens
are manos, while one specimen is a piece of sandstone
which has been deeply grooved possibly having been used
to smooth or sharpen bone or wood (Figure 10). The
dimensions of this specimen are 9.27 cm. x 3.14 cm. x 2.15
cm.


54
The manos were of various shapes and sizes (Table
3). Included in the shapes were two rectangular
specimens, one of which had tapered ends (Figure 11).
There were two loaf-shaped specimens, and three round
(Figure 12, 13). There were also two round/asymmetrical
specimens as well. All of the manos were small, and are
considered to be one-handed manos. There were battering
marks on most of the specimens which indicated either
shaping or the use of the mano to pound the grain before
it was ground. There were six two-sided manos and three
one-sided manos. Lengths ranged from 6.51 cm. to 14 cm.;
widths ranged from 4.75 cm. to 10.3 cm.
The mano tool is generally shaped to match the
style of the metate on which it is to be used. Thus, the
small, one-handed mano may be slightly shaped from a river
cobble to fit the basin-shape curvature of the metate.
TABLE 3
DISTRIBUTION OF GROUNDSTONE IN LUSTER CAVE
Type Area Level Material # Handed # Sided
Loaf-Shaped A 5 Sandstone 1 2
Loaf-Shaped B 3 Sandstone 1 2
Rectangular Surface Sandstone 1 1
Rect./Tprd. B 4 Sandstone 1 2
Round B 4 Sandstone 1 2
Round C 2 Sandstone 1 1
Round/Tprd. A 5 Sandstone 1 2
Round/Asym. F 5 Sandstone 1 1
Round/Asym. F 5 Sandstone 1 2
Grvd Sndstne A 1


55
Figure 10. Sandstone arrowshaft smoother.
Figure 11. Rectangular mano


56
Figure 12.
Loaf-shaped mano.
Figure 13. Round mano


57
Bifaces
The bifaces were categorized as follows: 32
points, nine scrapers, eight knives/knife bases, two drill
tips and 24 utilized flakes/bifaces (Figure 14).
Following is a discussion and typological comparison of
the bifaces which are considered to have been modified
into projectile points. Their distribution within Luster
Cave is noted in Table 4.
There were sixteen points with no typological
comparison (Figure 15). The first specimen is corner-
notched with a flaring stem (Figure 15a). It is of
chalcedony. The interesting thing about this point is
that it has a black residue, possibly resin, that covers
parts of the stem.
The second specimen is a side-notched fragment
(Figure 15b). The third specimen is also a side-notched
fragment, although this specimen appears to have been
modified more extensively than the second (Figure 15c).
The fourth through seventh specimens are
notched, spirate triangles (Figure 15d, e).
The eighth and ninth specimens were very rough,
side-notched fragments (Figure 15f).
The tenth and eleventh specimens are small,
well-made points. Both specimens are side-notched,
although one is also notched in the center of the base
(Figure 15g, h).


58
TABLE 4
DISTRIBUTION OF PROJECTILE POINT TYPES IN LUSTER CAVE
Area A B C D E F
Level 12 3 4 1 2 3 4 5 12 3 4 112 15
Untyped 111 1 3 2 3 1 2 1
Buckles' 2 1 1
Buckles' 5 1 1 1
Buckles' 7 1
Buckles' 10 1
Buckles' 18 1
Buckles' 19 2
Elko 1
Pinto 1 1
Gypsum 1 2 1
Desert S-N 1 1
Nawthis S-N 1 1
Uinta S-N 1
Parowan B-N 1 1
Figure 14. Bifaces


59
Figure 15
Untyped projectile points
(actual size).


60
The twelth specimen was a tip fragment, with no
indication of basal modification.
The thirteenth specimen is a non-descript point.
It appears to be a biface, although there is a slight
notching of one side (Figure 15i).
The last two points that were not typed are two
side-notched specimens, although one specimen appears be
somewhat Gypsum-like (Figure 15j).
There were two specimens that compared favorably
with Type 2 described by Buckles (1971). The second of
the two specimens also compares favorably with the Desert
Side-Notched point of Fremont origin (see the Discussion
on Desert Side-Notched points later in section) (Figure
16). Buckles describes this type as small side and
basal-notched points, possibly representing a type that is
more commonly found to the west of the mountains (Buckles
1971:116, Figure 2). This may suggest a Great Basin
origin. Buckles also compares this point type with those
found on the Plains after A.D. 1500 (Buckles 1971:116;
Kehoe 1966).
There are three specimens in the next category
that are similar to Buckles' Type 5 (Figure 15k). Buckles
describes this type as small basal-notched points with
triangular shaped bodies and short expanding bases
(Buckles 1971:119-120, Figure 2). Two of these points
also compare favorably to the Parowan Basal-Notched type
of Fremont origin (Figure 16). Buckles suggests this type


61
Figure 16. Typed projectile points. Elko Side-notched
(a), Pinto Shoulderless (b, c), Gypsum (d,
e), Desert Side-Notched (f, g), Nawthis
Side-Notched (h, i), Uinta Side-Notched
(j) and Parowan Basal-Notched (k, 1). All
points are actual size.


62
resembles large projectile points of Basketmaker and
Pueblo II populations, as well as points found in Fremont
sites (Buckles 1971:146).
The next specimen is comparable to that of
Buckles' Type 7 (Buckles 1971:120, Figure 2) (Figure 16).
It is also comparable to the Gypsum point of Archaic
origin.
The following specimen is comparable to that of
Buckles Type 10 (Buckles 1971:122). Buckles describes
this type as being small triangular unnotched points with
slightly convex to straight sides and slightly convex to
straight bases. Buckles suggests that these points have
their highest frequency relationships with what are
believed to be historic and proto-historic Ute occupations
defined as the Escalante Phase on the Uncompahgre Plateau
(Buckles 1971:122, Figure 2).
The next specimen compares with Buckles Type 18,
as well as Desert Side-Notched (Buckles 1971:130-131,
Figure 3) (Figure 16). Buckles describes this point type
as being large side-notched points with straight or
slightly concave bases. Buckles compares these with
similar specimens from Danger Cave (Jennings 1957:121,
Figures 97a and b), with specimens from the Bitterroot
Phase in Idaho and with early points from Plains sites
(Buckles 1971:130-131).
The next points are similar to Buckles Type 19
(Buckles 1971:131, Figure 3). They are also comparable to


63
Desert Side-notched specimens of late prehistoric origin
(Holmer 1980:60).
There is one specimen which compares favorably
with the Elko Side-Notched type (Holmer 1978) (Figure
16a). The Elko series has traditionally been divided into
three variants: Corner-Notched, Side-notched, and Eared.
The Elko Side-Notched is similar in form to the Elko
Corner-Notched except that the maximum stem width is
approximately equal to the maximum blade width. Tangs are
rarely present; the distal notch angle often approaches
horizontal, causing a shouldered appearance to the blade.
The Elko series projectile points are the most
plentiful but the least temporally diagnostic of the point
types commonly found in the northern Colorado Plateau and
the far eastern Great Basin. About all that can be
positively stated is that they occur after 7600 B.P. They
possibly persisted into historic times; Powell collected a
Paiute hafted knife incorporating and Elko-like point in
1873 (Fowler et al. 1973:41). The great time depth of the
Elko series points refutes the suspicions of several
(Clewlow 1967; Heizer and Baumhoff 1961; O'Connell 1967)
that their temporal occurrence everywhere in the Great
Basin falls between 3500 and 1400 B.P. That estimation is
based mostly bn central and western Great Basin research
with the Danger Cave data being discounted as aberrant
(Heizer and Baumhoff 1961) Hester and Heizer (1973),
however, acknowledge that the Elko series points are


64
probably earlier in the far eastern Great Basin than to
the west, and a diffusion of the Elko series points into
the central and western Basin from the east has been
postulated (Adovasio 1970).
There, are three specimens which compare favorably
with the Pinto Shoulderless (Holmer 1978) (Figure 16b, c).
Holmer (1978) places the age range of the Pinto series at
approximately 8300 to 6200 B.P. at the four Archaic sites
used in his study. Joes Valley Alcove in the northern
Colorado Plateau provides a time span of approximately
8300 to 6300 B.P. for the Joes Valley Tanged points which
are identical to the Pinto series points (Holmer 1978).
These points date more recently at other sites, however,
as they are common between 6500 and 3800 B.P. at O'Malley
Shelter (Fowler et al. 1973) and from approximately 5000
to 3000 B.P. at Swallow Shelter (Dailey 1976). Pinto
points are also reported in western Colorado on the
Uncompahgre Plateau (Wormington and Lister 1956:14)
although no dates are available.
Three points compare favorably with the Gypsum
point (Holmer 1978) (Figure 16d, e). These points have
already been discussed as similar to several types Buckles
distinguished on the Uncompahgre Plateau (Buckles 1971).
The Gypsum projectile point is the most recent
type generally associated with the Archaic stage of the
northern Colorado Plateau and the southern portions of the
Great Basin. The Gypsum point dates from approximately


65
4600 to 1500 B.P. at Sudden Shelter and Cowboy Cave.
O'Malley Shelter (Fowler et al. 1973:42) contained 105
specimens, the most ever found at a single site, and they
date from approximately 5000 to after 1000 B.P. This time
range estimate is supported by radiocarbon dates from
Gypsum Cave (Heizer and Berger 1970:17; Shutler 1967:306)
that indicate a range from approximately 3000 to 2000 B.P.
Gypsum points are unique among Archaic projectile
points and may be of interest in understanding the
development of hafting technologies. It was observed at
Cowboy Cave that most Gypsum points and many later arrow
points have the remnants of pitch on their basal stems
(Jennings 1980). No earlier point types show any trace of
pitch. The discovery of pitch as an adhesive may have
reduced the need for the deep side or corner notches
characteristic of earlier dart points, although deep
notching probably remained a necessity for knife blades
because of the cantilever forces produced during cutting.
The Elko series may represent the type of blades retained
as knives.
Two specimens are similar to the Desert Side-
Notched point, and have already been discussed as being
similar to types Buckles delineated for the Uncompahgre
Plateau (Buckles 1971) (Figure 16f, g). They have been
recovered from excavated sites near the northern and
western periphery of the Fremont area although they have
been reported in uncontrolled situations throughout the


66
Fremont area (Berry and Berry 1976). Of the excavated
Fremont sites they have never been the dominant type,
making up only 12% of the total points recovered (Holmer
and Weder 1980). Of significance is that most of those
sites contain Shoshoni ceramics although they constitute
only 3% of the total ceramic collection (Holmer and Weder
1980). The correlation has been inferred by Fowler et al.
(1973) at O'Malley Shelter, and by Frison (1971) at the
Eden-Farson Site in Wyoming. The conclusion is that the
occurrence of Desert Side-notched points does not result
from Fremont occupations but indicates post-Fremont
Shoshoni use of the area after approximately A.D. 1150
(Holmer and Weder 1980). This conclusion is supported by
the presence of identical point'types in the northern
Plains (Plains Side-notched) after approximately A.D. 1590
(Kehoe 1966).
There were two specimens which compare favorably
with the Nawthis Side-Notched points (Holmer and Weder
1980) (Figure 16h, i). Their distribution is limited to
the southern half of the Fremont region dating from
approximately A.D. 950 to 1250. They are similar, if not
identical, to points associated with Pueblo II occupations
south of the Colorado River. There is no apparent
associations with any single ceramic type although most
sites also produce small quantities of both Kayenta and
Virgin ceramics.


67
One specimen compared favorably with that of the
Uinta Side-Notched points (Holmer and Weder 1980) (Figure
16j). They are widely distributed over the northern half
of the Fremont region dating from approximately A.D. 800
to 1200. Sites where they are the dominant type usually
contain a large percentage of Uinta Gray ceramics. Their
similarity to the Prairie Side-notched points recovered in
the northern Great Plains dating from approximately A.D.
700 to 1300 (Kehoe 1966) supports conjectures of a Great
Plains influence in the northern Fremont areas (Aikens
1966).
There were two specimens which compared favorably
with the Parowan Basal-Notched, both of which have been
discussed previously as being comparable to types
delineated by Buckles for the Uncompahgre Plateau (Buckles
1971) (Figure 16k, 1). The spatial distribution of
Parowan points can be divided into two groups based on
ceramic associations (Homer and Weder 1980). The first
area includes the Virgin River, Santa Clara River, and
Johnson Canyon. The sites in the area have a high
percentage of Virgin ceramics (98%) and very small
percentages of Kayenta, Mesa Verde or Sevier ceramics
(2%). The temporal span clusters between approximately
A.D. 900 and 1200. Parowan points constitute 63% of the
total arrow points from sites in this area.
The second area includes the Parowan Valley, part
of the Sevier River Drainage, and part of Southeastern


68
Nevada. The ceramics from the sites in this area are
predominantly Sevier ceramics. The temporal span clusters
around A.D. 950 to 1150. Parowan points constitute 55% of
the total arrow points recovered.
Parowan points have been noted at other sites at
low frequencies as far east as the Bull Creek drainage.
Not surprisingly, the two pithouses at Bull Creek from
which Parowan Points were recovered were the ones which
had significant quantities of Virgin Kayenta ceramics.
Parowan points are the predominant points in both the
Parowan and Virgin Kayenta cultural regions. They were
used ca. A.D. 950-1150.
Ceramics
There were 32 ceramic fragments present in the
collection; one was a rimsherd and the remaining 31 were
body sherds. Ceramics were only recovered from Luster
Cave. While all the specimens appear to have been
constructed using an obliterated coiling method and all
specimens appear to have some degree of corrugation
present on the outer surface, it appears that there may be
three types of ceramics present, based on core .thickness,
temper, clay, degree of surface manipulation and color.
The first type appears to have been constructed from a
micaceous clay, utilizing small quartz fragments as temper
(Figure 17). Firing was partial oxidation, with the color
a light gray on the surface, and dark gray in the


69
Figure 17. Sangre de Cristo Micaceous Wear.
interior, with a large amount of soot on the outer
surface. There was no slip evident on any of the
specimens. The thickness ranges from .5cm to .6cm. It is
difficult to determine shapes and sizes of vessels without
more rimsherds, but the rimsherd present is of this type,
and the profile indicates that it probably was from a
simple bowl (Figure 18). There appears to have been a
slight corrugation of the exterior surface, but this may
also be due to an only partial obliteration of the coils
on the exterior surface, as well as a heavy layer of soot
which nearly covered the entire outer surface. The
texture of this type was fine-to-medium. There were 25
specimens representing this type, the distributions across
the site are recorded in Table 5.



t
Figure 18. Rimsherd Profile.
TABLE 5
DISTRIBUTION OF CERAMIC TYPES IN LUSTER CAVE
Area B C F
Level 2 3 5 1 4 Surface
Type 1 Type 2 2 5 8 1 3 9
Type 3 1 2
It has been suggested that micaceous ceramics
similar to this first type are variable and have
widespread distributions in context which include
occupations by Utes, diverse Athabascans, Puebloans,
Hispanics and others (Buckles 1988:221; Baugh and Eddy
1987). Baugh and Eddy recommend that such micaceous
ceramics should not be identified with ethnic-specific
classifications, but should be classified as Sangre de
Cristo Micaceous Wear.
The temper of the second and third types was
crushed sandstone. The color was generally a brownish


71
gray to gray, indicating a reducing atmosphere. There was
no slip evident on either the second or third types. The
thickness of the sherds averaged 0.7 cm. to 0.8 cm.,
although there were two specimens with thicknesses of 1.0
cm. The second type indicated a clear corrugation, and
there was little of the sooting on the outer surface that
characterized the first type (Figure 19). Because all of
the sherds from this type were body sherds, it was
difficult to determine the shapes the sherds may have
represented. There were 3 specimens representing this
type.
The third type was very similar to the second
type, except the surface manipulation was comprised of
fingernail impressions, rather than corrugation (Figure
20). One of the specimens had a hole drilled through it,
possibly indicating repair or a way to carry it. The
texture of this type, as well as the second type, was
medium to coarse. There were 3 specimens of this type.
All the types represented are from the same area
of the cave, although separated arbitrarily by Luster's
sections, so it is difficult to separate them temporally,
as well as stratigraphically, from one another. Both
Types 2 and 3 compare favorably with Buckles' Uncompahgre
Brownware (1971:507-522), while Type 1 is considered
similar to the Sangre de Cristo Micaceous Wear.


I o 1 w
Figure 19. Uncompahgre Brownware., corrugated.
Figure 20. Uncompahgre Brownware, fingernail
impressed.


73
Buckles gives a broad range of temporality to
Uncompahgre Brownware, suggesting it was produced
approximately 400-500 years B.P., or with the advent of
the Ute in the area (Buckles 1971:552). The temporality
of the Sangre de Cristo Micaceous Wear can only be guessed
at, since its distribution is across many ethnic and
temporal borders (Baugh and Eddy 1987).
Perishables
There were 171 specimens of perishable materials
present in the collections recovered from Luster Cave.
There is a wide variety of different items considered to
be "perishables". The distribution of the items is
recorded in Table 6.
There were four specimens of basketry present in
the collections, all small fragments (Figure 21). Two of
the specimens were merely a split rod wrapped with a
series of yucca leaves (Figure 21a, b). These specimens
are similar to several examples recovered from Danger Cave
(Jennings 1980:72, 74). The other two specimens are very
small fragments of basketry, one of which had been treated
with some type of preservative (Figure 21c); the other is
merely a segment of a 1/2 rod and bundle held together
with one section of noninterlocking stitch (Figure 21d).
The specimen treated with preservative is a
one-rod-and-bundle foundation held together with


TABLE 6
DISTRIBUTION OF PERISHABLE ITEMS IN LUSTER CAVE
74
Area A B C D E F
Level Sur. 12341234512341112345
Basketry
Quids
Leather:
Modified
Unmod.
Thong
Bundles
Ycca Lvs
Ycca Knts
Cordage:
Yucca
Type 1
Type 2
Type 3
Type 4
Fur
Type 1
Type 2
Type 3
Sinew
Human Hair
Juniper
Unmod:
Hair
Fur
Reed
Ycca Bs.
Atlatl Shft
Arrow Shaft
Gmng Pieces
Shft/Tnon
Wood. Waste
Fbr-wrp. St.
Dcoratd. Rd.
Misc. Wood
5 2
111
2
2
13 2
1 1
1 2
2
1 1
4 1
1 8 2 2 1
1
3
1
1111
4
1
1
1 5
1
1 1
1
1
2 7
2 3 2 5 4
1 1
1
112
1
2
2
1
2
1
1 1
2
2 2
2
2 1
1
4
1
1
1 1
1
2


75

Figure 21. Basketry. Split rod wrapped with yucca
leaves (a, b), basketry treated with
preservative (c) and basketry fragment (d).
non-interlocking stitches. The dimensions of this
specimen are 3.15 cm. x 1.25 cm. x .61 cm.
Adovasio (1971) has traced the differences
between textiles, in particular basketry and cordage, of
the Great Basin and Southwest. Given his descriptions of
the variations between the two areas, the basketry from
Luster Cave is most similar to that of the Great Basin,
where one-rod-and-bundle foundation coiling appears to
have been the standard.
There were 26 yucca quids present in the
collections (Figure 22). There was a note attached to one
of the quids dated May 26, 1956. It said: "Largest quid
Yucca so. One quid evidently has some Aaave fibers in it.
Needs to be checked with A. utahensis. In natural range?
Vorsila L. Bohrer."


76
Figure 22. Yucca quids.
There were 9 specimens of leather present.
Included within this category was one piece of modified
soft hide, six pieces of unmodified soft hide, and two
pieces of thong (Figure 23). The modified soft-hide
category was limited to a specimen of softened skin that
appeared to have several perforations in it for sewing
(Figure 23a). This piece measured 7 cm. by 3 cm, and was
recovered from Area F, Level 3.
The unmodified soft-hide category included scraps
that were probably waste pieces from the manufacture or
repair of soft-hide articles (Figure 23b). This included
six scraps, with sizes ranging from 5.8 cm. to 1.8 cm. in
length, and 5.5 cm. to 1.1 cm. in width.
Two soft-hide thongs were recovered, the length of
the specimens measured 9.3 and 4.8 cm (Figure 23c, d).


77
Figure 23. Modified leather (a), unmodified leather
(b) and leather thong (c, d).
There were seven specimens of unmodified fur/hair.
Included within this category were three specimens of
human hair, all of which were brownish-black in color and
fairly coarse in texture. The remaining specimens
represented lagomorph fur from either the white-tailed
jackrabbit (Lepus townsendii) or snowshoe rabbit (Lepus
americanus).
There was one specimen of an unmodified yucca
plant base from which leaves have been cut off.
There were two bundles present in the collection.
The first specimen was entirely of shredded yucca; the
second specimen was of shredded yucca, yucca leaves,
leather and two Cvmopterus umbelliferae roots (Figure 24).


78
Figure 24. Bundle of shredded yucca leaves, leather
and umbelliferae root.
Umbelliferae roots are noted to have been used for food,
seasoning and medicine (Colton 1974:305; French
1971:385-412; Harrington 1967:171-173; Whiting 1939:86).
This bundle may have been used in a healing ritual, or it
may have been used during travel.
There were 66 lengths of cordage made from plant
fibers recovered from Luster Cave. Analysis of the
collection included manufacturing techniques, material
employed and knot-types utilized. There were no artifacts
made of cordage recovered. The majority of cordage
recovered were small scraps which show the effects of hard
and continual use. Some of the specimens are burned, worn
to the point of unraveling, have broken fibers or are even
worn through. Many of the specimens are knotted together,
indicating a frugal effort to save cordage.


79
In a description of cordage, the term olv refers
to a single yarn which is usually plied with another
single yarn to become a two-ply cord or yarn. The
direction of twist is determined as follows: "If the
elements are twisted in one direction so that the slope of
the spirals, when held in a vertical position, conforms to
the central portion of the letter S, the cord is said to
have an S-twist. If the elements are twisted in the
opposite direction, the cord has a Z-twist." (Rohn
1971:114). Two-ply cords are by far the most common
within this particular collection.
A tabulation the cordage specimens from Luster
Cave according to direction of twist shows 57 pieces of
Z-twist cordage, as opposed to eight pieces of S-twist
cordage. Both twist types are present throughout the
fill of the cave.
There are several methods of spinning yarn with a
spindle; one of the most common is to roll it along the
thigh. Ruth Underhill (1944:36) has shown that twist
direction is dependent upon the direction the spindle is
rolled. If it is rolled away from the body, an S-twist
cord results; if the spindle is rolled toward the body,
the cord will be Z-twisted. This would mean that in order
to make a two-ply Z-twist cord, the first yarn would be
rolled away from the body to get the S-twist, then the ply
twist would be achieved by rolling the yarns toward the


80
body. Spinning along the leg can also be achieved without
the aid of a spindle.
Another method of using a spindle is to drop the
spindle and let it spin freely just above the ground.
Here, as before, the twist direction is determined by the
direction the spinner twists the spindle as it is dropped.
It is impossible to say what method was employed at Luster
Cave, although the absence of any spindle whorls may
indicate employment of the first method discussed.
Of the 66 total cordage specimens, 63 are two-
ply, obviously the most popular manufacturing technique.
The remaining three are single ply, which may represent
cordage which has come unplied.
Overhand and square knots appear to have been
utilized for a variety of purposes relating to the
cordage. Overhand knots appearing at the ends of cords
may have prevented the fibers from unraveling. Square
knots, as well as granny knots, were used to join two
pieces of cord together. It has been noted that the
square knot seems to predominate in the Southwest
(Basketmaker through Pueblo), whereas the sheetbend and
overhand knots are more common in the Great Basin
(Lambert and Ambler 1961:57).
Within the collection of cordage, it appears that
there are eleven types, based on material, number of
strands, and direction of ply.


81
There were 41 specimens of yucca cordage which
made up four types.
The first type was a single specimen made up of a
combination of a strand of yucca fibers and a strand of
sinew (Figure 25a). It was a Z-twist, with a length of
5.3 cm., and a thickness of 1.31 cm. There was just one
twist per centimeter, and the angle of the twist was 60
degrees.
The second type is made up of 34 specimens of
two-strand, Z-twist Yucca fibers (Figure 26). There were
four specimens with only two twists per centimeter, with
twist angles of 60 degrees (two specimens), 65 degrees and
75 degrees (one specimen each). There were eleven
specimens with three twists per centimeter, with twist
angles of 45 degrees (3 specimens), 60 degrees (six
specimens), 65 degrees and 75 degrees (one specimen each).
There were eight specimens with four twists per
centimeter, all with twist angles of 60 degrees. There
were five specimens with five twists per centimeter, with
twist angles of 45 degrees (one specimen), 60 degrees
(three specimens) and 75 degrees (one specimen). Lengths
range from 1.61 cm. to 33.5 cm.; thickness ranged from 0.1
to 0.61 cm.
The third type includes five specimens of two-
strand, S-twist Yucca fibers (Figure 26). Lengths range
from 4.4 cm. to 5.7 cm.; widths range from 0.15 to 0.16
cm. Three of the specimens had 4 twists per centimeter,


Figure 25. Yucca and sinew cordage (a) and sinew cordage
(b, c and d).
Figure 26. Yucca cordage. S-twist cordage (a) and Z-
twist cordage (bf c, d, e and f).


83
all with angle twists of 60 degrees. There was one
specimen each which had 3 and 5 twists per centimeter,
with angle twists of 45 and 60 degrees, respectively.
The fourth type is comprised of one specimen of a
single twist of yucca fibers. Its length is 14.4 cm. and
the thickness is 0.1 cm.
There are eleven specimens of fur cordage, of
which there are three types.
The first type is comprised of eight specimens of
two-strands with a Z-twist (Figure 27). There were either
2 or 3 twists per centimeter, .three being the most popular
with six specimens. The angle of the twist was either 30
degrees (three specimens), 45 degrees (four specimens) or
60 degrees (one specimen). The lengths ranged from 2.85
cm. to 22.0 cm.; thicknesses ranged from 0.27 cm. to 0.81
cm.
The second type was comprised of two specimens of
one strand cm.; thicknesses were 0.5 cm. and 0.27 cm.,
respectively.
The third type was comprised of a single specimen.
This specimen was a two-strand, S-twist cord. There were
two twists per centimeter, and a twist angle of 60
degrees. The length was 4.8 cm. and the thickness was 0.8
cm.
There were nine specimens of sinew which made up
two types. Both types were of two strands, eight of which
had a Z-twist and one which had an S-twist (Figure 25b, c


84
Figure 27. Fur cordage.
and d). Eight specimens had three twists per centimeter,
and one specimen (not the S-twist) had four. All
specimens had a twist angle of 60 degrees. Lengths ranged
from 2.85 cm to 16.5 cm; widths ranged from 0.15 cm. to
0.29 cm.

There was one specimen of cordage made of human
hair fiber (Figure 28). It was a loosely woven
two-strand, Z-twist cord, with two twists per centimeter.
The twist angle was 60 degrees. The length of the
specimen was 11.3 cm.; the thickness was 0.3 cm.
A final type of cordage was made of shredded
juniper, all the specimens were two-strands with a Z-
twist (Figure 29). Three of the specimens had one twist
per centimeter, with a twist angle of 60 degrees. A final
specimen had two twists per centimeter, with a twist angle


o i 2 Ben-
Figure 28. Human hair cordage.
Figure 29. Shredded juniper cordage.


86
of 75 degrees. Lengths ranged from 10.5 cm. to 22.5 cm.;
thicknesses ranged from 0.29 cm. to 0.49 cm.
There were 15 specimens of shredded yucca leaves
and 14 yucca leaves consisting of only a knot (Figure 30).
The purpose of these specimens is unknown, although the
shredded leaves may have been in a preparatory state for
cordage. The specimens which consist of only a knot may
be remnants of fiber which was used as cordage. Another
possibility may be that they were "doodles" and have no
significant use. Among the knot-types represented, there
were two Larks-head, seven square knots, three overhand,
one double and one figure-of-eight.


87
There were 26 specimens of wood present in the
collection of artifacts recovered from Luster Cave. The
artifacts were separated on the basis of apparent
function, although where use was not apparent, descriptive
categories were established. Ten types were represented
in the collection.
Two of the specimens from the collection were
determined to be atlatl dart shafts (Figure 31).
Diameters, were 0.72 cm. and 0.74 cm., and 10.6 cm. and
19.6 cm. in length, respectively. Atlatl shafts are
common in dry cave sites throughout the desert Southwest.
Four wooden foreshafts were judged to be parts of
composite arrows (Figure 32b, c; 33a). Two of the
specimens appear to be V-notched proximal sections. There
appears to be resin residue within the notch of both
specimens. Both specimens are 0.62 cm. in diameter; the
lengths are 3.9 and 4.83 cm. The other two specimens are
unidentifiable fragments, although it is most likely they
are sections of arrow shafts. The diameters of these
specimens are 0.62 cm. and 0.6 cm.; the lengths are 2.1
and 2.94 cm.
Wood parts of composite arrows are commonly found
in Southwestern sites where perishable artifacts are
preserved (Janetski 1980).
Two specimens from the collection were classified
as gaming pieces (Figure 34). Both specimens are
undecorated. Cuts on opposite ends of the piece can


Figure 31. Atlatl shafts.
Figure 32. Arrow foreshafts (b, c) and painted reed
fragment (a).


Full Text

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A REANALYSIS OF ARCHAEOLOGICAL MATERIALS FROM ROTH AND LUSTER CAVES by Elizabeth Kae Smith-McDonald B.S., Brigham Young University, 1983 A thesis submitted to the Faculty of the Graduate School of the University of Colorado in partial fulfillment of the requirements for the degree of Master of Arts Department of Anthropology/Sociology 1989 td }

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This thesis for the Master of Arts degree by Elizabeth Kae Smith-McDonald has been approved for the Department of Anthropology/Sociology by .,.

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Smith-McDonald, Elizabeth Kae (M.A., Anthropology/ Sociology) A Reanalysis of Archaeological Materials from Roth and Luster Caves Thesis directed by Assistant Professor Craig R. Janes The research covered in this paper deals with the contribution previously curated materials add to solving current research problems in chronology, sub-sistence, settlement patterns and social organization and relationships. Artifacts recovered from the 1952 excavation of Roth and Luster caves in west-central Colorado were reanalyzed and a radiocarbon sample was tested to provide the data needed to answer the research problems. An Archaic and late Formative occupation are theorized for Luster Cave. Roth Cave provides evidence that it may have been occupied during the Archaic period. The for.m and content of this abstract are approved. I recommend its publication. Signed c iii

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To Emily, may you grow surrounded by love and happiness

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ACKNOWLEDGEMENTS I would like to thank Michael Piontkowski for all the help and advice he provided during the course of my research as well as providing the funds for the radiocarbon test. I would like to thank Diana Leonard and Jeannette Mobley-Tenaka of the Henderson Museum for preparing the collection and providing me with all the available records in the Museum's possession, as well as support during my research. I would like to thank Craig Janes, Lorna Moore, and Jim Grady for their help as members of my thesis committee. I would like to thank Kate Aasen-Rylander for her advice concerning my macrofossil analysis. I would also like to thank Jim Wilde for his comments and criticisms on the rough draft of my thesis. I would also like to thank my family for their support during this project. Last, but not least, I would like to thank my husband Ken for his support, encouragement and love throughout this entire project.

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CONTENTS TABLES. . . . . . . . . . . . . . . . . . . . . . . . X FIGURES ......................................... . . xi CHAPTER 1. INTRODUCTION. . . . . . . . . . . . . . . . . 1 2. THE ENVIRONMENTAL ANED CULTURE-HISTORICAL CONTEXT OF ROTH AND LUSTER CAVES............ 3 Environmental Context. . . . . . . . . . . . 3 Previous Research. in West-Central Colorado. . . . . . . . . . . . . . . . . . 11 Culture-Historical Overview .. 17 The Paleoindian Period.................... 18 The Archaic Period........................ 19 The Formative Period. . . . . . . . . . . 19 The Protohistoric Period.................. 23 3. RESEARCH DESIGN ........................... ... 25 Problem Domain I: Status of the Collection. . . . . . . . . . . . . . . . 2 5 Problem Domain II: Chronology............... 27 Problem Domain III: Settlement Patterns. . . . . . . . . . . . . . . . . 29 Problem Domain IV: Subsistence.............. 30 Problem Domain V: Social Relationships and Organization .... ...................... 32 4. MATERIAL CULTURE ANALYSIS METHODS............. 35 Li thics. . . . . . . . . . . . . . . . . . . 3 6 Ceram.ics.................................... 37

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5. 6. 7. 8. viii Peri shab.le s . . . . . . . . . . . . . . . . 3 8 Bone ................ 42 Macro/Microbotanical Remains................ 43 Human Bone . . . . . . . . . . . . . . . . . 4 5 Wood ..... 45 Minerals ..... .............................. 46 LUSTER CAVE ANALYSIS .... Li thics ............ Groundstone. Bifaces. Ceramics .... Perishables. 47 47 53 57 68 73 Worked Bone. . . . . . . . . . . . . . . . . 94 Macrofossils. . . . . . . . . . . . . . . 99 Human Bone ................................ Minerals ................................. Radiocarbon Date ........................... ROTH CAVE ANALYSIS . . . . . . . . . . . . . . Li thics .................................... .............................. Bifaces .................................. Perishables . . . . . . . . . . . . . . . . Worked Bone Macrofossils ............................... Human Bone DISCUSSION . SUMMARY AND CONCLUSIONS ...................... REFERENCES CITED .................................... 105 106 107 109 109 111 114 117 127 126 128 130 138 140

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ix APPENDIX A. ARTIFACT CATALOG. .............................. 15 0

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TABLES Table 1 Cordage Formulae . . . . . . . . . . . . . . . 41 2. Distribution of Technological Types in Luster Cave.................................. 48 3. Distributionof Groundstone in Luster Cave. . . . . . . . . . . . . . . . . . . . 54 4. Distribution of Projectile Point Types in Luster Cave.................................. 58 5. Distribution of Ceramic Types in Luster Cave ......................................... 70 6. Distribution of Perishable Items in Luster Cave. . . . . . . . . . . . . . . . . . 7 4 7. Distribution of Worked Bone in Luster Cave . . . . . . . . . . . . . 9 4 8. Macrofossils from Luster Cave .................. 100 9. Corn Cob Measurements from Luster cave ......... 102 10. Distribution of Minerals in Luster cave ........ 107 11. Distribution of Technological Types in Roth Cave. . . . . . . . . . . . . . . . . . . . . 110 12. Distribution of Groundstone in Roth cave ....... 112 13. Distribution of Projectile Point Types in Roth Cave ........................ . . . . . . 115 14. Distribution of Perishable Items in Roth Cave. . . . . . . . . . . . . . . . . . . . . 118 15. Macrofossils from Roth Cave .................... 125 16. of Artifacts in Luster cave. . . . . . . . . . . . . . . . . 132 17. Distribution of Diagnostic Artifacts in Roth Cave. . . . . . . . . . . . . . . . . . 132

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FIGURES Figure 1. Luster Cave location map....................... 4 2. Roth Cave location map. . . . . . . . . . . . . 5 3. The Uncompahgre Plateau Region................. 7 4. Excavation plan of Luster Cave................. 10 5. Excavation plan of Roth Cave................... 10 6. Frontal view of Luster Cave.................... 12 7. Location of sites on the Uncompahgre Plateau............... . . . . . . . . . . . 14 8. Basalt chopper. . . . . . . . . . . . . . . . . 49 9. Quartz hammerstone............................. 53 10. Sandstone arrowshaft smoother.................. 55 11. Rectangular mano. . . . . . . . . . . . . . . . 55 12. Loaf-shaped mano............................... 56 13 Round mane . ..... . . . . . . . . . . 56 14. Bifaces. . . . . . . . . . . . . . . . . . . . 58 15. Untyped projectile points...................... 59 16. Typed projectile points ................ ;....... 61 17. Sangre de Cristo Micaceous Wear................ 69 18. Rirnsherd profile............................... 70 19. Uncompahgre Brownware, corrugated.............. 72 20. Uncomphagre Brownware, fingernail imp res sed. . . . . . . . . . . . . . . . . . 7 2 21. Basketry ............. . . . . . . . . . . . . 7 5

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22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. 35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. Yucca ..... .............................. Modified leather .............. Bundle of shredded Yucca leaves ............... Yucca and sinew cordage. Yucca cordage. ................................. Fur cordage ... ............................ Human hair cordage. Shredded juniper cordage .... Yucca knots .................. Atlatl shafts .... .......... Arrow foreshafts and painted reed fragment ................... Arrow shaft and modified wood. Wooden gaming pieces. Shafts with tenons ............................ Woodworking waste. Fiber-wrapped twigs ........................... Bone awls ... Bone gaming piece and.bone tubes. Bone shell bead fragment, pendant. bone fishhook and Antler flakers. Macrofossils. Tooth crown fragment. Burial matting. Quartz hamm.erstone ............................ Loaf-shaped mano .............................. Round mano .... Rectangular mano. xii 76 77 78 82 82 84 85 85 86 88 88 89 89 91 92 93 95 97 98 98 100 105 106 111 112 113 113

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49. 50. 51. 52. 53. 54. 55. 56. 57. 58. 59. 60. 61. Bifaces ... Projectile points. Basketry Basketry fragment. fragment. Worked wood. ................................. Yucca quids. ................................... Unmodified leather. Yucca Yucca Yucca Bone cordage ..... leaf bundle. knots ..... awl fragments. Macrofossils ....................... .......... Human Bone . . . . . . . . . . . . . . . . . xiii 115 116 118 119 120 120 121 122 123 124 125 126 129

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CHAPTER 1 INTRODUCTION In 1951, a joint archaeological excavation was established between the University of Colorado Museum and the Department of Anthropology to pursue research in the Glade Park area of west-central Colorado. Two caves and three arroyo sites were excavated during the summer with the results published in the March 1952 edition of Southwestern Lore, and subsequently in "Archaeological Investigations on the Uncompahgre Plateau in West-Central Colorado" by H. Marie Wormington and Robert H. Lister (1956). The materials from the sites were then curated at the Henderson Museum on the University of Colorado/Boulder campus, and essentially forgotten. This project addresses a research problem dealing with previously curated materials, that is, do these materials have any value in contributing to solutions to research problems archaeologists are addressing at this time? This project is a reanalysis of materials excavated from Roth and Luster Caves in west-central Colorado that have been curated in a museum more than 30 years ago in order to investigate the possibility that they could contribute pertinent information to an area that has been neglected for nearly that same length of time. The area

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2 originally excavated is also of significance as a possible transition zone between two Formative cultures, as well as having been occupied by both an Archaic and Post-Formative group. The two sites in question, Roth cave and Luster Cave, have been placed at various times within the context of several of these cultural units (Buckles 1971; Lister and Dick 1952; Pierson 1980; Wormington and Lister 1956). The main research problem for this project is to attempt to establish more clearly cultural affinity for both of the sites. Projectile point and ceramic typologies will be utilized in tandem with radiocarbon dating to solve this problem. Additional materials recovered from the caves will also be utilized in answering research questions pertaining to subsistence, settlement patterns and social relationships.

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CHAPTER 2 THE ENVIRONMENTAL AND CULTURE-HISTORICAL CONTEXT OF ROTH AND LUSTER CAVES Environmental Context Roth Cave is located in Mesa County, Colorado, while Luster Cave is located in Grand County, Utah, approximately 100-200 yards west of the Colorado/Utah state border. Both caves are in the Glade Park region on the western edge of the Uncompahgre Plateau at elevations of 6400 feet mean sea level (MSL) and 5400 feet MSL, respectively. Luster Cave sits approximately 400 yards west and 100 feet upslope from the Little Dolores River, with Roth cave located at the foot of a sandstone cliff about 500 yards north of the Little Dolores River, and approximately 100 feet above the river (Lister and Dick 1952; Wormington and Lister 1956). The approximate geographic location of Roth.Cave is T12S R103W Section 17 (U.S.G.S. Sieber canyon 1:24,000), with Luster cave at T20S R26E Section 32 (U.S.G.S. Westwater 1:24,000) (Figures 1 and 2) The Uncompahgre Plateau is considered part of the Canyon Lands Section ofthe Colorado Plateau and is

PAGE 16

Figure 1. Luster Cave location map. U.S.G.S. Westwater 1:24,000. Sec. 32, T20S, R26E, Grand County, Colorado. 4

PAGE 17

Figure 2. Roth cave 1:24,000. Colorado. location map. U.S.G.S. Sec. 17, T12S, R103W, .I 4 II u n n II II II 5 Sieber Canyon Mesa County,

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6 located mainly in west-central Colorado, with the northwest end extending about 25 miles into Utah (see Figure 3). The Plateau is about 115 miles long and 25 miles wide and forms the divide between the Uncompahgre-Gunnison and San Miguel-Dolores River systems. Throughout much of its length the Plateau is comparatively level, gently sloping towards the northeast from its highest points on the southwest side. This tableland is broken by numerous steep-sided narrow canyons which cross it from southwest to the northeast. Structurally the Uncompahgre Plateau is a fault block or uplift, and is mostly surfaced by sandstone and mudstone of the Dakota-Morrison formations and the Glen Canyon group. Elevations on the Plateau range from about 5,000 feet MSL on the northwest end to over 14,000 feet MSL to the southeast. Average yearly precipitation varies from about 8 inches at lower elevations to over 23 inches at higher elevations, with themajority of the Plateau receiving about 12 to 16 inches. A large percentage of the precipitation occurs in winter and early spring with January, February and March being the months of heaviest snowfall. Summer temperatures average 55 degrees at higher elevations and 75 degrees at lower elevations. On average, there are 140 days between the last frost of spring and the first frost of autumn at lower elevations, but at higher elevations the average is only about 50 days.

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0 10 20mlles UTAH I I I I I 1 Figure 3. The Uncompahgre Plateau Region. 7

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8 The most current climatic information closest to the sites is derived from the Little Dolores and Little Dolores 5 NE climate stations, located at 6700 and 6380 feet MSL, respectively. Unfortunately, the stations monitored only precipitation information. The temperature information is taken from the Colorado National Monument station, at an elevation of 5780 feet MSL, approximately three miles from Roth Cave. The mean annual temperature is 63.7 degrees Fahrenheit, while the average high and low temperature for January.is 34 degrees Fahrenheit and 13 degrees Fahrenheit. The average high and low temperature for July is 94 degrees Fahrenheit and 64 degrees Fahrenheit. Annual precipitation averages 13 inches. with 1.45 inches and 0.40 inches as the average maximum and minimum amounts occurring in January. The average maximum and minimum amounts occurring in July are 2.91 inches and 0.53 inches. Average annual snowfall is recorded as 78.1 inches from the Little Dolores climate station. This information was not available from the Little Dolores 5 NE climate station. Luster Cave is located in the Plains Lifezone (> 6,000 feet), and is characterized in this area by dry grasslands -mostly sage and yucca, occasional shrubs -typically pinyon, juniper and scrub oak with few trees, except those located along permanent water sources -the Little Dolores River in this case.

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9 Roth cave is located in the Foothills Lifezone (6,000 8,000 feet) which is characterized by extensive areas of grass and shrubs including pinyon, juniper, scrub oak, sage and yucca, in this area. The method of excavation followed a similar procedure in both caves (Lister and Dick 1952:71, 80; Wormington and Lister 1956:95-96, 106-107). To assist in horizontal control during excavation, and as part of the mapping process, points at five foot intervals were marked and numbered upon the cave walls. These marks were used as reference points for locating all objects encountered during the excavation (Lister and Dick 1952:71, 80; Wormington and Lister 1956:95-96, 106-107). Six areas in Luster and three areas in Roth, all identified.by letters, were excavated (Figures 4 and 5). Material from each area was removed in levels of 12 inches until the cave floor was encountered, allowing for the determination of vertical position of all artifacts found (Lister and Dick 1952:71, 80; Wormington and Lister 1956:95-96, 106-107). An attempt was made to locate all cultural material in place, but screening facilitated the location of smaller items. Approximately three-quarters of Luster Cave and one-third of Roth Cave were excavated (Lister and Dick 1952:71, 80; Wormington and Lister 1956:95-96, 106-107). A map was made of each cave before excavation started, and a photographic record was kept during the operation. Detailed notes were entered into field notebooks

PAGE 22

10 I I I I D ILevel \ I[]) 2Levels I mmJ 4Levels I m SLevels Grooved Sondstone Boulder I 0 5 IOfeet I I Figure 4. Excavation plan of Luster Cave (From Wormington and Lister 1956:95) .... -. ....... --CJ I Level liliill 3 Le ve Is 0 5 10 feet Figure 5. Excavation plan of Roth Cave (From Wormington and Lister 1956:107)

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11 throughout the work, and a field catalog was kept for all specimens recovered with all specimens being numbered so that they could be identified at a later date (Lister and Dick 1952:71). Unfortunately, the photographic record, as well as the field notebooks, could not be found in any files at the Henderson Museum during the course of this project. A recent survey of Luster Cave indicated that there is little left that could be reexcavated (Figure 6). The fill in the cave has been disturbed, not only the excavation in the 1950s, but it also appears as if there has been recent disturbance as well. Previous Research in West-Central Colorado Research on the Uncompahgre Plateau of west-central Colorado over the last fifty years has indicated that a variety of different cultures have occupied the area including the Archaic and Ute. A Formative culture may have also occupied the area, although further research is needed to establish possible affiliation with the Formative cultures bordering the area. The earliest reported work on the Uncompahgre Plateau was a survey of the Paradox Valley and adjacent areas in 1931 by the State Historical Society of Colorado and the Smithsonian Institution (Woodbury and Woodbury 1932). While most of the study was conducted south of the Uncompahgre Plateau in the Paradox Valley,

PAGE 24

Figure 6. Frontal view of Luster Cave, looking into the cave from the east. 12 ( t

PAGE 25

13 some survey work was done on the Plateau, and the Woodburys reported finding a pueblo about four miles west of Norwood along Naturita Creek. Harold Huscher (1939) conducted a survey along the northeastern slope of the Plateau and reported a number of preceramic sites which contained crude grinding stones, thin bifacially-flaked knives and projectile points. Huscher and Huscher (1943) also encountered circular stone structures which they argued were hogans of Athabascan (Navajo) origin. Many of these structures, particularly those located on the southwestern slope of the Uncompahgre Plateau, resemble Tabeguache and Cottonwood Pueblos and were associated with Black-on-White pottery, suggesting that they were not hogans at all but were possibly affiliated with a formative culture. A majority of the sites which have been excavated on the Plateau are rock shelters. C.T. Hurst from 1939 to 1947 worked op several of these sites. The first site, Tabeguache Cave I, was located about ten miles northeast of the town of Nucla and was considered by Hurst to be a Basketmaker II site (Figure 7). This cave contained slab-lined cists with some corn and square-toed sandals. Tabeguache Cave II was located about ten miles downstream from Cave I, and Hurst (1945) believed that it had been occupied at three different time periods. The earliest I occupation he attributed to a pre-Basketmaker people which are represented by the Tabeguache point, bifacial knives

PAGE 26

ROTH cAVE Glade I I I Monticello m,r;;------. ..1 UTAH COLORADO Park GRAND JUNCTION Moore and Casebier Sites \ .Montrose N.F. ,Figure 7. Location of sites on the Uncompahgre Plateau. 14

PAGE 27

15 and milling stones. The second occupation was by nomads who were contemporary with Basketmaker II peoples. Hurst (1945:8) that these nomads had obtained Basketmaker items by trade or conquest. This level contained some corn, corner-notched points, rod and bundle basketry and a slab-lined cist. Hurst attributed the upper level, which contained pottery and various stone artifacts, to the Utes. Hurst (1948) excavated another rock shelter, Cottonwood Cave, about nineteen miles east of Nucla, which he claimed was also a Basketmaker II site. Cottonwood Cave contained a bundle of corn, yucca fiber cordage, metates and square-toed sandals. The westernmost rock shelter excavated by Hurst (1947) was Dolores Cave, located along the Dolores River near the town of Uravan, and was occupied from Basketmaker II times to the early historic period. This cave contained a slab-lined fireplace, a few stone artifacts, and a rope-wrapped bundle. In addition to these rock shelters, Hurst also excavated several small masonry structures on the Uncompahgre Plateau. Tabeguache Pueblo was located 14 miles northwest of Nucla, and Cottonwood Pueblo was 16 miles east of Nucla. On the basis of pottery types, Hurst (1946, 1948) regarded these ruins as belonging to the Pueblo I and II time periods. During 1948 Hurst excavated another structure in the same settlement as

PAGE 28

Cottonwood Pueblo, but he died that winter and no information about this structure was ever published. 16 H.M. Wormington (Wormington and Lister 1956) worked on the northeastern slope of the Plateau where she excavated the Moore, Casebier and Taylor sites. Robert Lister excavated the Alva Site near the Taylor Site. All of these sites were rock shelters which Wormington and Lister felt represented a single complex which they named the Uncompahgre Complex. This precerarnic and prehorticultural complex is believed to have begun sometime during the first or second millennia B.C. Wormington and Lister (1956:81) describe this complex as being characterized by specialized cutting and scraping tools which they called Uncompahgre Scrapers; a great variety of projectile point types; occupation of caves or rock shelters; bifacially-flaked knives; thin, flat milling stones; and various bone implements. Wormington and Lister (1956:81) believed that 'it was probable that this complex was widely distributed on the Uncompahgre Plateau, and attributed the sites reported by Huscher (1939) on the northeastern slope as belonging to this complex. They also placed Hurst's Dolores Cave and the lowest level of Tabeguache cave II in this complex. Buckles (1971) excavated several Uncompahgre Complex rock shelters on the northeastern slope of the Plateau, and he suggested that this Archaic pattern continued on the Plateau until historic times. Buckles (1971:1170) also

PAGE 29

proposed that during part of this time there was a coexistence of the hunters and gatherers of the Uncompahgre Complex with horticultural groups. 17 Lister (Lister and Dick 1952, Wormington and Lister 1956) also worked in the Glade Park area on the northwestern edge of the Uncompahgre Plateau. The sites excavated include Luster Cave, Roth Cave, the Arroyo Sites and the Little Park Caves. The Arroyo sites contained projectile points, knives, milling stones, a clay figurine, corn cobs, and a Fremont-like petroglyph showing human figures with headdresses. Roth Cave had projectile points, metates, basketry but lacked pottery. Luster Cave contained corn, various stone artifacts, basketry, cordage, and Ute-like pottery. Following the work of Wormington and Lister there was little archaeological research completed on the Plateau until Metropolitan State College of Denver held field schools in the area during 1974-77. Unfortunately, there has been little published dealing with these excavations. Crane (1977) completed macrobotanical research on the Weimer Ranch sites, excavated by C.T. Hurst in 1947-48, of which only one had been reported (Hurst 1948). Culture-Historical Overview The cave sites are within the potential geographic range of several aboriginal cultures: the Paleoindian,

PAGE 30

18 Archaic, Anasazi, Fremont and Nurnic (Ute). Researchers have utilized a general culture-temporal framework as a heuristic device for organizing these synchronic cultural manifestations into a diachronic evolutionary framework: the Paleoindian period (ca. 10,000 B.P. to 8,000 B.P.), the Archaic period (ca. 8,000 B.P. to ca. A.D. 500), the Formative period (ca. A.D. 500 to A.D. 1150/1200), and the Protohistoric period (ca. A.D. 1300/1400 to ca. A.D. 1776). The historic period began with the documented travels of the Dominguez-Escalante Expedition. Subsequent decades saw limited use of west-central Colorado by EuroArnericans; utilization became intense only after the gold rush to western Colorado in the 1850s, and the removal of the Utes in early 1880s (Reed 1984). The Paleoindian Period Peoples representative of the Paleoindian period appear to be the first to inhabit the region. Evidence of this big-game hunting adaptation is presently found in the form of projectile points occurring as isolated artifacts or on sites with later cultural materials. Sites in which Paleoindian materials have been recovered include a deep horizon at Christmas Rockshelter, located near Montrose, from which Buckles (1968, 1971) recovered a base of a Paleoindian point (Reed 1984) There has not been an absolute date associated with the point, but since nothing associated with it is younger, Buckles (1968, 1971) feels it is of Paleoindian origin. several Folsom and Plano

PAGE 31

19 points have also been collected as surface finds near Montrose, on the Uncompahgre Plateau, along the Gunnison River along the base of Grand Mesa (Piontkowski, personal communication 1989), in Dinosaur National Park and in Tabeguache Canyon (Cassells 1983). The Archaic Period As te.rminal Pleistocene environmental conditions were supplanted by those mor.e similar to today' s, the big-game hunting adaptation of the Paleoindians was replaced by one emphasizing plant collection and processing and the hunting of a wider variety of smaller fauna. Human populations evidently grew, as sites attributed to the Archaic Stage are quite numerous. These sites outnumber those affiliated with other cultural units in west-central Colorado. The sites that have been investigated include the Taylor, Alva, Casebier and Moore Rockshelters (Wormington and Lister 1956) Levels of Christmas Rockshelter have also been placed within this cultural context (Buckles 1968, 1971). C.T. Hurst also excavated the Tabeguache Cave sites which have been placed within this cultural context (Hurst 1940, 1943, 1944, 19451 1946) o The Formative Period Following A.D. 1, there occurred an important shift in the economic adaptations of prehistoric peoples in the northern Colorado Plateau. Cultigens became an

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20 important source of food, and ceramics and substantial habitation structures appeared. Traditions such as the Anasazi in southwestern Colorado and the Fremont of Utah and northwestern Colorado flourished in many areas. In west-central Colorado, however, there is rather limited evidence of these formative cultures. The degree to which the prehistoric peoples of west-central Colorado conformed to a Formative Stage lifeway is presently not well understood. Present indications are, however, that the transition from an Archaic lifeway to a Formative lifeway may not have been as complete as compared to other contemporary groups of the northern Colorado Plateau. Recent archaeological investigations in westcentral Colorado have produced no firm evidence of Basketmaker III manifestations. Further, this research has not supported the Anasazi cultural affiliation of Formative Stage sites, as once posited for the area (e.g., Schroeder 1964). Whereas the general adaptive strategies represented such sites as Cottonwood, Tabeguache I and II and Dolores Caves may have been similar to the Basketmaker II culture, as no Basketmaker II surface structures such as those found in the Durango area (see Morris and Burgh 1954; Reed and Kainer 1978) have been discovered. The later stone structures lack key architectural features such as kivas and high walls, and have far too few ceramics to represent a typical Anasazi site. Certain artifact types, such as manos, vary

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considerably from contemporaneous Anasazi sites. In short, architectural and artifactual variation seems too great to support the presence of a bona fide Anasazi occupation of the project area. 21 If the Formative Stage sites in west-central Colorado are not considered Anasazi, then it follows that they be compared and contrasted to the other recognized Formative Stage culture in the area, the Fremont. The San Rafael variant is the Fremont variant closest to the project area. The Uinta variant may actually extend southwards to the vicinity of Cisco, Utah, to include the Turner-Look site, which yields a large number of calcite tempered Uinta Gray ceramics (Wormington 1955). Currently, there are several sites that are associated with the Fremont culture on the northwestern Uncompahgre Plateau, including two sites in Sieber Canyon, Roth Cave and Luster Cave (Piontkowski, personal communication 1989). Presently, there is some question as to whether the association is valid for Roth and Luster Caves. If the differences between the Formative Stage sites in west-central Colorado and the Anasazi or Fremont cultures are too great to support notions that they represent regional variants or subcultures of the Fremont or Anasazi cultures, then perhaps the least radical alternative would be to .suggest that these sites represent an in situ development from an Archaic technocomplex (Reed

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22 1984:39). In this scheme, people practicing an Archaic tradition lifestyle adopted a Formative Stage lifestyle as the need to intensify food production arose. Being relatively close to Anasazi and Fremont culture areas, they were able to trade certain items, such as ceramics, and were open to influence for such things as architectural styles. The importance of cultivated foodstuffs relative to collected wild foods. may not have been similar to either the Fremont or the Anasazi; perhaps hunting and gathering techniques were still .able to meet most of the economic needs. It is proposed that these similarities can be explained primarily by two factors. First of all, no culture develops and flourishes in complete isolation. Therefore, diffusion can be said to account, in part, for the ceramic and architectural similarities The other explanation, however, has an ecological basis. For instance, the type of building materials available and the nature of the soil deposit can influence what type of dwelling is built. The type of temper and clay that people use to make their pottery is also influenced by what is available. More important, however, is the extent to which the chosen subsistence technique effects the settlement pattern and sociopolitical organization (Crane 1977). The gross environment of the Uncompahgre Plateau does differ from that of eastern Utah. However, archaeological evidence suggests that the people in both areas had a similar

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23 ecological adaptation in that although they grew some domesticates, they were more heavily dependent upon hunting and gathering (Crane 1977; Reed 1984). It is hypothesized, therefore, that common factors in economy and technology can account for similarities in settlement pattern and the inferred sociopolitical organization. The Protohistoric Period Following the disappearance of the Formative lifeway from west-central Colorado, human adaptation evidently reverted to that similar to the Archaic Stage. Some archaeologists suggest that the term "Post-Formative Archaic Stage" might in fact be a more appropriate term for this stage (Reed 1984). Hunting and gathering was once again the primary mode of subsistence, and a nomadic lifestyle was practiced. The material culture was quite similar to that of the Archaic Stage, although the bow and arrow had become popular. Most of the data obtained so far for this stage concerns the Ute Tradition at the end of this period. The Ute evidently entered the region between A.D. 1200 and 1400, based on linguistic and archaeological evidence (Buckles 1971; Reed 1984). The Ute were expelled from west-central Colorado by 1881 (Reed 1984). The period prior to the apparent immigration of the Ute is poorly understood in west-central Colorado. Only one site definitely dating to this period has been identified in the region. Buckles obtained a radiocarbon

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date calibrated between A.D. 1335 and 1435 from a lithic scatter in the Ridgeway Reservoir project area (Reed 1984:42). 24

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CHAPTER 3 RESEARCH DESIGN This project was undertaken to examine what potentially new information could be gleaned from museum-curated artifacts of excavations that took place over 35 years ago. It addressed a variety of research questions which have been at the forefront of Formative-culture research for the past ten years including chronology, settlement patterns, subsistence and social relationships and organization. An additional research question concerned the status of the collection. Each of the above research questions.will be addressed below, defined as they apply to the caves specifically, with appropriate research topics and.q\lestions following within each section. Problem Domain I: Status of the Collection As archaeologists have become aware of the importance of a variety of scientific methods that are now utilized to complement the investigations of archaeological features, attempts have been made, where appropriate, to leave portions of a site unexcavated in order to "save" it for future generations and improvements in methodology. The problem that prompted this project

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was how much additional information can be gleaned from museum-curated objects before reexcavation is even considered. Research Topic A: Condition of the collection. Question 1: Are the specimens clean or dirty? Data Requirements: Inspection of the collection. Question 2: Have the specimens been treated for long-term preservation? Data Requirements: Inspection of the collection. Question 3: Are the specimens all present? Data Requirements: Inspection of the collection, comparison with acquisition ledger and published literature. Question 4: Were excavation notes and pertinent information curated with the collection, in the same repository, and is it in legible form? Data Requirements: Perusal of records and photos. Research Topic B: What resources were conserved that might be utilized for extraneous tests, and will the tests be accurate? 26

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Question 1: What is needed to provide for accurate C14 tests? Data Requirements: Material appropriate for radiocarbon testing, preferably charcoal. Question 2: What is needed to provide for accurate macro/microbotanical tests, and are these possible with the materials available from the collection? Data Requirements:. Soil samples which have been kept sterile from modern contaminants. Question 3: What is needed to provide accurate information from obsidian testing, and are these tests possible with the material available from the collection? Data Requirements: Quantities of obsidian large enough to test. Problem pomain II: Chronology 27 The time period for which Roth and Luster Cave were occupied was not absolutely established, but fixed within a range in which it was possible that they were occupied, through comparative typological analysis and stratigraphy (Lister and Dick 1956) Luster Cave was suggested to have been occupied within the range of 950 1300 A.D., wh;lle Roth Cave was suggested to have been occupied from about 500 850 A.D. Unfortunately, C14 samples which were taken at the time of excavation were never processed, leavin9 the two caves in a somewhat

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28 ambiguous chronological Over the years, the caves have been claimed to have had occupants of Numic/Ute origin (Pierson 1980), or Formative origin (PII/Anasazi or Fremont) (Lister and Dick 1956; Wormington and Lister 1956; Reed 1984). A well-established chronology would be beneficial because the two caves are located in an area of transition, a boundary of both Fremont and Anasazi occupation. The later Numic/Ute, however, occupied most of the surrounding area. Comparison with current projectile point, ceramic and basketry typologies, as well as reliance on C14 dating will establish a more definite temporal framework for the caves. Research Topic A: The temporal span of Luster and Roth Caves. Question 1: Can Roth and Luster Cave be placed in an absolute-dating time frame? Data Requirements: Utilization of C14 and dendrochronological dating. Question 2: Utilizing known projectile point, ceramic and basketry typologies, can Roth and Luster Caves be placed within a relative-dating time frame? Data Requirements: Examination of collection for comparable diagnostic specimens, comparison of these with known, reliable typologies for Archaic, Formative (Anasazi and Fremont) and Numic cultures.

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29 Problem Domain III: Settlement Patterns Settlement and subsistence patterns are quite complex, being intimately related to social organization, technology and other systems comprising culture. They refer to the manner in which economically important resources are procured, whether through seasonal wanderings from maturing resource to maturing resource, or through sedentary villages, from which procurement forays emanate. The study of settlement and subsistence patterns provides important data that permit the development of cultural ecological models of human adaptation in the region. These models are in turn important in the study of culture process (Reed 1984) Although it is beyond the scope of this project to plan, carry out and analyze an intensive survey of the area around Luster and Roth Caves, it is reasonable to assume that the caves were utilized for a specific purpose, and it is possible to extrapolate, within a reasonable margin of error, what this purpose was. It is also possible to compare these caves within a context of sites that have been located, and possibly investigated, in order to gain at least a peremptory view of the northwestern Uncompahgre Plateau as it was utilized in prehistoric times, as opposed to historic times.

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Research Topic A: Question 1: Seasonal Occupation At what time of year were Roth and Luster Caves occupied? Data Requirements: Seasonality data in the form of plant and animal remains recovered 30 from the caves. Analysis relating to this question must consider the artifact array as representing various activities. The greater the array of discrete activities, or a variety of discrete tasks, the stronger the argument for use of the site over several seasons. Question 2: Assuming compatible locations in the ecozone, were similar activities being carried out at Roth as opposed to Luster? Data Requirements: Items of material culture recovered from controlled contexts which, when considered as clusters, represent various activities that were carried out at or from the sites. Question 3: Are there comparable sites in the area? Data Requirements: Locational analysis to examine site location, use, and temporality. Problem Domain IV: Subsistence Given the fact that maize was recovered from.both caves, as well as additional macrobotanical remains, it seems reasonable to assume that subsistence can be

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31 addressed to a certain extent. The question that remains to be addressed, however, is how dependent were they upon cultivated foods and was the degree of dependence reflected in the length of.time the caves were occupied? Although the caves appear to be in reasonably good locations for year-round occupation, the amount of cultural material recovered and the relatively shallow occupational depth in the caves would suggest that they were occupied sporadically. Macro/microbotanical evidence, as well as faunal material would lend itself to further answering this question. Research Topic A: Use of domesticated :plants. Question 1: Did the inhabitants of the caves plant and harvest the corn recovered during excavation, or did they obtain it through exchange of goods? Data Requirements: Environmental data for compatible growing seasons; examination of the corn itself for comparison with other types located in the area. Question 2: Were the inhabitants of the caves involved in irrigation practices? Data Requirements: Investigation of irrigable flatlands adjacent to the habitation sites. Research Topic B: Wild Resource Exploitation.

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Question 1: What wild plant and animal foods were the inhabitants of the caves collecting? Data Requirements: Analysis of bone scrap, macrofossils and pollen samples. Question 2: What is the geographical distribution of these plants and animals? Data Requirements: Reconstruction and understanding of where particular resources are available, with consideration of seasonal variation. Problem Domain v : Social Relationships and Organization The study of the social organization of the prehistoric cultures which occupied the Uncompahgre 32 Plateau in west-central Colorado is generally limited to analysis of political organization and residential social groupings, due to the simple nature of their social organization (Reed 1984). The collection will provide enough information to identify possible components of the social and community organization present during the occupation of the caves. It is also within the scope of this research domain to ascertain the extent to which the two sites may represent one of the two main Formative cultures known in the region, namely the Anasazi or the Fremont. It may also be possible to ascertain whether the materials recovered from the caves represent a culture which has developed in situ from an Archaic technocomplex.

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By identifying the culture which occupied the caves, it may then be possible to trace any interaction which occurred with an outside group. Research Topic A: Social and Political Organization Question 1: What type of social and political organization was characteristic of the historic and proto-historic inhabitants of the Uncompahgre Plateau? Data Requirements: Perusal of historic and ethnographic literature for insights into the social and political organization of the Utes. Research Topic B: Time and Space Relationships Question 1: Are the artifacts recovered comparable to each other in time and space? Data Requirements: Typological comparison of artifacts and, if possible, an explanation of time and spatial ranges for those artifacts. Question 2: Are there associated artifacts that are dissimilar to the majority of the collection with regards to time and space? If so, can these artifacts be traced to their points of possible origin? Data Requirements: Typological comparison of the artifacts. Question 3: Can inferences be made from the analysis of the artifacts as to cultural 33

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associations? Data Requirements: Comparison of artifacts to find possible points of origin. 34

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CHAPTER 4 MATERIAL CULTURE ANALYSIS METHODS Analysis of the material culture recovered from the caves is a vital component of the research, without which nothing could have been accomplished. Thus, the following subsections will address the analysis methods used for each specific type of artifact mentioned in the original reports, and which are accounted for within the acquisition records of the While it would be desirable to analyze the specimens with respect to the wide range of possible analysis methods available at this point in time, due to the small number of specimens available within a specific material type/database, a large majority of the reanalysis will not be able to address certain statistical analyses. Because there has been a noticeable gap in research on the Uncompahgre Plateau for thirty years, most of the analyses will rely on typologies established for the Great Basin and Southwestern cultures. It will take the collective effort of researchers working on the Uncompahgre Plateau in the future to create typologies for this area.

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36 Lithics The lithic assemblages (which will also include the groundstone) from Roth and Luster Caves are examined separately, following a stylistic and technological analysis. While lately the emphasis in lithic analysis has been on attempts to establish "pure" classification schemes based on statistical manipulations rather than more description (Holmer 1978, 1986; Holmer and Weder 1980; Wilde 1986), the analysis of the materials from the caves will emphasize comparison with existing collections due to the limited number of specimens. The stylistic analysis will compare typologies that have already been established for the Great Basin and Northern Colorado Plateau regions, including Archaic, Formative and Historic groups. Holmer (1978; Holmer and Weder 1980) will be consulted to a large degree for the Archaic and Formative typologies from the eastern Great Basin. Given the absence of a well-dated projectile point sequence for west-central Colorado, literature from other regions must be referred to for comparative purposes. However, caution will be exercised to avoid utilizing the projectile point typologies too casually to determine site age and cultural affiliation. Archaeologists all too often suggest that the dates of point types in other regions are quite similar to the dates of points in west-central Colorado, and sometimes

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37 imply that the cultural groups are the same (Reed 1984). Plains or Great Basin cultures influence or occupation may be posited, instead of realizing that many projectile point types have a very broad geographical distribution, spanning many cultural groups, and were manufactured over long periods of time. The technological analysis will be conducted on both tools and debitage. Variables which emphasize production technology will be the primary focus, including material, type of object, amount of cortex on the specimen, presence of wear on the specimen and other modification (Wilde 1986:59-63). The bifaces and groundstone, although technologically classified within the analysis will be further broken down into more traditionally-named categories such as scrapers, knives, drills, projectile points, manos and metates. Ceramics Ceramics have often been a diagnostic cultural element of archaeological features in the southwest. It is not until the beginning of the formative period that ceramics appear to come onto the scene. Ceramics have also helped to chart external relationships between cultures through the movement of tradewares, and also the movement of ceramic elements such as design and form. Although few ceramics were located at Luster Cave, and none at Roth Cave -possibly suggesting that Roth Cave may

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predate ceramic technology -it is still possible to compare the ceramics recovered with known types of Anasazi, Fremont, and Nurnic origin. 38 In the Anasazi tradition, the general grayware types that are noted include Chapin Gray, Moccasin Gray, Mancos Gray, and Mancos Corrugated. These types are common throughout the Four Corners region, and are typical of the Mesa Verde Anasazi variant (Breternitz et al. 1974). In the Fremont tradition, the two grayware types that might occur in this area are Uinta Gray and Emery Gray (Madsen 1977). Both of these types are similar to those recovered from Turner-Look, the largest, and closest, investigated Fremont inhabitation to Luster Cave. Buckles (1971:531) felt that the ceramics recovered Luster Cave were similar to those of the Fingertip Impressed Type of Uncompahgre Brownware; a type he feels is typical of the proto-historic cultures that occupied the Uncompahgre Plateau. Perishables Luster and Roth Caves were both protected from the elements that often afflict more open sites. As a result, a variety of perishable items that are normally lost through the processes of decomposition were recovered, including several fragments of basketry and a quantity of cordage and quids. The specimens were measured with

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39 calipers, and all measurements will be recorded in the metric system. Basketry is a class of perishable artifacts that includes several distinct kinds of items, among which are rigid and semirigid containers (or baskets proper) matting, and bags. A11 forms of basketry are manually woven without frame or loom. As all basketry is woven, it is technically a textile class or variety; however, that term is often restricted to cloth fabrics. Cordage is a class of elongated fiber constructions that can be subsumed under the English terms string and rope. The manufacture of cordage is the oldest fiber-based technology in the New World archaeological record. The technological sophistication of these very early cordage specimens indicates considerable antecedent development. Cordage manufacture was very likely part and parcel of the technological repertoire of the earliest migrants to this hemisphere (Adovasio 1988) ..:. ; Basketry specimens were analyzed following Adovasio (1977), basing the analysis on observances and measurements of coiling type, foundation type, and stitch type. Cordage specimens will be allocated to five structural types. The five structural types were established on the basis of three interrelated construction attributes: 1) number and composition of plies; 2) direction of initial "spin"; and 3) direction of final twist (Adovasio 1988)

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40 The term ply is utilized to mean a strand or bunch of fibrous material that is almost always twisted. These strands can be used alone to form single-ply cordage or in groups to form multiple-ply cordage. Multiple-ply cordage is produced by twisting two or more "single" plies together. An individual ply is simple if it consists of a single strand or bunch of material with the same twist. A ply also can be compound. Compound plies are constructed with multiple strands or bunches of material that are individually twisted and then twisted with each other in the opposite direction. Compound plies are therefore separate pieces of cordage that when twisted with other such plies form a technically distinct final cordage type. Spin denotes the initial twist imparted to a .fiber strand or bunch of fibers, and final twist records the direction imparted to several plies that have been twisted together. The term spin is used here to designate the initial twist of a ply because this term is virtually universal in the archaeological literature on cordage and because it facilitates cordage description. The direction of initial spin or final twist can only be S or z. and these terms have exactly the same meaning as specified by Emery (1966:11). Each specimen was also analyzed for the presence of splices qnd knots, as well as length, diameter, number of twists per centimeter, angle of final twist, and other

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41 cordage manipulations, such as rat-tailing, wrapping, etc . Angle of twist measurements were recorded using procedures outlined by Emery (1966:11). Cordage formulae follow Hurley (1979), and the formulae for the five types identified in the assemblage are shown in Table 1. Type I II III IV v Description Single ply, Single ply, Two ply, z Two ply, s TABLE 1 CORDAGE FORMULAE z twist s twist spun, s twist spun, z twist Ply Formula z s s z/z z s/s Compound three ply, s and z spun s z/z s twist s z/z Adovasio (1975; 1980) states thatthere is nothing more homogenous and diagnostic than the basketry associated with the Fremont culture. Within the Fremont basketry assemblage are included coiling and twining -two of the three major sub-classes of basket weaves -the third, plaiting, is virtually absent. Coiling is the numerically dominant subclass of Fremont basketry and is represented in all Fremont sites where basketry is preserved. Basketry produced via twining techniques is relatively uncommon in most Fremont Sites and frequently is not represented at all. Trends discernible throughout the culture area over the 900-year period during which Fremont coiling was

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42 produced include a gradual shift from mixed to almost uniformly R-L work direction, the increased preference of half rod and bundle foundation to all others, and the tendency to employ non-interlocking or intentionally split stitches on the non-work surface to all other types. Thus, it is reasonable to expect the basketry from Roth and Luster caves to reflect these trends, if they are affiliated with the Fremont Culture. Only the worked bone will be discussed within the context of analysis methodology, as all the unworked faunal material was placed in the care of another department at the University of Colorado/Boulder, and has subsequently been misplaced. Unfortunately even the curation records only refer to "animal bone" rather than to specific types precluding even the slightest inference of information from the records. The worked faunal material represents a total of 17 specimens from the collection. Worked bone has traditionally been categorized in a variety of classes according to arbitrarily selected characteristics of the bone from each respective site. However, in the past ten years the "new archaeology" has finally reached into the realms of worked bone analysis to include studies such as .the classification of tool types through usewear analysis (Gooding 1980), experimental

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43 studies of specific bone implements, such as deer ulnas (Harrell 1983} and comparative analysis (Dalley 1970a}. Unfortunately, the majority of sites do not produce samples large enough for major renovations in the analysis of worked bone, including Roth and Luster caves. Thus, a basic analysis determining types of worked bone present -such as gaming pieces or awls will be conducted, and where possible, pertinent information as to usewear and manufacturing techniques will be Macro/Microbotanical Remains Evidence of cultigens is relatively rare in archaeological contexts in west-central Colorado. Sites yielding cultigens are scattered throughout the region in the lower elevations. Nearly all of the finds are corn, but two sites, Tabeguache Cave II and 50R243 have yielded squash remains (Reed 1984). Whether these finds represent domestic or wild varieties of squash is unknown. Macro/microbotanical remains provide information to answer questions about paleoenvironmental data and subsistence. several items in the collection could have been utilized to provide palynological and macrobiotic information, had certain precautions been taken during the excavation to prevent contamination (Adams and Gasser 1980; Scott 1983}. However, most palynological techniques were developed 10 -20 years after the excavation of Roth and Luster caves took place.

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44 Macrobotanical remains recovered from the excavation and curated with the collection will be examined for charring and other indications that they were utilized by the population, rather than being by-products of the local environment (Minnis 1981). Seeds can occur from several sources, both prehistoric and modern, and in caves such as Luster and Roth, preservation of both is typical because of the dry environment, as opposed to open sites, where generally only charred seeds are preserved at any depth below the modern surface level (Minnis 1981). It may often be the simplest, however, to reject all uncharred undomesticated seeds as modern in origin and to retain only the charred material as genuine (Keepax 1977:226). Many ethnobotanists use this as a basic rule, and given the nature of this research, it will be the basic guideline for determining the status of the macrobiotic remains . Of consideration as well is the analysis of the maize present in the collection. Becauseof the lack of funds for re-examination by a paleobotanist, and due to the relative in this category by the author, the analysis of the corn remains by Nickerson provided in the final publication about Luster cave will be utilized (Wormington and Lister 1956) to compare with the current analysis.

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45 Human Bone The analysis of the human remains will follow those procedures outlined in Brothwell (1981). Unfortunately, both the infant burial from Luster cave and the child burial from Roth Cave are missing from the collection. As a result, only the dentition can be observed, with any conclusions that can be drawn based on those findings. While wood is generally considered only to be found in the form of charcoal or posts, within the context of Luster Cave, a variety of worked wood items were recovered. It may be possible to examine these specimens for additional information about the types of projectile points that were being utilized, as well as construction techniques of the item itself. Artifactual determination of wooden specimens will be based on any occurrence of smoothing, cutting, shaping, or binding of the specimens. Once identified as cultural, the artifacts will be segregated on the basis of function, although, where use is not apparent, descriptive categories will be established. Charcoal can be utilized for C14 tests, as well as identified -given the appropriate collection with which to compare it.

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46 Minerals The minerals will be identified according to type. Any cultural modification that may be present will also be noted.

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CHAPTER 5 LUSTER CAVE ANALYSIS Lithics The excavations recovered a lithic assemblage of 211 artifacts. Seventy-nine specimens are classified as tools while the remaining 132 are debitage. Tools were classified and analyzed according to basic production technologies and include flaked or chipped stone and ground and pecked stone. However, these groupings are somewhat arbitrary and some overlapping occurs. Analysis was conducted on both tools and debitage. Variables which emphasize production technology were the primary focus of the initiai analysis, followed by a second analysis which focused on specific attributes which would allow for cross comparison with other lithic assemblages. Of the 211 specimens present in the collection from Luster Cave, there were 22 types delineated within the technological analysis. The distributions of these types across the site are recorded in Table 2. There were two specimens making up the first type. This type was produced from obsidian; both

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48 TABLE 2 DISTRIBUTION OF TECHNOLOGICAL TYPES IN LUSTER CAVE Area A B c D E Level Surf. 1 2 3 4 5 1 2 3 4 5 1 2 3 4 1 1 2 1 Type 1 1 Type 2 2 Type 3 1 Type 4 1 Type 5 1 5 5 3 1 3 4 4 3 2 3 5 4 2 2 4 2 Type 6 1 2 Type 7 1 3 1 1 3 2 1 1 1 Type 8 1 1 Type 9 3 a 2 5 2 2 2 b 2 3 2 2 1 1 1 Type 10 1 Type 11 1 2 Type 12 1 1 1 Type 13 1 Type 14 1 2 1 Type 15 1 Type 16 1 2 2 1 1 1 Type 17 1 1 1 2 2 2 Type 18 1 1 1 Type 19 1 Type 20 1 Type 21 2 Type 22 1 a = 11, b = 12 Area F Level 1 3 4 5 Type 1 1 Type 5 1 2 Type 7 2 Type 9 1 d c 3 Type 14 1 Type 16 2 Type 18 2 c = 13, d = 17

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49 specimens were tertiary flakes. There was one edge which had been retouched on one specimen; the other specimen had no visible wear apparent on any edges. Both of these specimens are classed as debitage. Because the sample of obsidian was so small, no further testing on the obsidian samples was considered. There were two specimens comprising Type 2. Both specimens were choppers of basalt, showing mixed cortical and non-cortical surfaces (Figure 8) On one specimen there was partial battering along one edge, while the other chopper exhibited no such wear. Dimensions are 5.38 and 7.4 em. in length, 6.9 and 6.0 em. in width, and 3.0 and 3.5 em. in height. Figure 8. Basalt chopper.

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There was one specimen which made up the third type. This specimen was a basalt uniface which had been utilized along one edge, and may be considered a chopper. It exhibits mixed cortical and non-cortical surfaces. The following eleven types were all made from cryptocrystalline silicates, which in all cases from Luster Cave are chalcedony and chert -all of which appears to have been quarried from local, known quarry areas (Piontkowski, personal communication). 50 One specimen makes up this Type 4. It is a secondary biface of whitish chalcedony. This specimen has been stained with red ocher in two places along its base. Fifty-six specimens are included in Type 5, all of which are tertiary flakes of a variety of chalcedonies and cherts. Although there did not appear to be visible wear on the specimens, all of the specimens within this category are modified bifaces and will be discussed in detail later in the section. The specimens were recovered throughout the fill from the cave. Type 6 is comprised of three specimens of chert. Each specimen is a tertiary biface, with additional modification. The three specimens will be discussed later in the section. The specimens within Type 7 are all moditied tertiary bifaces of either chert or chalcedony. There does appear to be visible wear on each specimen.

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Type 8 is comprised of two unmodified tertiary unifaces of chalcedony. One specimen appears to have visible wear along one edge. 51 Type 9 consists of 84 specimens of various cherts and chalcedonies. All the specimens are unmodified, tertiary flakes with wear visible on the surfaces of only three specimens. All the specimens within this type are considered debitage, except for the three exhibiting wear, these specimens are considered utilized flakes. Specimens of this type were recovered throughout the fill. Type 10 consists of one specimen. It is a chunk of chert, without any visible wear or modification. Type 11 is comprised of three specimens of chert. The specimens appeared to have mixed cortical and noncortical surfaces, with little visible wear and no additional modification. The specimens are considered to be core fragments. Three specimens considered to be choppers make up Type 12. The specimens are of chalcedony, with mixed cortical and non-cortical surfaces. Some wear was visible on the edges of the specimens, although there was no additional modification. Type 13 is a tertiary biface of siltstone with no visible wear and no additional modification. Type 14 is comprised of five specimens of siltstone. All are secondary flakes with no visible wear

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or additional modification. All specimens in type are considered to be debitage. One secondary flake of siltstone comprises Type 15. It exhibited no visible wear or additional modification. 52 Type 16 is comprised of ten specimens of sandstone. All specimens are considered cobbles and show extensive visible wear, although there is no additional modification. All the specimens in this type are considered to be groundstone and will be discussed later in the section. Type 17 consists of nine specimens of Brushy Basin quartzite. The specimens are tertiary bifaces, some of which have additional modification and will be discussed in further detail later in the section. Five tertiary flakes of Brushy Basin quartzite comprise Type 18. There was no visible wear or additional modification present. All the specimensin this type are considered debitage. Type 19 consists of one specimen which is a chunk of quartzite without any visible wear or additional modification. The specimen is so clear, it was almost mistaken for glass. Type 20 consists of.one specimen of quartzite. It is a cobble with extensive visible wear. This specimen is considered to be a (Figure 9).

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53 Figure 9. Quartz hanunerstone. Type 21 consists of two cores with mixed cortical and non-corticai surfaces of quartzite. There appears to be limited wear, and no additional modification. One primary pebble of quartzite comprises Type 22. There does not appear to be any visible wear or additional modification. Its possible use is unknown. Grounds tone There were ten specimens which were determined to be groundstone -all of sandstone. Nine of the specimens are manos, while one specimen is a piece of sandstone which has been deeply grooved -possibly having been used to smooth or sharpen bone or wood (Figure 10). The dimensions of this specimen are 9.27 em. x 3.14 em. x 2.15 em.

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54 The manos were of various shapes and sizes (Table 3). Included in the shapes were two rectangular specimens, one of which had tapered ends (Figure 11). There were two loaf-shaped specimens, and three round (Figure 12, 13). There were also two round/asymmetrical specimens as well. All of the manos were small, and are considered to be one-handed manos. There were battering marks on most of the specimens which indicated either shaping or the use of the mano to pound the grain before it was ground. There were six two-sided manos and three one-sided manos. Lengths ranged from 6.51 em. to 14 em.; widths rangedfrom 4.75 em. to 10.3 em. The mano tool is generally shaped to match the style of the metate on which it is to be used. Thus, the small, one-handed rnano may be slightly shaped from a river cobble to fit the basin-shape curvature of the metate. TABLE 3 DISTRIBUTION OF GROUNDS TONE IN LUSTER CAVE Type Area Level Material # Handed # Sided Loaf-Shaped A 5 Sandstone 1 2 Loaf-Shaped B 3 Sandstone 1 2 Rectangular Surface Sandstone 1 1 Rect./Tprd. B 4 Sandstone 1 2 Round B 4 Sandstone 1 2 Round c 2 Sandstone 1 1 Round/Tprd. A 5 Sandstone 1 2 Round/Asym. F 5 Sandstone 1 1 Round/Asym. F 5 Sandstone 1 2 Grvd Sndstne A 1

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55 Figure 10. Sandstone arrowshaft smoother. Figure 11. Rectangular mana.

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56 Figure 12. Loaf-shaped mano. Figure 13. Round rnano.

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57 Bifaces The bifaces were. categorized as follows: 32 points, nine scrapers, eight knives/knife bases, two drill tips and 24 utilized flakes/bifaces (Figure 14). Following is a discussion and typological comparison of the bifaces which are considered to have been modified into projectile points. Their distribution within Luster Cave is noted in Table 4. There were sixteen points with no typological comparison (Figure 15). The first specimen is cornernotched with a flaring stem (Figure 15a). It is of chalcedony. The interesting thing about this point is that it has a black residue, possibly resin, that covers parts of the stem. The second specimen is a side-notched fragment (Figure 15b) The third specimen is also a side-notched fragment, although this specimen appears to have been modified more extensively than the second 15c). The fourth through seventh specimens are notched, spirate triangles (Figure 15d, e) The eighth and ninth specimens were very side-notched fragments (Figure 15f) The tenth and eleventh specimens are small, well-made points. Both specimens are side-notched, although one is also notched in the center of the base (Figure 15g, h).

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58 TABLE 4 DISTRIBUTION OF PROJECTILE POINT TYPES IN LUSTER CAVE Area A B c D E F Level 1 2 3 4 1 2 3 4 5 1 2 3 4 1 1 2 1 5 Untyped 1 1 1 1 3 2 3 1 2 1 Buckles' 2 1 1 Buckles' 5 1 1 1 Buckles' 7 i Buckles' 10 1 Buckles' 18 1 Buckles' 19 2 Elko 1 Pinto 1 1 Gypsum 1 2 1 Desert S-N 1 1 Nawthis S-N 1 1 Uinta S-N 1 Parowan B-N 1 1 Figure 14. Bifaces.

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e 9 I . . h Figure 15. Untyped projectile points (actual size). 59

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The twelth specimen was a tip fragment, with no indication of basal modification. The thirteenth specimen is a non-descript point. It appears to be a biface, although there is a slight notching of one side (Figure 15i). The last two points that were not typed are two side-notched specimens, although one specimen appears be somewhat Gypsum-like (Figure 15j). 60 There were two specimens that compared favorably with Type 2 described by Buckles (1971). The second of the two specimens also compares favorably with the Desert Side-Notched point of Fremont origin (see the Discussion on Desert Side-Notched points later in section) (Figure 16). Buckles describes this type as small side and basal-notched points, possibly representing a type that is more commonly found to the west of the mountains (Buckles 1971:116, Figure 2). This may suggest a Great Basin origin. Buckles also compares this point type with those found on the Plains after 1500 (Buckles 1971:116; Kehoe 1966). There are three specimens in the next category that are similar to Buckles' Type 5 (Figure 15k). Buckles describes this type as small basal-notched points with triangular shaped bodies and short expanding bases (Buckles 1971:119-120, Figure 2). Two of these points also compare favorably to the Parowan Basal-Notched type of Fremont origin (Figure 16). Buckles suggests this type

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a b c f J Figure 16. Typed projectile points. Elko Side-notched (a), Pinto Shoulderless (b, c), Gypsum (d, e), Desert Side-Notched (f, g), Nawthis Side-Notched (h, i), Uinta Side-Notched (j) and Parowan Basal-Notched (k, 1). All points are actual size. 61

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62 resembles large projectile points of Basketmaker and Pueblo II populations, as well as points found in Fremont sites (Buckles The next specimen is comparable to that of Buckles' Type 7 (Buckles 1971:120, Figure 2) (Figure 16). It is also comparable to the Gypsum point of Archaic origin. The following specimen is comparable to that of Buckles Type 10 (Buckles 1971:122). Buckles describes this type as being small triangular unnotched points with slightly convex to straight sides and slightly convex to straight bases. Buckles suggests that these points have their highest frequency relationships with what are believed to be historic and proto-historic Ute occupations defined as the Escalante Phase on the Uncompahgre Plateau (Buckles 1971:122, Figure 2). The next specimen compares with Buckles Type 18, as well as Desert Side-Notched (Buckles 1971:130-131, Figure 3) (Figure 16). Buckles describes this point type as being large side-notched points with straight or slightly concave bases. Buckles compares these with similar specimens from Danger Cave (Jennings 19.57:121, Figures 97a and b), with specimens from the Bitterroot Phase in Idaho and with early points from Plains sites (Buckles 1971:130-131). The next points are similar to Buckles Type 19 (Buckles 1971:131, Figure 3). They are also comparable to

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Desert Side-notched specimens of late prehistoric origin (Holmer 1980:60). There is one specimen which compares favorably with the Elko Side-Notched type (Holmer 1978) (Figure 63 16a) The Elko series has traditionally been divided into three variants: Corner-Notched, Side-notched, and Eared. The Elko Side-Notched is similar in form to the Elko Corner-Notched except that the maximum stem width is approximately equal to the maximum blade width. Tangs are rarely present; the distal notch angle often approaches horizontal, causing a shouldered appearance to the blade. The Elko series projectile points are the most plentiful but the least temporally diagnostic of the point types commonly found in the northern Colorado Plateau and the far eastern Great Basin. About all that can be positively stated is that they occur after 7600 B.P. They possibly persisted into historic times; Powell collected a Paiute hafted knife incorporating and Elko-like point in 1873 (Fowler et al. 1973:41). The great time depth of the Elko series points refutes the suspicions of several (Clewlow 1967; Heizer and Baumhoff 1961; O'Connell 1967) that their temporal occurrence everywhere in the Great Basin falls between 3500 and 1400 B.P. That estimation is based mostly on central and western Great Basin research with the Danger Cave data being discounted as aberrant (Heizer and Baumhoff 1961). Hester and Heizer (1973), however, acknowledge that the Elko series points are

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probably earlier in the far eastern Great Basin than to the west, and a diffusion of the Elko series points into the central and western Basin from the east has been postulated (Adovasio 1970) 64 There. are three specimens which compare favorably with the Pinto Shoulderless (Holmer 1978) (Figure 16b, c). Holmer (1978) places the age range of the Pinto series at approximately 8300 to 6200 B.P. at the four Archaic sites used in his study. Joes Valley Alcove in the northern Colorado Plateau provides a time span of approximately 8300 to 6300 B.P. for the Joes Valley Tanged points which are identical to the Pinto series points (Holmer 1978). These points date more recently at other sites, however, as they are common between 6500 and 3800 B.P. at O'Malley Shelter (Fowler et al. 1973) and from approximately 5000 to 3000 B.P. at Swallow Shelter (Dalley 1976). Pinto points are also reported in western Colorado on the Uncompahgre Plateau (Wormington and Lister 1956:14) although no dates are available. Three points compare favorably with the Gypsum point (Holmer 1978) (Figure 16d, e). These points have already been discussed as similar to several types Buckles distinguished on the Uncompahgre Plateau (Buckles 1971). The Gypsum projectile point is the most recent type generally associated with the Archaic stage of the northern Colorado Plateau and the southern portions of the Great Basin. The Gypsum point dates from approximately

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65 4600 to 1500 B.P. at Sudden Shelter and Cowboy cave. oMalley Shelter (Fowler et al. 1973:42) contained 105 specimens, the most ever found at a single site, and they date from approximately 5000 to after 1000 B.P. This time range estimate is supported by radiocarbon dates from Gypsum Cave (Heizer and Berger 1970:17; Shutler 1967:306) that indicate a range from approximately 3000 to 2000 B.P. Gypsum points are unique among Archaic projectile points and may be of interest in understanding the development of hafting technologies. It was observed at Cowboy cave that most Gypsum points and many later arrow points have the remnants of pitch on their basal stems (Jennings 1980). No earlier point types show any trace of pitch. The discovery of pitch as an adhesive may have reduced the need for the deep side or corner notches characteristic of earlier dart points, although deep notching probably remained a necessity for knife blades because of the cantilever forces produced during cutting. The Elko series may represent the type of blades retained as knives. Two specimens are similar to the Desert Side Notched point, and have already been discussed as being similar to types Buckles delineated for the Uncompahgre Plateau (Buckles 1971) (Figure 16f, g). They have been recovered from excavated sites near the northern and western periphery of the Fremont area although they have been reported in uncontrolled situations throughout the

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66 Fremont area (Berry and Berry 1976). Of the excavated Fremont sites they have never been the dominant type, making up only 12% of the total points recovered (Holmer and Weder 1980). Of significance is that most of those sites contain Shoshoni ceramics although they constitute only 3% of the total ceramic collection (Holmer and Weder 1980). The correlation has been inferred by Fowler et al. (1973) at O'Malley Shelter, and by Frison (1971) at the Eden-Farson Site in Wyoming. The conclusion is that the occurrence of Desert Side-notched points does not result from Fremont occupations but indicates post-Fremont Shoshoni use of the area after approximately A.D. 1150 (Holmer and Weder 1980). This conclusion is supported by the presence of identical point'types in the northern Plains (Plains Side-notched) after approximately A.D. 1590 (Kehoe 1966) There were two specimens which compare favorably with the Nawthis Side-Notched points (Holmer and Weder 1980) (Figure 16h, i). Their distribution is limited to the southern half of the Fremont region dating from approximately A.D. 950 to 1250. They are similar, if not identical, to points associated with. Pueblo II occupations south of the Colorado River. There is no apparent associations with any single ceramic type although most sites also produce small quantities of both and Virgin ceramics.

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67 One specimen compared favorably with that of the Uinta Side-Notched points {Holmer and Weder 1980) {Figure 16j). They are widely distributed over the northern half of the Fremont region dating from approximately A.D. BOO to 1200. Sites where they are the dominant type usually contain a large percentage of Uinta Gray ceramics. Their similarity to the Prairie Side-notched points recovered in the northern Great Plains dating from approximately A.D. 700 to 1300 (Kehoe 1966) supports conjectures of a Great Plains influence in the northern Fremont areas (Aikens 1966) There were two specimens which compared favorably with the Parowan Basal-Notched, both of which have been discussed previously as being comparable to.types delineated by Buckles for the Uncompahgre Plateau {Buckles 1971) {Figure 16k, 1). The spatial distribution of Parowan points can be divided into two groups based on ceramic associations (Homer and Weder 1980). The first area includes the Virgin River, Santa Clara River, and Johnson Canyon. The sites in the area have a high percentage of Virgin ceramics (98%) and very small percentages of Kayenta, Mesa Verde or sevier ceramics (2%). The temporal span clusters between approximately A.D. 900 and 1200. Parowan points constitute 63% of the total arrow points from sites in this area. The second area.includes the Parowan Valley, part of the Sevier River Drainage, and part of Southeastern

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68 Nevada. The ceramics from the sites in this area are predominantly Sevier ceramics. The temporal span clusters around A.D. 950 to 1150. Parowan points constitute 55% of the total arrow points recovered. Parowan points have been noted at other sites at low frequencies as far east as the Bull Creek drainage. Not surprisingly, the two pithouses at Bull Creek from which Parowan Points were recovered were the ones which had significant quantities of Virgin Kayenta ceramics. Parowan points are the predominant points in both the Parowan and Virgin Kayenta cultural regions. They were used ca. A.D. 950 .-1150. Ceramics There were 32 ceramic fragments present in the collection; one was a rimsherd and the remaining 31 were body sherds. Ceramics were only recovered from Luster Cave. While all the specimens appear to have been constructed using an obliterated coiling method and all specimens appear to have some degree of corrugation present on the outer surface, it appears that there may be three types of ceramics present, based on core.thickness, temper, clay, degree of surface manipulation and color. The first type appears to have been constructed from a micaceous clay, utilizing small quartz fragments as temper (Figure 17). Firing was partial oxidation, with the color a light gray on the surface, and dark gray in the

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69 Figure 17. Sangre de Cristo Micaceous Wear. interior, with a large amount of soot on the outer surface. There was no slip evident on any of the specimens. The thickness ranges from .5cm to .6cm. It is difficult to determine shapes and sizes of vessels without more rimsherds, but the rimsherd present is of this type, and the profile indicates that it probably was from a simple bowl (Figure 18). There appears to have been a slight corrugation of the exterior surface, but this may also be due to an only partial obliteration of the coils on the exterior surface, as well as a heavY layer of soot which nearly covered the entire outer surface. The texture of this type was fine-to-medium. There were 25 specimens representing this type, the distributions across the site are recorded in Table 5.

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Figure 18. Rirnsherd Profile. TABLE 5 DISTRIBUTION OF CERAMIC TYPES IN LUSTER CAVE Area Level Type 1 Type 2 Type 3 2 2 B 3 5 5 8 c 1 1 F 4 3 1 surface 9 2 It has been suggested that micaceous ceramics similar to this first type are variable and have widespread d -istributions in context which include occupations by Utes, diverse'Athabascans, Puebloans, Hispanics and others (Buckles 1988:221; Baugh and Eddy 1987). Baugh and Eddy recommend that such micaceous ceramics should not be identified with ethnic-specific classifications, but should be classified as Sangre de Cristo Micaceous Wear. The temper of the second and third types was crushed sandstone. The color was generally a brownish 70

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71 gray to gray, indicating a reducing atmosphere. There was no slip evident on either the second or third types. The thickness of the sherds averaged 0.7 em. to 0.8 em., although there were two specimens with thicknesses of 1.0 em. The second type indicated a clear corrugation, and there was little of the sooting on the outer surface that characterized the first type (Figure 19). Because all of the sherds from this type were body sherds, it was difficult to determine the shapes the sherds may have represented. There were 3 specimens representing this type. The third type was very similar to the second type, except the surface manipulation was comprised of fingernail impressions, rather than corrugation (Figure 20). One of the specimens had a hole drilled through it, possibly indicating repair or a way to carry it. The texture of this type, as well as the second type, was medium to coarse. There were 3 specimens of this type. All the types represented are from the same area of the cave, although separated arbitrarily by Luster's sections, so it is difficult to separate them temporally, as well as stratigraphically, from one Both Types 2 and 3 compare favorably with Buckles' Uncompahgre Brownware (1971:507-522), while Type 1 is considered similar to the Sangre de Cristo Micaceous Wear.

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Figure 19. Uncompahgre Brownware corrugated. Figure 20. Uncompahgre Brownware, fingernail impressed. 72

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73 Buckles gives a broad range of temporality to Uncompahgre Brownware, suggesting it was produced approximately 400-500 years B.P., or with the advent of the Ute in the area (Buckles 1971:552). The temporality of the Sangre de Cristo Micaceous Wear can only be guessed at, since its distribution is across many ethnic and temporal borders (Baugh and Eddy 1987). Perishables There were 171 specimens of perishable materials present in the collections recovered from Luster Cave. There is a wide variety of different items considered to be "perishables". The distribution of the items is recorded in Table 6. There were four specimens of basketry present in the collections, all small fragments (Figure 21). Two of the specimens were merely a split rod wrapped with a series of yucca leaves (Figure 21a, b). These specimens are similar to several examples recovered from Danger Cave (Jennings 1980:72, 74). The other two specimens are very small fragments of basketry, one of which had been treated with some type of preservative (Figure 21c); the other is merely a segment of a 1/2 rod and bundle held together with one section of noninterlocking stitch (Figure 21d). The specimen treated with preservative is a one-rod-and-bundle foundation held together with

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74 TABLE 6 DISTRIBUTION OF PERISHABLE ITEMS IN LUSTER CAVE Area A B c D E F Level Sur. 1 2 3 4 1 2 3 4 5 1 2 3 4 1 1 1 2 3 4 5 Basketry 1 2 1 Quids 5 2 1 1 1 2 1 8 2 2 1 Leather: Modified 1 Urunod. 1 1 3 1 Thong 1 1 Bundles 2 Ycca Lvs 1 3 2 1 2 1 1 1 1 1 1 Ycca Knts 1 1 1 2 4 1 4 Cordage: Yucca Type 1 1 Type 2 1 5 2 1 1 2 7 2 3 2 5 4 Type 3 1 1 1 1 1 Type 4 1 Fur Type 1 4 4 Type 2 1 1 Type 3 1 Sinew 2 2 1 1 3 Human Hair 1 Juniper 2 1 1 Urunod: Hair 1 Fur 1 2 1 Reed 1 1 2 1 1 1 Ycca Bs. 1 Atlatl Shft 2 Arrow Shaft 2 2 Gmng Pieces 1 1 Shft/Tnon 2 1 1 Wood. Waste 1 2 1 Fbr-wrp. St. 1 2 Dcoratd. Rd. 1 Misc. Wood 2

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Figure 21. Basketry. Split rod wrapped with yucca leaves (a, b), basketry treated with preservative (c) and basketry fragment (d) stitches. The dimensions of this specimen are 3.15 em. x 1.25 em. x .61 em. Adovasio (1971) has traced the differences between textiles, in particular basketry and cordage, of 75 the Great Basin and Southwest. Given his descriptions of the variations between the two areas, the basketry from Luster Cave is most similar to that of the Great Basin, where one-rod-and-bundle foundation coiling appears to have been the standard. There were 26 yucca quids present in the collections (Figure 22) There was a note attached to one of the quids dated May 26, 1956. It said: ''Largest quid Yucca sp. One quid evidently has some Agave fibers in it. Needs to be checked with A. utahensis. In natural range? Vorsila L. Bohrer."

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Figure 22. Yucca quids. There were 9 specimens of leather present. Included within this category was one piece of modified soft hide, six pieces of unmodified soft hide, and two pieces of thong {Figure 23). The modified soft-hide category was limited to a specimen of softened skin that appeared to have several perforations in it for sewing {Figure 23a). This piece measured 7 em. by 3 em, and was recovered from Area F, Level 3. 76 The unmodified soft-hide category included scraps that were probably waste pieces from the manufacture or repair of soft-hide articles {Figure 23b). This included six scraps, with sizes ranging from 5.8 em. to 1.8 em. in length, and 5.5 em. to 1.1 em. in width. Two soft-hide thongs were recovered, the length of the specimens measured 9.3 and 4.8 em {Figure 23c, d).

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Figure 23. Modified leather (a), unmodified leather (b) and leather thong (c, d). 77 There were seven specimens of unmodified fur/hair. Included within this category were three specimens of human hair, all of which were brownish-black in color and fairly coarse in texture. The remaining specimens represented lagomorph fur from either the white-tailed jackrabbit (Lepus townsendii) or snowshoe rabbit (Lepus americanus). There was one specimen of an yucca plant base from which leaves have been cut off. There were two bundles present in the collection. The first specimen was entirely of yucca; the second specimen was of shredded yucca, yucca leaves, leather and two Cymopterus umbelliferae roots (Figure 24).

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Figure 24. Bundle of shredded yucca leaves, leather and umbelliferae root. Umbelliferae roots are noted to have been used for food, seasoning and medicine (Colton 1974:305; French 1971:385-412; Harrington 1967:171-173; Whiting 1939:86). 78 This bundle may have been used in a healing ritual, or it may have been used during travel. There were 66 lengths of cordage made from plant fibers recovered from Luster Cave. Analysis of the collection included manufacturing techniques, material employed and knot-types utilized. There were no artitacts made of cordage recovered. The majority of cordage recovered were small scraps which show the effects of hard and continual use. Some of the specimens are burned, worn to the point of have broken fibers or are even worn through. Many of the specimens are knotted together, indicating a frugal effort to save cordage.

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79 In a description of cordage, the term l2.lY refers to a single yarn which is usually plied with another singleyarn to become a two-ply cord or yarn. The direction of twist is determined as follows: "If the elements are twisted in one direction so that the slope of the spirals, when held in a vertical position, conforms to the central portion of the letter S, the cord is said to have an S-twist. If the elements are twisted in the opposite direction, the cord has a z-twist." (Rohn 1971:114). Two-ply cords are by far the most common within this particular collection. A tabulation the cordage specimens from Luster Cave according to direction of twist shows 57 pieces of z-twist cordage, as opposed to eight pieces of s-twist cordage. Both twist types are present throughout the fill of the cave. There are several methods of spinning yarn with a spindle; one of the most common is to roll it along the thigh. Ruth Underhill (1944:36) has shown that twist direction is dependent upon the direction the spindle is rolled. If it is rolled away from the body, an s-twist cord results; if the spindle is rolled toward the body, the cord will. be Z-twisted. This would mean that in order to make a two-ply z-twist cord, the first yarn would be rolled away from the body to get the s-twist, then the ply twist would be achieved by rolling the yarns toward the

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80 body. Spinning along the leg can also be achieved without the aid of a spindle. Another method of using a spindle is to drop the spindle and let it spin freely just above the ground. Here, as before, the twist direction is determined by the direction the spinner twists the spindle as it is dropped. It is impossible to say what method was employed at Luster Cave, although the absence of any spindle whorls may indicate employment of the first method discussed. Of the 66 total cordage specimens, 63 are twoply, obviously the most popular manufacturing technique. The remaining three are single ply, which may represent cordage which has come unplied. Overhand and square knots appear to have been utilized for a variety of purposes relating to the cordage. Overhand knots appearing at the ends of cords may have prevented the fibers from unraveling. Square knots, as well as granny knots, were used to join two pieces of cord together. It has been noted that the square knot seems to predominate in the Southwest (Basketmaker through Pueblo), whereas the sheetbend and overhand knots are more common in the Great Basin (Lambert and Ambler 1961:57). Within the collection of cordage, it appears that there are eleven types, based on material, number of strands, and direction of ply.

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There were 41 specimens of yucca cordage which made up four types. 81 The first type was a single specimen made up of a combination of a strand of yucca fibers and a strand of sinew (Figure 25a). It was a Z-twist, with a length of 5.3 em., and a thickness of 1.31 em. There was just one twist per centimeter, and the angle of the twist was 60 degrees. The second type is made up of 34 specimens of two-strand, Z-twist Yucca fibers (Figure 26). There were four specimens with only two twists per centimeter, with twist angles of 60 degrees (two specimens), 65 degrees and 75 degrees (one specimen each). There were eleven specimens with three twists per centimeter, with twist angles of 45 degrees (3 specimens), 60 degrees (six specimens) 65 degrees and 75 degrees (one specimen each) There .were eight specimens with four twists per centimeter, all with twist angles of 60 degrees. There were five specimens with five twists per centimeter, with twist.angles of 45 degrees (one specimen), 60 degrees (three specimens) and 75 degrees (one specimen). Lengths range from 1.61 em. to 33.5 em.; thickness ranged from 0.1 to 0.61 em. The third type includes five specimens of twostrand, s-twist Yucca fibers (Figure 26). Lengths range from 4.4 em. to 5.7 em.; widths range from 0.15 to 0.16 em. Three of the specimens had 4 twists per centimeter,

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0 2 3 4 Scm Figure 25. Yucca and sinew cordage (a) and sinew cordage (b, c and d). Figure 26. Yucca cordage. s-twist cordage (a) and ztwist cordage (b, c, d, e and f). 82

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all with angle twists of 60 degrees. There was one specimen each which had 3 and 5 twists per centimeter, with angle twists of 45 and 60 degrees, respectively. 83 The fourth type is comprised of one specimen of a single twist of yucca fibers. Its length is 14.4 em. and the thickness is 0.1 em. There are eleven specimens of fur cordage, of which there are three types. The first type is comprised of eight specimens of two-strands with a z-twist (Figure 27). There were either 2 or 3 twists per centimeter, three being the most popular with six specimens. The angle of the twist was either 30 degrees (three specimens), 45 degrees (four specimens) or 60 degrees (one specimen). The lengths ranged from 2.85 em. to 22.0 em.; thicknesses ranged from 0.27 em. to 0.81 em. The second type was comprised of two specimens of one strand em.; thicknesses were 0.5 em. and 0.27 em., respectively. The third type was comprised of a single specimen. This specimen was a two-strand, S-twist cord. There were two twists per centimeter, and a twist angle of 60 degrees. The length was 4.8 em. and the thickness was 0.8 em. There were nine specimens of sinew which made up two types. Both types were of two strands, eight of which had a z-twist and one which had an s-twist (Figure 25b, c

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84 Figure 27. Fur cordage. and d). Eight specimens had three twists per centimeter, and one specimen (not the s-twist) had four. All specimens had a twist angle of 60 degrees. Lengths ranged from 2.85 em to 16.5 em; widths ranged from 0.15 em. to 0.29 em. There was one specimen of cordage made of human hair fiber (Figure 28}. It was a loosely woven two-strand, Z-twist cord, with two twists per centimeter. The twist angle was 60 degrees. The length of the specimen was 11.3 em.; the thickness was 0.3 em. A final type of cordage was made of shredded juniper, all the specimens were two-strands with a ztwist (Figure 29). Three of the specimens had one twist per centimeter, with a twist angle of 60 degrees. A final specimen had two twists per centimeter, with a twist angle

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85 0 2 3crr ,_ ........ __ ___. Figure 28. Human hair cordage. Figure 29. Shredded juniper cordage.

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of 7 5 degrees. Lengths ranged from io. 5 em. to 22. 5 em. ; thicknesses ranged from 0.29 em. to 0.49 em. 86 There were 15 specimens of shredded yucca leaves and 14 yucca leaves consisting of only a knot (Figure 30). The purpose of these specimens is unknown, although the shredded leaves may have been in a preparatory state for cordage. The specimens which consist of only a knot may be remnants of fiber which was used as cordage. Another possibility may be that they were "doodles" and have no significant use. Among the knot-types represented, there were two Larks-head, seven square knots, three overhand, one double and one figure-of-eight. Figure 30. Yucca knots (actual size).

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87 There were 26 specimens of wood present in the collection of artifacts recovered from Luster cave. The artifacts were separated on the basis of apparent function, although where use was not apparent, descriptive categories were established. Ten types were represented in the collection. Two of the specimens from the collection were determined to be atlatl dart shafts (Figure 31). 0.72 em. and 0.74 em., and 10.6 em. and 19.6 em. in length, respectively. Atlatl shafts are common in dry cave sites throughout the desert Southwest. Four wooden foreshafts were judged to be parts of composite arrows (Figure 32b, c; 33a). Two of the specimens appear to be v-notched proximal sections. There appears to be resin residue within the notch of both specimens. Both specimens are 0.62 em. in diameter; the lengths are 3.9 and 4.83 em. The other two specimens are unidentifiable fragments, although it is most likely they are sections of arrow shafts. The diameters of these specimens are 0.62 em. and 0.6 em.; the lengths are 2.1 and 2.94 em. Wood parts of composite arrows commonly found in southwestern sites where perishable artifacts are preserved (Janetski 1980). Two specimens from the collection were classified as gaming pieces (Figure 34). Both specimens are undecorated. Cuts on opposite ends of the piece can

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Figure 31. Figure 32. Atlatl shafts. Arrow foreshafts {b, c) and painted reed fragment (a) 88

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89 2 3 4 Scm Figure 33. Arrow shaft (a) and modified wood (b, c, d and e) Figure 34. Wooden gaming pieces.

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90 clearly be seen on the first of the two specimens, while the other two sides have been smoothed. Deep transverse striations cover approximately 75 % of one side, while the other side is smooth. The specimen has burn marks along one of the smoothed edges. The second specimen appears to be unfinished. The dimensions of the specimens are 3.61 em. and 4.8 em. in length; 2.19 em. and 2.0 em. in width; and 0.5 em. and 0.3 em. in height, respectively. Three of the four shafts with tenons are nearly identical, varying only in length, and with slight fluctuations in diameter; the fourth is different only in the fact that the end opposite the tenon is fragmented (Figure 35). The four specimens have carefully smoothed shafts which taper to slightly blunted points, except for the fragmented one, with the other ends cut off by a method described by Cosgrove (1947, Figure 71). The process consists of cutting opposite notches on the stick about a third of the way through, leaving the center intact. Then, after scoring the stick at the desired breaking point and prying on the notch to weaken the fibers, the tab is broken out by simply bending the tenoned portion of the stick. All four of these shafts have the tabs still intact. Lengths are 6.9, 6.2, 3.3 and 8.0 em.; diameters are 0.6, 0.52, 0.6 and 0.65 em. Similar items with tenons have been recovered in various sites in Utah (Dalley 1976, 1970b:167; Janetski 1980:83-84, Figure 35), as well as in Arizona (Cosgrove

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Figure 35. Shafts with tenons. 1947), and they are generally considered to be waste produced in notching arrow or dart foreshafts to receive projectile points. It seems unlikely that the three carefully smoothed and tapered foreshafts would be waste material, though it is possible that they were wooden arrow foreshafts which had been cut off to allow for conversion from wooden to flint points. This might explain the slightly blunted tips on these shafts. A comparable artifact, called an arrow foreshaft, is described by Dalley (1970b:167). 91 Four specimens can be identified as waste from woodworking activities (Figure 36). All are round sticks of varying diameters and lengths, but all are less than 1.8 em. in diameter and 10 em. in length. All are smoothed for a distance at one end and are cut off, most likely by notching, either around or on opposite ends. The uncut ends are rough and frayed. Lengths measure 9.7, 8.1

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92 Figure 36. Woodworking waste. and 3.9 em; diameters vary from 0.85, 1.31, 0.89 and 1.39 em. The third specimen exhibited charring on both ends. Woodworking residue has been recovered from Juke Box Cave {Jennings 1957:193), Cowboy Cave {Janetski 1980:85, Figure 34), Hogup Cave {Dalley 1970b:181), various caves in New Mexico reported by Cosgrove {1947, Figure 137), and Sand Dune Cave {Lindsay et al. 1968:71, Figure 45). Four twigs were wound with a fine vegetal fiber. Two of the specimens were small twigs which have been wrapped together with the fiber, and appeared to be charred on one end (Figure 37). The fourth specimen is larger, although there are no additional distinguishing characteristics present. Neither specimen is formally distinctive nor do they show what could be considered special attention or care in manufacture. It may be

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93 0 2 3 4 Scm Figure 37. Fiber-wrapped twigs. possible these are merely examples of "doodling" and have no special significance. Lengths are 11.1, 8.39 and 3.72 ern. One fragmented section of reed was found which had been split lengthwise and was painted in the middle third of the specimen (Figure 32a). Length is 6.1 em. and width is 0.7 ern. There were seven specimens of unmodified reed. Two specimens of wood which do not appear to have anything distinctive about them, except for the fact that they have been decorticated, and blunted and smoothed on the ends. Lengths are 6.32 and 2.48 ern.; diameters are 1. 1 and 0 7 em. The presence and variety of wood and reed artifacts suggests that they were an important component

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94 of the prehistoric tool kit on the Colorado Plateau. Activities reflected in the remains include: limited hunting, as eyidenced by the few arrow parts, and atlatl shafts; and social or leisure activities, suggested by the occurrence of wood gaming pieces and bound twigs. Worked Bone There were 14 specimens of worked bone and three specimens of worked antler recovered from Luster cave representing awls, flakers, beads, and gaming pieces. The distribution of the worked bone artifacts in Luster Cave is noted in Table 7. TABLE 7 DISTRIBUTION OF WORKED BONE IN LUSTER CAVE Area Level Awls: Type A Type B Type c Gaming Pieces Bead Fragment Bone Tubes Antler "Fishhook" Unid. Fragment Shell Pendant A B C D E F Surf. 1 3 1 2 3 4 1 1 5 1 1 1 1 1 2 1 ],. 1 1 1 1 1 There were five specimens of worked bone representing three types of awls. Three specimens comprise Type A; which appear to have been utilized splinters of (Figure 38a, b and c). All three specimens exhibit polish on the tip, while

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Figure 38. Bone awls. Type A (a, b, and c), Type B (d) and Type c (e) one specimen exhibits polish on the edge as well. 95 Diagonal striations appear on the exterior surface of one of the specimens, while transverse striations appear on the tips of the other two. It is most likely that the diagonal striations were.formed during the utilization of the specimen, possibly as a result of punching and twisting the material on which the awl was being used. It is possible the transverse striations were formed as a result of manufacture, as it appears that the tips of the specimens were shaped. Lengths are 6.16 em., 7.2 em. and 4.1 em. One specimen comprises Type B; which has been extremely modified on the articular end (Figure 38d) This specimen appears to have been shaped -with the articular end removed, and the tip tapered (not to an extreme point, but somewhat blunted). This specimen has

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96 been burned along the majority of its length, but appears to have been utilized after its subjection to fire, because the polish extends over the burned area. There are transverse striations along the edge and tip of the specimen, possibly due to manufacture, given the fact that the specimen is so extremely modified. Length is 6.83 em. One specimen comprises Type c (Figure 38e) The articular end was incorporated into the design of this awl, as the entire end remains, as if to make grasping it easier. The tip was noticeably shaped, although not to an extreme point. There are transverse striations on the tip of the specimen, as well as diagonal striations along the edges. It is most likely the transverse striations were created during the manufacture of the specimen, while the diagonal striations were created during the utilization of the specimen. This specimen was heavily encrusted with caliche. Length is 7.26 em. There is one specimen which is presumed to be gaming piece. The specimen is a flattened piece of unidentifiable bone, with incisions present (Figure 39e). The length is 2.15 em.; the width is 1.08 em. There are four specimens which appear to be tubular beads (Figure 39a, b, c and d). The specimens are cut at both ends and exhibit incisions on two of the specimens. The specimens are polished as well. Lengths are 1.61, 2.0, 2.0 and 2.2 em.

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97 Figure 39. Bone gaming piece (e) and bone tubes (a-d). There is one specimen which is interpreted to be a bead, although 1/2 of the specimen is missing (Figure 40a). is 1 em. There is one unidentifiable fragment. There are four antler specimens which are possibly flakers. All the specimens have been cut and shaped on one end to a blunted, flat end (Figure 41). All the specimens exhibited diagonal striations, either on the edges of the specimens or on the tip and interior surface. Lengths are 3.85 em., 5 em., 5.45 em. and 3.94 em. There was one specimen present in the collection made of bone that resembles the bottom part of a fishhook (Figure 40b). It was recovered from Area B, Level 1 and may possibly be an example of an item copied from the settlers coming into the area.

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Figure 40. Bone bead fragment (a), bone "fishhook" (b) and shell pendant (c). Figure 41. Antler flakers. 98

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There was also one specimen of modified shell present in the collections. It was a small rectangular pendant with a hole drilled through one end (Figure 40c). The dimensions of the specimen are 1.51 em. x 0.75 em. x 0.15 em. Macrofossils 99 There were 68 seeds and three corn cobs present in the collection from Luster cave. Of these, there were 52 corn kernels; four juniper seeds -three of which included both the inner seed and fleshy covering, one yucca seed, four acorn hulls -one of which contained a seed and one wild onion bulb (Table 8; Figure 42). There were also two roots of Cymopterus umbelliferae present in a bundle of leather and fiber (see the discussion in the perishables section). Because the large majority of the undomesticated seeds recovered during the excavation of Luster cave were unburned, there is a strong possibility that they were not placed there through human action. The domesticated seeds, all of which are corn, are assumed to be the result of human action. There were no soil samples curated from which additional pollen and macrofloral evidence could be gleaned. It is an accepted practice in archaeological studies to reference ethnological plant uses as indicators of possible plant uses in prehistoric times. Ethnographic sources do document that with some plants

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Sample 8583 8584 8585 8586 8587 8588 8589 8590 8591 8592 8593 8594 8595 8596 8597 8598 8598 8599 8600 8601 8641 8690 8702 8750 8776 8814 No. r l.,. !: TABLE 8 MACROFOSSILS FROM LUSTER CAVE Location Burned Area Level Type Whl Frg B 2 Corn Kernels A 3 Corn Kernels A 4 Corn Kernels B 5 Corn Kernels c 2 Corn Kernels c 1 Corn Kernels c 2 Corn Kernels E 1 Corn Kernels F 1 Corn Kernels F 2 Corn Kernels F 3 Corn Kernels F 4 Corn Kernels F 5 Corn Kernels A 1 Corn Cob 1 B 2 Juniper Seed (only) A 1 Juniper Seeds, aril A 1 Unknown Seeds B 4 Juniper Seed, aril 1 F 3 Unknown F 5 Yucca Seed F 5 Acorn Hull A 3 Acorn Hull 1 B 3 Wild Onion Bulb 1 c 2 Corn Cob c 4 Acorn Hull 1 F 2 Corn Cob I) ; . .. ;;-Figure 42. Macrofossils 100 Unburned Whl Frg 3 6 2 3 6 1 2 9 3 5 7 3 2 1 2 2 1 1 1 1 1 1

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101 the historic use was developed and likely continued from the past. The ethnobotanic literature serves only as a guide indicating that the potential forutilization existed in prehistoric times, not as conclusive evidence that the resources were used. There were three corn cob fragments and 52 kernels presently in the collection as compared to nine cobs and an unknown number of kernels (six packets) that were recovered from the excavation. Norton H. Nickerson and Ding Hou analyzed the corn kernels and cobs for Lister during the 1950s (Wormington and Lister 1956:105-106), Table 9 shows his measurements. Because the cobs are fragmented it is difficult to surmise the shape of the cobs, although Nickerson commented that there were equal numbers of tapered, cigar-shaped and straight specimens (Wormington and Lister 1956:105). Nickerson also concluded that the maize from Luster Cave was a thick-kerneled somewhat mixed race, with some Mexican influence based on tapering 12-14-rowed cobs with small shank diameters (Wormington and Lister 1956:105). This is similar to the maize recovered from Turner-Look {Wormington 1955). However, given the presence of 8-rowed straight cobs with high rachis-flaps and a cupule depth of zero, Nickerson also felt there was also Eastern influence (Wormington and Lister 1956:105). Also present were cigar-shapedcobs and some isodiamteric kernels, possibly

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indicating a mixture with, or derivative from, Anasazi maize from the south (Wormington and Lister 1956:105). TABLE 9 CORN COB MEASUREMENTS FROM LUSTER CAVE Row Number: Cupule width: Cupule depth: % of cobs 8-rowed: Height of rachis-flaps: Kernel thickness: % of cobs tapered: Lower glurne width! 3 8 10 12 2 3 Reprinted from Wormington and Lister (1956:105) 1 14 7.5 0.0 33.0 1.6 4.5 33.0 5.2 Zea was an important cultivated food for many prehistoric cultures, as well as for many historic and 102 present cultures. The ethnographic literature indicates a number of ways maize was prepared. The kernels were parched, soaked in water with juniper ash, and boiled to make hominy; dried were ground into a meal, which is used as a staple. Whole ears were husked immediately upon harvesting, then boiled and eaten. Clean husks were saved for smoking and other uses, such as wrapping food. (Cushing 1920; Robbins et 1916; Stevenson 1915; Whiting 1939). There were four juniper berries present in the collection, although only one of these indicated any sign of charring. Juniper berries are an abundant crop and are available throughout the year. The ethnographic literature suggests many uses for both juniper berries and wood in food, medicine, as fuel and as construction

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103 material. The berries were dried for storage; they could then be ground into a meal and used to make mush or cakes. Beverages and medicines were made by steeping the fruits or leaves in hot water. The berries may also have been used to flavor meat (Angell 1981; Harrington 1967). Juniper berries have also been used to make a decoction for use as a medicine (Densmore 1974; Gilmore 1977). Juniper bark was used to line pits where dried fruits were stored (Chamberlin 1964). Whiting (1939:21) maintains that the Hopi ate the berries only during times of famine. In times of acute food shortage some groups would peel off the inner bark of the juniper and chew it (Harrington 1967) 0 Gallagher (1977) notes that juniper berries were an important food for the Apache. The berries were eaten fresh, boiled, pounded to form a kind of bread, or soaked and pounded to make a liquid drink. Goodwin (1935) also notes that juniper berries were a staple for the Apache. Smith (1974) reports that the Northern Utes rubbed juniper berries with a mano to separate the seeds from the pulp. The pulp was then either eaten fresh or dried and ground on a metate. Harrington (1967) notes that Rocky Mountain juniper berries were collected in the late summer or fall and may have been eaten raw or cooked (boiled or roasted) The presence of four acorn hulls -one of which still contained the seed inside -indicate the possibility

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104 that acorns were utilized at Luster Cave. Two of the hulls indicated signs of charring. Acorns are noted to contribute to subsistence wherever Quercus grows around the world. In many areas, it may provide the main source of nutrition. Like pinyon nuts, acorns are unpredictable. In some years the local crop is abundant, and in other years it is almost non-existent (Harrington 1972). Some Shoshonean groups such as the Luiseno ground the acorns into meal. The tannic bitterness .of the acorns was leached out by placing the meal in a loosely woven basket and soaking it in hot water. The acorn meal was used to make mush, bread, pancakes or to thicken soup; sometimes it was mixed with cornmeal. Ground up acorns or possibly only acorn shells are noted to have been used to make a beverage that was used as a substitute for coffee. One unburned yucca seed was present in the collection. The etl'mographic literature indicates that yucca flower stalks and fruits were eaten and stored for winter use. The yucca roots were used for soap and leaf fiber for weaving cordage, sandals, and other items (Woodbury and Zubrow 1979). One wild onion bulb was present in the collection -the stalk appeared to have been burned, while the remainder of the bulb present was charred. Wild onion (Allium) is noted to have been frequently exploited by many Native American groups. Wild onion was utilized as flavoring for stews or meats, boiled and eaten as a

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vegetable, or the juice was used medicinally. The bulbs were also dried and stored for future use (Gilmore 1977; Harrington 1967; Hellson and Gadd 1974; Smith 1974; and Yanovsky 1936). 105 There was one coprolite recovered from Luster Cave. It was not analyzed because it would not have produced a comparable database. It also did not appear to be human. The coprolite was recovered from Area F, Level 2. Human Bone There was one tooth crown present in the collection from Luster Cave. The tooth crown present is unidentifiable beyond being a molar or premolar, as only the enamel of the crown remains (Figure 43). The infant burial, unfortunately, had either been lost or had disintegrated, as the matting associated with the burial was present, but there was no sign of bone within the matting (Figure 44). Both specimens were recovered from Area C, in Levels 2 and 3. 0 1 2 3 4 Scm Figure 43. Tooth crown fragment.

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106 Figure 44. Burial matting. Minerals There were nine specimens of minerals present in the collections from Luster Cave -three lumps of resin, three lumps of limonite, two lumps of yellow ochre, and one lump of red ocher. Resin was often used as a compound which "glued" points and other materials into their respective places. The resin would be heated, then as it hardened, it would lock solid. Ochres have been utilized as paint both historically, and prehistorically, on a variety of including human bodies, ceramics, basketry, and leather. Limonite may have also served as a coloring medium, but may also be present due to the

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107 geologic formations of the area. One specimen, however, does appear to have been smoothed on three sides, as if it had been rubbed against something. Table 10 shows the distribution of the minerals throughout the site. TABLE 10 DISTRIBUTION OF MINERALS IN LUSTER CAVE Area Level Limonite Resin Yellow Ochre Red Ochre A 1 3 2 1 B 1 2 1 1 Radiocarbon Date F 1 2 4 1 1 1 1 One charcoal sample was tested for a radiocarbon date, and produced a date of 3410 130 years B.P. (1850 B.C.+ 210 years, with MASCA correction). The charcoal had been taken from a cis4 that was located in Area B, Level 3. Associated artifacts included two projectile points -a Parowan Basal-Notch point and a Gypsum point -five Type 1 ceramic sherds and two manes -one loaf-shaped fragment and one round, two-sided/ one-handed. The association of ceramics and a Parowan Basal-Notched point in the same level and area as the tested charcoal suggests that either the charcoal that was tested had somehow been contaminated, or later occupants of the cave disturbed the fill, the latter of the two ideas being most probable. This may suggest that there was actually a slight

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108 difference in stratigraphy that went unnoticed during the excavation of the cave. <

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CHAPTER 6 ROTH CAVE ANALYSIS Lithics There were 31 specimens present in the collection. Within the technological analysis, there were 11 types. Table 11 shows the distribution of these types in Roth Cave. The first type is a chert core fragment with cortical and non-cortical surfaces present. There was no visible wear or additional modification present. The second type consisted of chert and chalcedony tertiary bifaces. There were 21 specimens, all of which showed additional modification, and will be further discussed later in the section. There were 21 specimens comprising Type 3. The specimens were tertiary flakes with no visible wear or additional modification. All the specimens in this type are considered debitage. Type 4 consists of two chert choppers. There is slight wear visible, but no additional modification. There were five comprising Type 5. All are sandstone cobbles with extensive visible wear present. There does not appear to be any additional

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110 TABLE 11 DISTRIBUTION OF TECHNOLOGIC TYPES IN ROTH CAVE Area A B Level Surf. 1 2 3 1 2 3 Type 1 1 Type 2 4 5 8 2 1 1 Type 3 9 5 5 2 Type 4 2 Type 5 4 1 Type 6 1 1 Type 7 1 Type 8 1 Type 9 2 Type 10 1 Type 11 1 The specimens within this type are considered to be groundstone and will be discussed later in the section. There were two tertiary flakes of siltstone comprising Type 6. These specimens are considered to be debitage. There was one quartzite chunk comprising Type 7. There were no cortical surfaces There was one tertiary uniface of chert comprising Type 8. It had possible wear along one edge, with no additional modification to the body of the specimen. There were two quartzite cobbles comprising Type 9. Both specimens exhibited cortical surfaces over the entire specimen, as well as extensive-visible wear, much of which appears to be battering of the ends. Both specimens are considered to be hammerstones (Figure 45).

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111 Figure 45. Quartz hammerstone. One quartzite cobble exhibiting extensive wear on its cortical surfaces comprises Type 10. This specimen is considered to be groundstone and will be discussed later in the section. One basalt cobble exhibiting extensive wear comprises Type 11. This specimen is considered to be groundstone and will be discussed later in the section. Grounds tone There were seven specimens of groundstone recovered from Roth Cave. All the groundstone specimens are manes, with a variety of different types present (Table 12). There was one each of loaf-shaped, rectangular with tapered ends and round (Figures 46 and

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112 TABLE 12 DISTRIBUTION OF GROUNDSTONE IN ROTH CAVE Type Area Level Mat. #-Handed #-Sided Loaf-Shaped B 1 1* 1 1 Rectangular Surface 1 1 1 Rectangular Surface 1 1 2 Rect/Tapered B 1 2* 1 2 Round/Tapered Surface 1 1 2 Round/Tapered B 1 3* 1 1 Indet. Fragment Surface 1 ? ? 1 = Sandstone 2 = Basalt 3 = Quartz Figure 46. Loaf-shaped mano.

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113 47). There were two rectangular, as well as one fragment which was difficult to determine shape (Figure 48) All of the manos appear to be one-handed, with two specimens that were utilized on one surface only, and four specimens that were utilized on both sides. All the specimens appeared to have been exposed to charred material, as all the specimens.were blackened on their use surfaces. 0 2 3 4 Scm Figure 47. Round mano. 0 1 2 3 4 Scm Figure 48. Rectangular mano.

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114 Bifaces In addition to the eight projectile points present in the collection, there were three scrapers, one knife base fragment, one drill tip and eight bifaces (Figure 49). The distribution of the projectile points in Roth Cave is noted in Table 13. There was only one point which could not be typed with available typologies. This specimen was side-notched as well as corner-notched (Figure 50a) Both the base and tip have been fragmented. There were five points which compared favorably to the Elko Corner-Notch (Holmer 1978) (Figure SOb, c). As noted previously, the Elko series projectile points are the most plentiful but the least temporally diagnostic of the point types commonly found in the northern Colorado Plateau and the far eastern Great Basin. Points of this type are known to occur after 7600 B.P. {Holmer 1978), possibly persisting into historic times (Fowler et al. 1973:41). There was one specimen present in the collections which compared favorably to the Gypsum point of Archaic origin (Holmer 1978) {Figure 50d) As noted previously, the Gypsum projectile point is the most recent type generally associated with the Archaic stage of the northern Colorado Plateau, dating from approximately 4600 to 1500 B.P. {Holmer 1978).

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115 Figure 49. Bifaces. TABLE 13 DISTRIBUTION OF PROJECTILE POINT TYPES IN ROTH CAVE Area A B Level surf. 1 2 3 1 2 3 Untyped 1 Elko 1 2 1 1 Gypsum 1 Rocker S-N 1

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Figure 50. Projectile points. Untyped point (a), Elko Corner-Notched points (b, c) Gypsum (d) and Rocker Side-Notched point (e). All points actual size. 116 There was one specimen which appeared similar to the Rocker Side-Notched point of Archaic origin (Holmer 1978) (Figure 50e). The material from which this point is made may have been quarried in Unaweep Canyon which is not far from this site (Piontkowski, personal communication 1988). The Rocker Side-notched point type is the most tentative of the several types named during the analysis of Sudden Shelter material (Jennings et al. 1980). It bears some resemblance to a few Elko Side-notched points described by Heizer and Clewlow (1968:78, esp. Fig. 4, o and p), but the tight stratigraphic distribution of these points at Sudden Shelter suggests their importance as time markers. They date from 6800 to 5300 B.P.

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117 Perishables There were 33 specimens present from Roth cave that fall under a perishable category that includes several artifact types and materials not commonly recovered in open sites, but are typical of items recovered in dry caves. Included within this category is basketry, cordage, fur /hair, leather, yucca quids and one specimen of wood. The distribution of these specimens in Roth Cave is noted in Table 14. Two basketry fragments were present in the collection. The first basketry specimen was a wall fragment, recovered from the surface of Roth Cave (Figure 51). It had a 1/2 rod with lateral bundle close-coil foundation and non-interlocking stitches. The dimensions of the specimen are 10.88 em. x 2.83 em. x .51 em. There appears to be a slight residue on the specimen, possibly pitch. The second specimen was a center fragment (Figure 52). It had a 1/2 rod and bundle close-coil foundation. The stitch type was non-interlocking, and accidentally-split stitches were visible. The inner surface appears to have.been worn, most likely from utilization The dimensions of this specimen are 8. 2 em. x .7 em. Both basketry specimens are similar to those that developed in the Great Basin (Adovasio 1971).

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118 TABLE 14 DISTRIBUTION OF PERISHABLE ITEMS IN ROTH CAVE Area A B c Level Surf. 1 2 3 1 2 3 1 2 3 Basketry 2 Worked Wood 1 Unmodified Fur 1 Unmodified Leather 3 Quids 2 2 Yucca Leaves 6 1 1 2 Cordage: Yucca Type 1 1 1 1 1 Yucca Type 2 1 2 1 2 Fur Type 1 1 Figure 51. Basketry fragment.

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Figure 52. Basketry fragment. A rectangular piece of wood was present in the collection, which had been recovered from the surface. This particular specimen had been purposefully cut and smoothed (Figure 53). The dimensions are 9.2 em. x 5.7 ern. x 41 em. 119 Four quids of yucca were present in the collection, collected from Areas A, Level 2 and c, Level 1 (Figure 54) Three unmodified pieces of leather were present in the collection, as well as one specimen of unmodified fur/hair (Figure 55). The fur is white and is possibly lagornorph fur from either the white-tailed jackrabbit (Lepus townsendii) or snowshoe rabbit (Lepus americanus).

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120 Figure 53. Worked wood. Figure 54. Yucca quids.

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121 Figure 55. Unmodified leather. There were eleven specimens of cordage present in the collection. There are three types of cordage that were delineated within the collection. The first type includes four specimens of twostrand, z-twist yucca cordage (Figure 56). Two of the specimens had four twists per centimeter, while one each had three and eight .. All twist angles were 60 degrees. Lengths were 16.7, 13.5, 3.1 and 7.4 em. Thicknesses were 0.2, 0.26, 0.21 and 0.18 em., respectively. The second type included six specimens of twostrand, s-twist yucca cordage. Twists per centimeter included 1, 3, 5 and 6, with two Specimens having a twist angle of 45 degrees and the remainder having a twist angle

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Figure 56. Yucca cordage .. z-twist (a) and s-twist (b -d) of 60 degrees. Lengths ranged from 4.0 em. to 33.1 em.; thicknesses ranged from 0.16 em. to 0.33 em. The final type was comprised of one specimen of two-strand, z-twist fur cordage. There were two twists per centimeter and a twist angle of 60 degrees. The length was 20.5 em.; the thickness was 0.8 em. 122 There were 10 specimens of yucca leaves present in the collection. Six of these specimens are knotted, while the other specimen represents a bundle of yucca leaves (Figures 57 and 58) One in particular may represent a comb of some sort (Jennings 1980). Four of the six specimens which are knotted have been knotted with overhand knots, while the other two are square knots.

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123 Figure 57. Yucca leaf bundle. Worked Bone There were two specimens of worked bone recovered from Roth Cave, both were recovered in Area A -one in Level 1 and the other in Level 3. Both specimens are tips from fragmented awls (Figure 59). Both specimens also exhibit impact fractures of the tip and transverse striations on the exterior surface of the bone. One of the awls only exhibits polish along the tip and edge and was burned as well. The other awl exhibits diagonal striations along the exterior surface. The specimens are 3.8 em. and 4.5 em. in length, respectively.

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124 Figure 58. Yucca knots (actual size).

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125 Figure 59. Bone awl fragments. Macrofossils There were eight seeds and two corn cobs recovered from Roth Cave (Table 15). Five of the eight seeds were corn kernels, while two were yucca and one was a pinyon nut hull (Figure 60). Only the pinyon nut hull appeared burned. There were two complete cobs and five kernels present in the collection. The cob with the stick inserted appears to be tapered on the end opposite the stick; the other cob is fragmented at the end, so it is difficult to judge its shape. It would be premature to conclude the history of the corn present in Roth Cave based on two cobs and five corn kernels, except to note

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Sample No. 7937 7938 8929 8932 8947 TABLE 15 MACROFOSSILS FROM ROTH CAVE Location Burned Area Level Type Wh Fr Surf. Corncob w/stick inserted in end surf. Corn Cob B 1 Corn Kernels B 2 Pinon Nut Hull 1 c 1 Yucca Seed Figure 60. Macrofossils. 126 Unburned Wh Fr 1 1 5 2

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127 its presence. However, Zea has been an important cultivated food for many prehistoric cultures, as well as for many historic and present cultures. The ethnographic literature indicates a number of ways maize was utilized. The kernels were parched, soaked in water with juniper ash and boiled to make hominy; dried kernels were ground into a meal, which was used as a staple. Black corn was used as a dye for basketry and textiles and as a body paint. Whole ears were husked immediately upon harvesting, then boiled and eaten. Clean husks were saved for smoking and other uses, such as wrapping food (Cushing 1920; Robbins et al. 1916; Stevenson 1915; Whiting 1939). There were two complete, unburned specimens of yucca seed present in the collection. Yucca flower stalks and fruits were eaten and were stored for winter use. The yucca roots were used for soap and leaf fiber for weaving cordage, sandals and other items (Woodbury and Zubrow 1979) There. was one charred fragment of a pinyon nut hull present in the collection. Pinus nuts, particularly pinon pine nuts, are noted to have been widely exploited historically. The nuts were harvested in the fall or early winter, and a bumper crop was expected approximately every seven years (Harrington 1967). The nuts were usually collected when the cones opened and the seeds fell to the ground. If the cones were not open, they were roasted to open them. The seeds were eaten raw or

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128 roasted, which preserved them for storage and prepared them for grinding into meal (Colton 1974; Gallagher 1977; Nequatewa 1943; Whiting 1939}. Pine needles have been used to make tea, and the inner bark may have been used as a starvation food. The bark may have also been dried and ground into meal (Harrington 1967}. Pine was also used as a fuel (Robbins et al. 1916). The coprolites were not analyzed because of the fact that there were only two present from the cave, and it would not represent a comparable database. It also did not appear as if the coprolites were human. The coprolites were recovered from Area A, Level 1 and Area C, Level 1. Human Bone There were only three specimens of human bone remaining in the collection at the time of analysis -the child burial was missing, leaving two teeth and a partial maxilla (Figure 61). The two teeth were recovered from Area B, Level 2. One of the teeth was a right 1st or 2nd maxillary molar, worn down to secondary dentine over 3/4 of the tooth, with unequal wear on the lingual side (Figure 60c). There was a very slight formation of calculus near the gumline. The second tooth was an indeterminate maxillary or mandibular premolar, exhibiting wear down to near primary dentine (Figure 60b). There was also a slight formation of calculus near the gumline. It is difficult to assign an age to these two teeth.

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Figure 61. Human bone. Maxilla fragment (a), premolar (b) and maxillary molar (c) The third specimen, a partial.maxilla, was 129 recovered from Area C, Level 1 (Figure 60a). The maxilla was fragmented at the maxillary process with five teeth erupted and evidence of a several more teeth present, but which were not yet erupted. The teeth which were erupted included the upper two left incisors, the canine, and two pre-molars (I 2/x c 1/x M 2/x = 5/x). There was a supernumerary. tooth behind the second incisor, and a molar, both of which had not yet erupted. The first incisor shows signs of wear down to primary dentine, as well as the first premolar. Based on the eruption of the teeth in the maxilla, the maxilla represents a child of approximately five years of age.

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CHAPTER 7 DISCUSSION Therewere several goals important to the research of this project. The first was to review a collection that had been curated for a long period of time to review its condition, as well as to investigate the possibility for tests and procedures that had been developed after the excavation had taken place. Secondly, it was hoped a reanalysis of the artifacts and materials in the collection could add to the present database of the area. The third goal was to determine if the conclusions drawn by Lister and Dick (1952) and Wormington and Lister (1956) remain accurate, given a more extensive collection of typologies for the different artifact types. The collection was in good condition, with less than five percent of the collection missing. The most significant loss of artifacts included the faunal collection, an infant burial from Luster Cave and a child burial from Roth Cave. With the exception of one specimen of basketry none of the artifacts had been treated for long-term preservation. After a review of the collection, it appears that some specimens of cordage and basketry might benefit from treatment for preservation. Unfortunately, there were no field notes available for

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131 perusal, and only two rough sketch maps of Luster cave to look at. All the excavation information was gleaned from Lister's explanations in the published literature (Lister and Dick 1952; Wormington and Lister 1956). The only material that had been curated in the collection that could be utilized for additional testing was charcoal, although location and artifactual associations were sketchy, at best. There were no materials available for flotation, pollen analysis or dendrochronology. There were two small pieces of obsidian present in the collection, although the amount was not enough for sourcing or hydration. Neither Luster or Roth Cave had a large amount of diagnostic material, although there sufficient numbers of projectile points, ceramics and basketry fragments present to provide a rough relative chronological framework. One radiocarbon test was run, with a result of 1850 + 210 years. There was no material available to utilize other absolute dating methods. Table 16 shows the basic areal relationships of the diagnostic material of Luster Cave, although there were no comprehensive field notes with which to compare close associations of artifacts from area to area and level to level. The caves are not large and there do not appear to be any feature differences between areas and levels.

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TABLE 16 DISTRIBUTION OF DIAGNOSTIC ARTIFACTS IN LUSTER CAVE A B C D E F Area Level 1 3 4 1 2 3 5 1 2 3 4 1 1 1 2 3 4 5 Corn X X X X X X X X X X X X' X Unc. Brownware X Fremont Bsktry X X Proj. Points: Elko X Pinto X X Gypsum X X X Desert S-N X X Nawthis S-N X X Uinta S-N X Parowan B-N X X C-14 Sample X TABLE 17 PISTRIBUTION OF DIAGNOSTIC ARTIFACTS IN ROTH CAVE Area A B Level Surface 1 2 3 1 2 3 Corn X X Projectile Points: Elko X X X X Gypsum X Rocker S-N X Basketry X 132

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133 Corn was recovered from all levels and areas of Luster Cave. It was associated with nearly all the diagnostic artifacts recovered from the cave as well. The two corn cobs from Roth Cave were recovered from the surface, while the corn kernels were all recovered from Area B, Level 1 (Table 17). Corn is known to have been introduced into the Southwest by 1000 B.C. (Minnis 1980), and at least as early as 390 B.C. in southeastern Utah (Richens 1988). There is also recent evidence that corn was available to groups in the Great Basin by 175 B.C. (Richens 1988; Wilde and Newman 1989). This suggests that the corn recovered from both Roth Luster Caves may have been traded for as early as 1000 B.C., and may have even been cultivated following that date. Unfortunately, there was no corn associated with the C14 sample taken from the cist in Area B, Level 3 of. Luster Cave, precluding an associational date for the corn. There are no absolute dates for Roth Cave, precluding a further definition of the time span for the use of the corn from Roth Cave. There is a clear division of diagnostic points present in Luster Cave. Both Archaic and Fremont points are represented, although they are associated in only one area of the cave. All the diagnostic points recovered from Roth Cave are associated with the Archaic stage culture. Two Pinto Shoulderless points were recovered from Area C, Levels 1 and 2. There are two Nawthis

PAGE 146

134 Side-Notched points, one Uinta Side-Notched point and a Pesert Side-Notched point associated with the Pinto Shoulderless points by levels. Only a Parowan Basal-Notched point was associated with the Pinto Shoulderlf3SS points in Area c, although the Parowan Basal-Notched point was in Level 4, as opposed to Levels 1 and 2. Because the Pinto points were recovered from the uppermost levels, the possibility exists that these points were curated by later groups. An additional problem which exists is the association of two Parowan Basal-Notched points with an Elko and Gypsum point in Area B, Level 3. There are two solutions to this problem, the first of which is the curation by later groups of Archaic points. The second solution is the possibility that there was a slight change in stratigraphy that went unnoticed during the excavation of the cave. The first solution might be supported by the fact that there was a fragment of Fremont-like basketry and sherds of Uncompahgre Brownware that were also recovered in Area F, Levels 3 and 4. The second solution is supported by the radiocarbon result of 1850 B.C. 210 years, as well as by the fact that two additional Gypsum points were recovered in Level 5 of Areas B and F, which are next to one another. Without more extensive field notes to describe the relationships of the artifacts to one another within the fill of each section, all that can be concluded is the possibility of two distinct occupations of Luster Cave, the first of

PAGE 147

135 which was probably during the Archaic time period. The second occupation was mo.st likely during the early protohistoric, given the association of Ute-like pottery and Formative projectile points. There is greater evidence supporting a single occupation at Roth Cave. All the diagnostic points recovered from Roth Cave are of Archaic origin. The basketry present is similar to that developed during the Archaic period in the Great Basin (Adovasio 1971). There is also evidence to support the presence of corn in the Southwest and surrounding areas by 1000 (Minnis 1980). The presence of a Rocker Side-Notched in association with Elko points and a Gypsum point suggest the possible curation of the older point. The paucity of cultural material recovered from both caves suggests that neither cave was utilized as a residence on a long-term basis. The apparent lack of stratigraphy in Roth Cave suggests that the cave was used over a short period of time, perhaps as a base camp from which the occupants pursued game and gathered local fruits and vegetables. There were only a small number of macrofossils recovered from Roth cave, making any claim as to whether the occupants of the cave were nomadic or sedentary difficult. The presence of corn itself cannot suggest anything further than the fact that corn was in the area. There was only one burned pinon nut hull, the presence of which might suggest that it had been gathered

PAGE 148

136 by the occupants of the cave. The presence of the hull might suggest a fall occupation, but without additional evidence it is difficult to be sure. The presence of a child burial -although it is missing from the collection at the present time -suggests that it may have been a family group occupying the cave rather than a hunting party, although there was not an extensive number of artifacts recovered that could be associated with a female's toolkit. Luster Cave may have alsobeen utilized as a base for pursuing game and gathering the local vegetation, although the presence of disparate projectile points types may suggest it had been utilized at separate times. There were several charred macrofossils recovered, including a wild onion bulb, acorn hulls, a juniper seed and a corn cob, suggesting a fall occupation. The presence of an infant burial suggests a family grouping as opposed to an all-male hunting party. The addition of ceramics and fragments of wooden hunting artifacts also suggest that there were both females and males occupying the cave. The presence.of the infant and child burials from Luster and Roth caves suggest a family grouping occupying the caves as opposed to a hunting party. The paucity of cultural material recovered would suggest brief occupations of the caves. There was only one specimen from Roth Cave that might be construed as having come from out of the area -this was a projectile point constructed

PAGE 149

137 of material similar to that from the northwestern section of Colorado (Piontkowski, personal communication 1988). The presence of projectile points associated with the Fremont suggest the group occupying Luster Cave may have had ties to that area. There are no specimens from either cave that might be considered exotic. Given the presence of the burials, the paucity of cultural material and a lack of exotics, this suggests that the occupants of both caves were small family groups of local origin who used the caves as base camps. It might even be suggested that the occupations of Luster cave, while disparate in time, were similar in activity.

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CHAPTER 8 SUMMARY AND CONCLUSIONS The research in this paper was undertaken in order to answer the question of whether a reanalysis of the artifacts from an archaeological site which had been excavated in the past might add more information to its database. While many of the scientific techniques which have been developed over the past 35 years were beyond the scope of the materials curated in the collection, the projectile point, ceramic and basketry typologies which have been developed in that same time span aided in a refinement of culture affiliation for the two caves. For example, Lister (Wormington and Lister 1956:125) felt that Roth cave antedated Luster cave, and was most likely occupied during the Basketmaker III time period. However, the projectile points from Roth Cave compared more favorably with projectile point typologies for the Archaic time period (Holmer 1978). It may also be possible that a small change in stratigraphy in Luster Cave was overlooked during the first excavation, as the projectile points from Luster Cave represent two distinct occupations. The occupations suggested are from the Archaic time period and early proto-historic. A second occupation is also

PAGE 151

139 supported py the presence of ceramics that are associated with Ute occupation of the Uncompahgre Plateau (Buckles 1971}. Additional excavation in front of the caves may produce evidence as to the cultural affiliation of the occupants of the cave, as well as provide soil samples from which more precise palynological and macrofloral information may be gleaned. Additional excavation might also provide vital artifactual associations with materials that may be absolutely-dated. Reanalysis of archaeological materials that have been recovered from excavations undertaken in the past is an important aspect of archaeological studies. While specimens may be missing, or the fieldnotes are incomplete, the additional information gleaned from the artifacts themselves is an important addition to the database of an area. This project, while it was not able to fully utilize new scientific techniques such as pollen analysis, obsidian hydration and sourcing, or dendrochronology, was able to refine the time periods during which Roth and Luster Caves were occupied utilizing projectile point, ceramic and basketry typologies.

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REFERENCES CITED Adams, Karen R., and Robert E. Gasser 1980 Plant Microfossils from Archaeological Sites: Research Considerations, and Sampling Techniques and Approaches. The Kiva 45(4): 293-300. Adovasio, J.M. 1988 Coiled Basketry and Cordage from Lakeside Cave (42B0385), Utah. Paper presented at the 21st Great Basin Conference. Park City. 1980 Fremont: An Artifactual Perspective. Antiquities Section Selected 7(16):35-40. 1977 Basketry Technology: A Guide to Identification and Analysis. Aldine Publishing Company: Chicago. 1975 Fremont Basketry. Tebiwa 17:67-76. 1971 Some Comments on the Relationship of Great Basin Textiles to Textiles from the Southwest. University of oregon Anthropological Papers 1:103-108. Eugene. 1970 Chipped Stone Artifacts. IN Median Village and Fremont Culture Regional Variation by John P. Marwitt. University of Utah Anthropological Papers 95. Salt Lake City. Aikens, Melvin c. 1966 Fremont-Promontory-Plains Relationships. University of Utah Anthropological Papers 82. Salt Lake City. Angell, Madeline 1981 A Field Guide to Berries and Berrylike Fruits. The Bobbs-Merrill Company, Inc.: New York. Baugh, Timothy G., and Frank W. Eddy 1987 Rethinking Apachean Ceramics: The 1985 Southern Athapaskans Ceramics Conference. American Antiquity 52:793-799. Berry, Michaels., and Claudia H. Berry 1976 Ari Archaeological Survey of the White River Area, Northeastern Utah. Antiquities Section Selected Papers Vol. 2, No. 4. Salt Lake City.

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Breternitz, David A., Arthur H. Rohn, and Elizabeth A. Morris 1974 Prehistoric Ceramics of the Museum of Northern Arizona, Northern Arizona Society of Flagstaff. Brothwell, D.R. Mesa Verde Region. Ceramic Series 5. Science and Art: 141 1981 Digging Up Bones: The Excavation, Treatment and Study of Human Skeletal Remains. Cornell University Press: Ithaca. Buckles, William G. 1988 Discussion. In Archaeology of the Eastern Ute: A Symposium, edited by Paul R. Nickens. CCPA Occasional Papers 1:218-232. 1971 The Uncompahgre Complex: Historic Ute Archaeology and Prehistoric Archaeology on the Uncompahgre Plateau in West-Central Colorado. Ph.D. dissertation, University of Colorado. 1968 The Archaeology of Colorado: Part III, Archaeology in Colorado: Historic Tribes. southwestern Lore 34(3):53-67. Cassells, E. Steve 1983 The Archaeology of Colorado. Johnson Books. : Boulder. Chamberlin, Ralph V. 1964 The Ethnobotany of the Gosiute Indians of Utah. American Anthropological Association Memoirs 2:329-405. Clewlow, C.W., Jr. 1967 Time and Space Relationships of Some Great Basin Projectile Point Types. University of California Archaeological Survey Reports 70:141-150. Berkeley. Colton, Harold S. 1974 Hopi History and Ethnobotany. In Hopi Indians. New York: Garland Publishing Inc. Cosgrove, c. Burton 1947 caves of the Upper Gila and Hueco Areas in New Mexico and Texas. Papers of the Peabody Museum of American Archaeology and Ethnology Crane, 1977 24(2) :1-181. Cathy J. A Comparison of Archaeological Sites on the Uncompahgre Plateau and Adjacent Area. M.A. Thesis, Eastern New Mexico University, Portales.

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cushing, Frank Hamilton 1'920 Zuni Breadstuff. Indian Notes and Monographs. Vol. 8. Museum of the American Indian, Heye Foundation, New York. Dalley, Gardiner F. 1976 Swallow Shelter and Associated Sites. University of Utah Anthropological Papers 96. Salt Lake City. 142 1970a Worked Bone and Antler. In Median Village and Fremont Culture Regional Variation by John P. Marwitt. University of Utah Anthropological Papers 95. Salt Lake City. 1970b Artifacts of Wood. In Hogup Cave, edited c. Melvin Aikens. University of Utah Anthropological Papers 93. Salt Lake City. Densmore, Frances 1974 How Indians Use Wild Plants for Food. Medicine and Crafts. Dover Publications, Inc.: New York. Emery, Irene 1966 The Primary Structures of Fabrics. The Textile Museum: Washington, D.C. Fowler, Don D., David B. Madsen and Eugene M. Hattori 1973 Prehistory of Southeastern Nevada. Desert Research Institute Publications in the Social Sciences 6. Reno. French, David H. 1971 The Ethnobotany of the Umbelliferae. In The Biology and Chemistry of the Urnbe1liferae, edited by V.H. Heywood. Academic Press: New York. Frison, George c. 1971 ShoshoniAntelope Procurement in the Upper Green River Basin, Wyoming. Plains Anthropologist 16:54 pt. I. Lincoln. Gallagher, Marsha V. 1977 Contemporary Ethnobotany Among the Apache of the Clarkdale, Arizona Area Coconino and Prescott National Forests. USDA Forest Service Archaeological Report 14. Gilmore, Melvin R. 1977 Uses of Plants by the Indians of the Missouri __ River Region. Reprint, University of Nebraska Press: Lincoln. Originally published 1919, Bureau of American Ethnology: Washington, D.C.

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143 John D. Gooding, 19. 80 The Durango South Project: An Archaeological Salvage of TwO Late Basketmaker III Sites in the Durango District. Anthropological Papers of the University of Arizona 34. Goodwin, Greenville 1935 The Social Divisions and Economic Life of the Western Apache. Affierican Anthropologist 36:55-64. Harrell, Lynn L. 1983 A Study of the Bone and Antler Tools from Hog Creek Reservoir, Bosque and Coryell Counties, Texas. M.A. thesis on file, University of Texas, Austin. Harrington, H.D. 1972 Seed Storage and Longevity. III, edited by T. Kozlowski, Academic Press: New York. Seed Biology Volume pp. 145240. 1967 Edible Native Plants of the Rocky Mountains. Albuquerque: University of New Mexico Press. Heizer, Robert F., and M.A. Baumhoff 1961 The Archaeology of Two Sites at Eastgate, Churchhill County; Nevada: I. Wagon Jack Shelter. University of California Anthropological Records 20(4). Berkeley. Heizer, Robert F. _and R. Berger 1970 Radiocarbon Age of the Gypsum Culture. University of California Archaeological Research Facility Contributions 7:13-18. Berkeley. Heizer, Robert F., and C.W. Clewlow, Jr. 1968 Projectile Points from Site NV-CH-15, Churchill County, Nevada . University of California Archaeological Survey Reports 71:59-88. Berkeley. Hellson, John c., and Morgan Gadd 1974 Ethnobotany of the Blackfoot Indians. National Museums of canada: Ottawa. Hester, Thomas R., and Robert F. Heizer 1973 Review and Discussion of Great Basin Projectile Points: Form and Chronology. University of California Archaeological Research Facility: Berkeley. Holmer, Richard N. 1986 Common Projectile Points of the Intermountain West. In Anthropology of the Desert West

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144 Essays in Honor of Jesse D. Jennings, edited by C.J. Condie and D.D. Fowler. pp. 89-115. University of Utah Anthropological Papers 110:89-115. Salt Lake City. 1978 A Mathematical Typology for Archaic Projectile Points of the Eastern Great Basin. Ph.D. dissertation, University of Utah. Salt City. Holmer, Richard N., and Dennis G. Weder 1980 Common Post-Archaic Projectile Points of the Fremont Area. In Fremont Perspectives, edited by David B. Madsen. Antiquities Section Selected Papers 16. Salt Lake City. Hurley, W.M. 1979 Prehistoric Cordage: Identification of Impressions of Pottery. Aldine Publishing Company: Chicago. Hurst, C.T. 1940 Preliminary Work in Tabeguache Cave -1939. Southwestern Lore 6(2):4-18. 1943 Preliminary Work in Tabeguache cave II. Southwestern Lore 9(1) :10-16. 1944 1943 in cave II, Tabeguache Canyon, Montrose County, Colorado. Southwestern Lore 10(1):2-14. 1945 Completion of Excavation of Tabeguache Cave II. Southwestern Lore 11(1) :7-12. 1946 The 1945 Tabeguache Expedition. Southwestern 12(1) :7-16. 1947 Excavation of Dolores Cave -1946. Southwestern 12(1) :8-17. 1948 The Cottonwood Expedition, 1947 -A Cave and a Pueblo Site. Southwestern Lore 14(1) :4-19. Huscher, Harold 1939 Influence of the Drainage Pattern of the Uncompahgre Plateau on the Movements of Primitive Peoples. Southwestern Lore 5(2}. Huscher, Betty, and Harold Huscher 1943 The Hogan Builders of Colorado. Southwestern 9(2):1-92. Janetski, Joel c. 1980 Wood and Reed Artifacts. IN cowboy cave, edited

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by J.D. Jennings. University of Utah Anthropological Papers 104:75-95. Jennings, Jesse D. 145 1957 Danger Cave. American Antiquity 23 (2, pt. 2), Memoir 14. 1980 Cowboy Cave. Papers 104. University of Utah Anthropological Salt Lake City. Keepax, Carole 1977 Contamination of Archaeological Deposits by Seeds of Modern Origin with Particular Reference to the Use of Flotation. Journal of Archaeological Sciences 4:221-229. Kehoe, Thomas F. 1966 The Small Side-notched Point System of the Northern Plains. American Antiquity 31 (6): 827-841. Lambert, Marjorie F., and Richard Ambler 1961 A Survey and Excavation of Caves in Hidalgo County, New Mexico. The School of American Research Monograph 25. Santa Fe. Lindsay, A.J., Jr., J.R. Ambler, M.A. Stein and P.M. Hobler 1968 Survey and Excavations North and East of Navajo Mountain 19 59-19 6 2 ...,B""'u""l..,l..,..e,_,t ... i=n........,o..,f"--'t"""h=e...__.M=u=s"""e=-um=-o=f Northern Arizona 45, Glen Canyon Series 8. Flagstaff. Lister, Robert H., and Herbert W. Dick 1952 Archaeology of the Glade Park Area: A Progress Report. Southwestern Lore 17(4): 69-92. Madsen, Rex E. 1977 Prehistoric Ceramics of the Fremont. Museum of Northern Arizona Ceramic Series 6. Flagstaff. Minnis, 1981 Paul E. Seeds in Archaeological Interpretive Problems. 46(1) :143-152. Sites: Sources and Some Affierican Antiquity 1980 Domesticating Plants and People in the Greater Southwest. Paper presented at the Advanced Seminar on the Origins of Plant Husbandry in North America, School of American Research, Santa Fe. Morris, Earl H. and Robert F. .Burgh 1954 Basketmaker II Sites near Durango,Colorado. Carnegie Institution of Washington 601.

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Nequatewa, Edmund 1943 Some Hopi Recipes for the Preparation of Wild Plant Foods. Plateau 16(1) :18-20. O'Connell, J.P. 146 1967 Elko Eared/Elko Corner Notched Projectile Points -Points as Time Markers in the Great Basin. In University of California Archaeological Survey Reports 70:129-140. Pierson, Lloyd M. 1980 Cultural Resource Summary of the East Central Portion of Moab District. Cultural Resource Series 10. Bureau of Land Management, Salt Lake City. Reed, Alan D. 1984 West Central ColOrado Prehistoric Context: Regional Research Design. State Historical Society of Colorado, Denver. Reed, Alan D., and Ronald E. Kainer 1978 The Tarnaron Site, 5LP 326. Southwestern Lore 44:1-47. Richens, Lane D. 1988 Late Archaic/Early Formative Adaptations in the Eastern Great Basin. Paper given at the 21st Great Basin Conference. Park City. Robbins, W.W., J.P. Harrington, and Barbara Freire-Marreco 1916 Ethnobotany of the Tewa Indians. Bureau of Affierican Ethnology Bulletin 55. Rohn, Arthur H. 1971 Wetherill Mesa Excavations, Mug House. Mesa Verde National Park, Colorado. Schroeder, Albert H. 1964 The cultural Position of caves and Pueblo Sites. 29 (4): 77-79. Linda J. Hurst's Tabeguache Southwestern Lore Scott, 1983 Manual for Sampling. Denver. Pollen, Phytolith and Macrofloral Ms on file, PaleoResearch Laboratory, Shutler, Richard, Jr. 1967 Cultural Chronology in Southern Nevada. In Pleistocene Studies in Southern Nevada, Part 6, edited by H. Marie Wormington and D. Ellis. Nevada State Museum Anthropolgical Papers 13:305-308. Reno.

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Smith, 1974 Anne M Ethnography of the Northern Utes. Papers in Anthropology 1.7. Albuquerque: Museum of New Mexico Press. Stevenson, Matilda Coxe 1915 Ethnobotany of the Zuni Indians. Thirtieth Annual Report of the Bureau of American Ethnology. Government Printing Office: Washington, D.C. Underhill, Ruth 147 1944 Pueblo Crafts. u.s. Department of the Interior, Bureau of Indian Affairs: Washington, D.C. Whiting, Alfred F. 1939 Ethnobotany of the Hopi. Museum of Northern Arizina Bulletin 15. Wilde, James D. 1986 Lithic Analysis. IN Clear Creek Canyon Archaeological Project: Proposals for Data Analysis, edited by Joel c. Janetski and James D. Wilde. Brigham Young University Museum of Peoples and Cultures Technical Series 85-98:48-72. Wilde, James D. and Deborah E. Newman 1989 Early Corn and the Late Archaic in the Eastern Great Basin. Affierican Anthropologist in press. Woodbury, 1932 George and Edna Woodbury The Archaeological Survey of Paradox Valley and Adjacent Country in Western Montrose county, Colorado, 1931. Colorado Magazine 9:2-21. Woodbury, R. and E. Zubrow 1979 Agricultural Beginnings, 2000 BC -AD 500. IN Handbook of North American Indians, Vol. 9: Southwest. W.C. Sturtevant, general editor and A. Ortiz, volume editor, pp. 43 60. Smithsonian Institution, Washington, D.C. Wormington, H. Marie 1955 A Reappraisal of the Fremont culture with a Summary of the Archaeology of the Northern Periphery. Proceedings of the Denver Museum of Natural History 1. Denver. Wormington, H. Marie and Robert H. Lister 1956 Archaeological Investigations on the Uncompahgre Plateau in West Central Colorado. Proceeding of the Denver Museum of Natural History 2. Denver.

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148 Yanovsky, E. 1936 Food Plants of the North American Indians. Department of Agriculture Miscellaneous Publication 237:1-83.

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APPENDIX A ARTIFACT CATALOG

PAGE 162

150 FS # FIELD # PRESENT AREA LEVEL MUSEUM. CATALOG DESC LUSTER 8572.01-.05 LBO A 3 Yucca Quids 8577.01-.03 L86 A 4 Yucca Quid 8578.01-.02 L122 B 4 Yucca Quid 8579.01-.02 L191 c 3 Yucca Quid 8580.01-.07 L229,L248 E 1 Yucca Quid 8581.01-.02 L259 F 1 Yucca QLiid 8582.01-.02 L268 F 2 Yucca Quid 8605.01-.02 L70 A 3 Reed Sect. 8608.01-.03 L60, L58 A 2 Arw Sft Frag 8617.01-.02 L174 c 2 Worked Sticks 8619.01-.02 L203 c 3 Stick Frag. 8620.01-.02 L226 E 1 Bark-wrap Stick 8625.01-.05 L285 F 4 Potsherds 8626.01-.19 L286 F 4 Fur Cord 8628.01-.05 L289 F 4 Yucca Cord 8629.01-.03 L290 F 5 Sinew Cord 8631.01-.02 L294 F 5 Leather 8632.01-.16 L295 F 4 Uti 1 Flake 8634.01-.03 L298 F 5 Uti 1 Flake 8635.01-.03 L299 F C' -' Bifacial if e 8637.01-.02 L301 F 5 Rubbing Stones 8638.01-.04 L302 NO F 5 Animal Teeth 8641.01-.02 L305 F 5 Acorn Shell 8642.01-.03 L309 F 5 Yucca Cord 8644.01-.03 L2 SUF:F Fur g( Yucca Cordage 8648.01-.12 L10 A 1 Utilized Flakes 8653.01-.07 L17 NO A 1 Animal Bone Frag 8655.01-.07 L20 A 1 Cordage 8657.01-.02 L9 A 1 Con ve::Base Knife 8658.01-.02 L26 A 2 Flake 8660.01-.09 L29 A 2 Ycca Cord 8663.01-.03 L35 B 1 Ut. Flake 8673.01-.03 L49 B 2 Flake Knife 8674.01-.02 L47 B 2 Bifacial Knife 8679.01-.03 L54 A 2 Flake Scraper 8693.01-.02 L77 A 3 Ut Flake 8695.01-.02 L79 A 3 Yucca Knot L85 A 3 Ut Flake 8700.01-.03 L92 A 4 Ut Flake 8707.01-.13 L98 B 3 Ut Flake 8712.01-.05 L105 B 3 Ceramic Sherd 8716.01-.02 L108 B 4 Ut Flake 8724.01-.08 L123 1 NO B 5 Ceramic Sherd 8725.01-.02 L127 B 5 Proj Point 8729.01-.02 L133 NO c 1 Faunal Teeth 8734.01-.04 L148 NO c 2 Faunal Teeth 8737.01-.02 L152 c 2 Ut Flake 8742.01-.02 L162 c 2 Chopping Tool

PAGE 163

151 FS # FIELD # PRESENT AREA LEVEL MUSEUM CATALOG DESC LUSTER 8743.01-.03 L163 c 2 Ut Flake 8744.02-.03 L165 NO c 2 Animal Teeth 8746.01-.03 L167 c 2 YLlCCa Cord 8752.01-.02 L124 B 5 YLlcca Knot 8755.01-.02 L178 c 3 Bone Bead 8758.01-.05 L182 c 3 Ut Flake 8770.01-.06 L201 c 3 YLlCCa Cord 8772.01-.04 L206 c 4 Ut Flake 8773.01-.03 L207 NO c 4 FaLtna 1 Teeth 8779.01-.04 L216 NO [I 1 FaLmal Teeth 8784.01-.02 L225 E 1 Cord 8785.01-.02 L228 E 1 FL!r Cord 8790.01-.02 L237 E 1 Pl no-cnv: : Scraper 8793.01-.03 L240 E 1 Bifacial Knife 8795.01-.02 L242 NO E 1 Deer Dew Claws 8796.01-.03 L243 NO E 1 FaLtnal Teeth 8801.01-.02 L250 E 1 FLtr Cord 8803.01-.02 L253 NO F 1 FaLmal Teeth 8804.01-.02 L254 F 1 Bifac ial Knife Frag 8805.01-.05 L255 F 1 Ut Flake 8807.01-.05 L260 F 1 YLlcca Cord 8810.01-.04 L263 F 2 YLlcCa Fiber 8818.01-.17 L273 F 3 Ut Flake 8822.01-.04 L277 F 3 FLlr Cord 8824.01-.02 L281 F 3 YLlCCa Cord 8828.01-.03 L312 SURF Ut Flake 8831.01-.02 L13? A 1 Charcoal 8832.01-.06 L114 B 3 Charcoal 8573.01 L215 [I 1 YLlcca OLlid 8574.61 L157 c 1 YLICCa QLlid 8575.01 L291 F 4 YLlCCa QLiid 8576.01 L125 B 5 YLICC. a QLiid 8583.01 L44 B 2 3 Corn Kernels 8584 L69,L82 A 3 6 Corn Kernels 8585 L88 A 4 2 Corn Kernels 8586 L126 B 5 3 Corn Kernels 8587 L146 c 2 6 Corn Kernels 8588 L156 c 1 1 Corn Kernel 8589 L175 c 2 2 Corn Kernels 8590 L224 E 1 9 Corn Kernels 8591 L257 F 1 3 Corn Kernels 8592 L265 F 2 5 Corn Kernels 8593 L283 F 3 7 Corn s 8594 L292 F 4 3 Corn Kernels 8595 L306 F 5 2 Corn Kernels 8596.01 L18 A 1 Corn Cob Frag 8597.01 L44 B 2 JLiniper Seed 8598.01 L18 A 1 JLtniper Seed

PAGE 164

152 FS # FIELD # PRESENT AREA LEVEL MUSEUM CATALOG DESC LUSTER 8598.02 ?? Seed 8599.01 L113 B 4 Juniper Seed 8600.01 L280 F 3 Seed Pod 8601.01 L307 F C" -' Yucca Seed 8602.02 L175 c 2 Reed 8603.01 L23 A 1 Reed Sect. 8604.01 L59 A 2 Reed Frag. 8606.01 L198 c 3 Reed Sect. 8607.01 L21 A 1 Arw Sft. Frag. 8609.01 L139 c 2 Arw Sft Frag 8609.02 L144 c 2 Arw Sft Frag 8610.01 L22 A 1 Cut Wood 8611.01 L57 A 2 Cut Wood 8612.01 L81 A 3 CLlt Yucca 8613.01 L83 A 3 CLlt Wood 8614.01 L138 c 2 Twig 8615.01 L140 c 2 Shaped Stick 8616.01 L141 c 2 Cut Stick 8616.02 L145 c 2 Cut Stick 8616.03 L145 c 2 Cut Stick 8618.01 L202 c 3 Crushed Stick 8621.01 L227 E 1 Cut Stick 8622.01 L258 F 1 Worked Wood 8622.02 L258 NO F 1 Worked Wood 8623 .o1 L287 F 4 Cut Wood 8624.01 L308 F 5 CLlt Wood 8627.01 L288 F 4 Limonite 8630.01 L293 F 5 Obs. Flake 8633.01 L296 F 4 Bifac ial Knife 8636.01 L300 F 5 Proj. Point 8639.01 L303 F 5 Antler Tine 8640.01 L304 F C" ._I Bone Awl 8643.01 L1 SURF Proj Point Fragment 8645.01 L3 A 1 Oval Scraper 8646.01 L4 A 1 Conve:: l
PAGE 165

153 FS # FIE:LD # PRESENT AREA LEVEL MUSEUM CATALOG DESC LUSTER 8661.01 L30 B 1 Proj Point 8661 .02 L31 B 1 Proj Point 8661 .03 L32 B 1 Proj Point 8661.04 L33 B 1 Proj Point 8662.01 L34 B 1 Stone l
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154 FS # FIELD # PRESENT AREA LEVEL MUSEUM CATALOG DESC LUSTER 8705.01 L96 B 3 Yucca Cord 8706.01 L97 B 3 Leather Frag 8708.01 L99 B 3 Dr i 11 Point 8709.01 L100 B 3 End Scraper 8710.01 Ll:01 B 3 Proj Point 8710.02 L102 B 3 Proj Point 8710.03 L103 B 3 Proj Point 8710.04 L103 NO B 3 F'roj Point 8710.05 L103 B 3 Proj Point 8711.01 L104 B 3 Bi facial Knife 8713.01 L106 B 4 Proj Point 8713.02 L109 B 4 F'roj Point 8714.01 L107 B 4 Bifac ial t
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155 FS # FIELD # PRESENT AREA LEVEL MUSEUM CATALOG DESC LUSTER 8754.01 L177 c 3 Gaming Piece 8756.01 L179 c 3 Mano 8757.01 L181 c 3 Hammers tone 8759.01 L183 c 3 Dr i 11 8760.01 L184 c 3 Knife Blade Base 8761.01 L185 c 3 Proj Point 8762.01 L186 c 3 Cedar Bark Mat 8763.01 L188 c 3 Basket Frag 8764.01 L189 c 3 Weaving Frag 8765.01 L193 c 3 Bndle Lthr Fbr 8766.01 L194 c 3 Bndle Twstd Cdr Brk 8767.01 L196 c 3 Bundle Fiber 8768.01 L197 c 3 Human Hair Cord 8769.01 L200 c 3 Bndl snw 8( ycca cord 8771.01 L204 c 4 Proj Point 8771.02 L205 c 4 Proj Point 8774.01 L208 c 4 Gaming Piece .8775.01 L209 c 4 Yucca Cord Frag 8776.01 L210 c 4 Acorn 8777.01 L212 [I 1 Proj Point 8777.02 L213 [I 1 F'roj Point 8778.01 L214 [I 1 Stone Flake 8780.01 L218 E 1 Ut Flake 8781.01 L219 E 1 Stone Knife 8781 .02 L220 E 1 Stone if e 8782.01 L221 E 1 Proj Point 8782.02 L222. E 1 Proj Point 8783.01 L223 NO E 1 An Rib w/cut marks 8786.01 L230 E 1 Fur Frag 8787.01 L231 [I 1 Bone Bead Frag 8788.01 L233 E 2 Proj Point 8788.02 L234 E 2 Proj Point 8789.01 L236 E 1 Bifacial Knife 8791.01 L232 E 2 Hammers tone 8792.01 L239 E 1 Hammers tone Frag 8794.01 L241 E 1 Proj Point 8797.01 L244 E 1 Bone Awl 8798.01 L? E 1 Gaming Piece 8799.01 L247 E 1 Yucca Quid 8800.01 L249 E 1 Yucca Cord 8802.01 L252 E 1 Leather Frag 8806.01 L256 F 1 Proj Point 8808.01 L261 F 1 Limonite 8809.01 L262 F 1 Sinew Cord 8811.01 L264 F 2 Basketry Frag 8812.01 L266 F 2 Resin 8813.01 L267 F 2 Yucca Cord 8814.01 L269 F 2 Corn Cob Frag

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156 FS # FIELD # PRESENT AREA LEVEL MUSEUM CATALOG DESC LUSTER 8815.01 L270 F 2 Charcoal Frag 8816.01 L? F 2 BLmdl e Human Hair 8817.01 L272 F 2 Limonite 8819.01 L274 F 3 Bifacial Knife 8820.01 L275 F 3 Proj Point 8821.01 L276 F 3 .Bund 1 e Human Hair 8823.01 L278 F 3 Skin Frag 8825.01 L282 F 3 Leather Thong 8826.01 L297 F 4 Proj Point 8827.01 L311 SURF Mano 8829.01 L313 SURF Hammers tone 8830.01 L315 SURF Ceramic Sh.erd 8833.01 L? F 3 Coprolites ROTH 7930.01-.10 LUSTER 1 NO Al SURF Ceramic Sherds 7932.01-.05 LUSTER SURF Ut. Flakes 7934.01-.04 ROTH SURF Ut. Flakes 7935.01-.05 ABOVE ROTH SPUR SITE Ceramic Sherds 7936.01-.02 ROTH SURF Coiled Basket Frag 7938.01-.09 ROTH SURF Corn Cobs Kernels 7939.01-.03 ROTH 1 NO SURF Fiber Cord 7940.01-.04 ROTH SURF 1-Hand Manos 8897.01-.08 R3 R4 1 NO SURF Yucca Cord 8899.01-.(17 R6 A 1 Ut. Flake 8900.01-.03 R7 A 1 Proj. Point 8901.01-.02 R8 A 1 Blade Fragment 8903.01-.03 RiO A 1 Yucca Cord 8908.01-.06 R16 A 2 Ut. Flake 8909.01-.04 R17 A 2 Bifac ial Knife 8915.01-.02 R28 NO A 2 Bone Fragments 8918.01-.02 R31 SURF Hammers tone 8919.01-.08 R32 SURF Ut. Flake 8922.01-.02 R35 A 3 Ut. Flake 8928.01-.02 R42 B 1 Cord 8933.(11-.02 R48 B 2 Human Teeth 8937.01-.02 R52 NO B 3 Animal Bone Frags 8940.01-.04 R56 c 1 YLICCa Cord 8941.01-.02 R57 c 1 YLtcca Quid 8942.01-.02 R58 c 1 Leather Fragment 7931.01 LUSTER SURF Bone Gaming Piece 7933.01 ROTH SURF F'roj. Point 7937.1 ROTH Corn Cob 7941.1 ROTH NO SURF Metate, Basin-type 8896.01 R2 SURF Ut. Flake 8898.01 R5 SURF Wooden Plaque 8902.01 R9 A 1 Dr i 11 Tip

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157 FS # FIELD # PRESENT AREA LEVEL MUSEUM CATALOG DESC ROTH 8904.01 R11 A 1 Yucca Leaf Bundle 8905.01 R12 A 1 13 Corn Kernels 8906.01 R14 A 1 Bone Awl 8907.01 R15 NO A 1 Faunal Tooth 8910.01 R18 A 2 Proj. Point 8910.02 R19 A 2 Proj. Point 8910.03 R20 A 2 F'roj. Point 8910.04 R21 A 2 Proj. Point 8910.05 R21 A 2 F'roj Point 8911.01 R23 A 2 Feces 8912.01 R24 A 2 Resin 8913.01 R25 A 2 Yucca QLiid 8914.01 R26 A 2 Yucca Leaf Bundle 8916.01 R29 A 2 Hair 8917.01 R30 NO c FLOOR Child Burial 8920.01 R33 A 3 Proj. Point 8921.01 R34 A 3 Bifacial Knife 8923.01 R37 A 3 Bone Awl Fragment 8924.01 R38 B 1 Hammerstone 8925.01 R39 B 1 Mano Fragment 8926.01 R40 B 1 Bifac ial Knife 8927.01 R41 B 1 End Scraper 8929.01 R43 B 1 5 Corn Kernels 8930.01 R44 B 1 Charcoal 8931.01 R45 B 2 Charcoal 8932.01 R47 B 2 Pinyon NLit 8934.01 R49 B 2 Mano Fragment 8935.01 R50 B 3 Ut. Flake 8936.01 R51 B 3 Proj. Point 8938.01 R53 NO B 3 Tooth 8939.01 R54 B 3 Charcoal 8943.01 R59 c 1 Yucca Cord 8944.01 R60 c 1 Feces 8945.01 R61 c 1 HL1man Mandible Frag 8946.01 R62 c 1 Charcoal 8947.01 R63 c 1 Yucca Seeds 8948.01 R64 NO c 1 Reed Fragment 8949.01 R65 c 16" Charcoal 8950.01 R66 NO c FLOOR Horn Core



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RELIABILITY, VALIDITY, AND UTILITY OF COMPOSITE MEASURES USED IN THE 1981"AND 1985 DENVER AIR QUALITY SURVEYS by Phillip Heywood Smith B.A., University of Colorado, 1985 A thesis submitted to the Faculty of the Graduate School of the University of Colorado in partial fulfillment of the requirements the degree of Master of Arts Department of Sociology

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This thesis for the Master of Arts degree by Phillip Heywood Smith has been approved for the Department of Sociology by Marilyn L. Stember

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Smith, Phillip Heywood (M.A., Sociology) -RELIABILITY, VALIDITY, AND UTILITY OF COMPOSI1E MEASURES USED IN THE 1981 AND 1985 DENVER AIR QUALITY SURVEYS Thesis directed by Professor Karl H. Flaming A review of the literature, including that of environmental concern, emphasizes the need for valid, reliable, and usable measures. This thesis reports useful composite measures developed in the 1981 and 1985 Denver Air Quality studies by Applied Sociological Research Team of the University of Colorado at Denver. These measures are important since they have been tested and have proven reliable through time. This thesis relates these multiple indicators with the environmental literature. It shows the underlying conceptual framework of these studies and its relationship to a measure's reliability and validity. It discusses some of the relevant concerns about measurement and types of reliability and validity. This research examines the predictive validity for the composites, especially the composite for air pollution as a problem which is predominant in the environmental literature and willingness-to-act. Willingness-to-act is the strongest measure and potentially the most promising of the two. A case is made for the utility and potential usefulness of these composites. The measures have high reliability and predictive validity, and are easy to administer. Four recommendations are given with respect to: (1) better means of reporting measures, (2) further research in the environmental concern area, (3) use of the composite willingness-to-act in future research, and (4) better ways of relating methodological techniques. 111

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CONTENTS CHAPTER I. INTRODUCTION......................... ................................................................. 1 II. LITERATURE REVIEW................................................................................ 5 ill. METIIODS...................................................................................................... 21 POPULATION............................................................................................... 22 1981 DATA................................................................................................ 23 1985 DATA........... ........................................... ........................................ 24 SAMPLING FRAME........................................... ........................ ............... 23 1981 SAMPLE........................................................................................... 23 1985 SAMPLE.......................................................................................... 24 INSTRUMENTATION.................................................................................. 25 1981.......................................................................................................... 25 1985.......................................................................................................... 25 METHOD...................................................................................................... 26 RELIABILITY OF COMPOSITE FORMATION........................................ 27 UTILITY: EASE OF ADMINISTRATION AND MEASUREMENT........ 28 IV. COMPOSITES FOR 1981 AND 1985.......................................................... 31 V. UTILITY OF MEASURES AND MEASUREMENT.................................. 43 AIR POLLUTION AS A PROBLEM.......................................................... 43 WILLINESSTO-ACT COMPOSITE.......................................................... 52 PREDICTIVE VALIDITY............ ....................... ...................................... 56 VI. SUMMARY, DISCUSSION, AND RECOMENDATIONS........ ............... 61 BIBLIOGRAPHY.......... ...................................................................................... 74 APPENDIX A. 1986 DENVER AIR QUALITY SURVEY INSTRUMENT...................... 84 B. 1986 DENVER AIR QUALITY SURVEY INSTRUMENT...................... 95

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v TABLES Table 1. THEORETICAL COMPONENTS, COMPOSITES, QUESTIONNAIRE ITEMS FOR 1981 AND 1985........................................................................... 32 2. ALPHA RELIABILITY COEFFICIENTS AND CFRM OMEGA COEFFICIENTS FOR THE 1981 AND 1985 DENVER AIR QUALITY COMPOSITES......... 38 3.1 1985 DENVER AIR STUDY: AIRPROB COMPOSITE CORRELATES WITH BACKGROUND VARIABLES....................................................................... 44 3.2 1985 DENVER AIR STUDY: AIRPROB CORRELATES WITH THE VALUE COMPOSITES........................................................................... 46 3.3 1985 DENVER AIR STUDY: AIRPROB CORRELATES WITH THE COGNITIVE COMPOSITES.................................................................. 47 3.4 1985 DENVER AIR STUDY: SOCIO-DEMOGRAPIDC CORRELATES WITH THE AFFECTIVE COMPOSITES................................................................. 49 4.1 1985 DENVER AIR STUDY: WILLACT CORRELATES WITH THE EXOGENOUS VARIABLES................................................................. 53 4.2 1985 DENVER AIR STUDY: WILLACT CORRELATES WITH THE VALUE COMPOSITES......................................................................... 53 4.3 1985 DENVER AIR STUDY: WILLACT CORRELATES WITH THE COGNITIVE COMPONENT................................................................ 54 4.4 1985 DENVER AIR STUDY: WILLACT CORRELATES WITH THE AFFECTIVE COMPOSITES................................................................. 55 5.1 1985 DENVER AIR STUDY: AIRPROB AND WILLACT CORRELATES WITH AIR POLLUTION CONTROL STRATEGIES.................................. 57 5.2 1985 DENVER AIR STUDY: CAMP ART VARIABLE CORRELATES WITH COMPOSITES AIRPROB AND WILLACT..................................... 59

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CHAPTER I INTRODUCTION A review of the sociological literature points to the need for usable, reliable and valid measures to further the accumulation of scientific knowledge. There is also a call for proper measurement methods within the "environmental concern" literature (Van Liere and Dunlap, 1981:669). This thesis research adresses the gap in the environmental literature and reports the results of research conducted in the Denver Metropolitan area (Flaming et al. 1977; Flaming and Stember, 1982; Flaming et al, 1986) in which multiple indicator measures having to do with environmental concerns were developed. This study reports how reliable and valid measures were constructed and provides an assessment of the utility of these measures. An important part of this effort is to develop a format within which to report the results of the construction and testing of measures. This effort is patterned after that proposed by Miller (1983) in which he provides: a description of the measure, its previous uses as reported in the literature, and additional information, as available, concerning reliability, validity, and utility. Miller (1983) suggests three criteria or guidelines for developing and assessing measurement scales. First, does it measure the theoretical dimension it is supposed to tap? In other words, is it a valid measure? Second, is it reliable? Third, is it usable in terms of its precision, simplicity, ease of measurement, and its relationship to the variable of interest?

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2 Miller (1983) then discusses the utility of good measures. Miller assembled an inventory of measurement scales used for research with high degrees of reliability and validity. The main purpose of this inventory is to provide researchers with good measures selected on the criteria of validity, reliability, and utility, in this order of importance. This inventory facilitates scale comparison and the accumulation of research by the use of good measures. Miller writes: .. the researcher seeks is the scale that best fits his problem, has the highest reliability and validity, is precise, and is relatively easy to apply" (1983:273). This paper will expand upon Miller's approach in four ways. It assesses the composite measures of the Denver studies in terms of their (1) usability (i.e., precision, simplicity, and ease of measurement); (2) reliability; and (3) validity. In addition, this research also looks at the limitations involved in using these techniques in the development of composite measures in the Denver Research. Measurement is critical to the advancement of social research. Measurement provides a crucial and necessary bridge between research and theory. Blalock (1979:881, 883) states: One particularly disappointing feature of our discipline is that we have not had the productive interplay between theory and research called for so eloquently by Merton (1968) several decades ago .... We have recently made considerable progress with respect to data collection, and in particular our ability to observe, categorize, and measure behaviors .... Phillips notes the need to be able to move conceptually from the empirical to the theoretical, in other words, "from abstract concepts to operational definitions of those concepts" (1985:109). Measurement 1s necessary to test theoretical concepts and link them to social reality.

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3 Phillips writes: "Without adequate measurement, the interplay between theory and research, which Merton called for and Blalock sees as failing to take place, remains limited" (1985:109). This concern is also stated by Miller (1983), who laments the time and money wasted in constructing new scales every time research is done. In addition, Miller argues that this failure to reproduce measures "makes replication and accumulation 9f research difficult if not impossible" (1983:271). In most social science research very few measurement scales are replicated. Phillips mentions a review of four journals over twelve years by Bonjean et al (1967) which notes the lack of repeatability in designs. For example, out of 3,609 studies, only 47 used the same scale more than five times (Phillips, 1985:109). Very few studies assess the reliability and validity of the measures used. Bohmstedt and Borgatta (1981) write: While textbooks in methodology have long argued for the assessment of validity, until recently it has been rare to see any data on reliability and validity reported in research papers, and even more rare for these reports to reflect sophisticated procedures (1981:9). Bohmstedt and Borgatta (1981) illustrate this point by suggesting a cursory examination of Robinson and Shaver's Measures of Social Psychological Attitudes (1973) as an example of the lack of reporting of reliability and validity. Similarly, a general review of the environmental literature points out the need for reliable and valid measures to further the accumulation of knowledge on this topic. One area of research this paper will review is the literature focusing on environmental concern, especially those studies related to air quality research. Van Liere and Dunlap (1980) review twenty-one

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4 studies of public concern about environmental quality. Most of the studies are limited only to reports of positive or negative correlations between selected environmental concerns and demographic variables (Van Liere and Dunlap, 1980). Virtually none of the studies in the environmental concern literature has addressed this measurement issue. Measurements in most of the studies lack a theoretical grounding, or lack the use of sophisticated statistical techniques, or both. Few if any report measures of reliability or validity. There are two known exceptions to this observation. The first is the study by VanLiere and Dunlap (1981) which examines the consistency among environmental measures and the consistency between environmental measures and socio demographic measures. The other exception is the research by Flaming and Stember (1982 and 1986). This research developed a structural equation model which linked socio-demographic measures to the social psychological factors of value (importance), cognition (thinking), affect (feeling), and conation (volition). For each of the above classes of variables, two or more multivariate constructs were developed by means of a canonical-factor regression technique described by Allen (1974), a technique which also provides statistical measures of reliability and validity. Thus this paper articulates the need for better measures m general, as well as in the more specific area of environmental research. Secondly, it reports in detail the techniques used by the Denver researchers in the development of usable, reliable and valid measures for each of the four above socio-psychological factors. Finally, selected bivariate correlates are examined as one type of assessment of their potential utility for further research, particularly with respect to their socio-demographic correlates and with respect to their "predictive validity".

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CHAPTER II LITERATURE REVIEW Introduction In a review of the air quality literature, there is a consensus on the lack of theory in that research which addresses public attitudes on arr quality and on the need to interpret and understand this diverse literature on public concern for air pollution. (See Cutter, 1981; Evans and Jacobs, 1981; Flaming et al., 1986; VanLiere and Dunlap, 1980). Cutter writes: Previous research has failed to develop an adequate theoretical approach to attitudes or apply attitude theory in actual community or individual attitudes. Conflicting conclusions are found in the literature regarding the relationship between attitudes toward pollution and ... social characteristics .... there have been no consistent finds relating social characteristic to pollution attitudes (1981:106; see also, DeGroot et al., 1966; Jacobs, 1972; Smith et al., 1964). The research in Denver (Flaming et al., 1977; Flaming et al., 1986; Flaming and Stember, 1982; Stember and Flaming, 1980; and Stember and Flaming, 1981) responds to the needs specified by Cutter (1981) for large metropolitan studies of air pollution attitudes in relationship with social demographic characteristics of the respondents. In previous studies, small biased surveys of populations were done with little conceptualization involved (Cutter, 1981). Van Liere and Dunlap also comment on the "considerable dissensus" between the evidence of public concern for air pollution and interpretation of its variation (1980:182). Van Liere and Dunlap make two

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suggestions for further research in this area: 6 (1) "to focus attention on separate environmental issues and policies" --such as water and arr pollution-since these may be tapping several dimensions of environmental concern by the use of diverse measures, and (2) to analyze the "trade-offs between environmental quality and other widely valued ends", that is, of air pollution costs (1980:193-94). The model used in the Denver research looks at most of the relevant social characteristics of environmental concern suggested by Van Liere and Dunlap (1980). These are included in the model as background characteristics, both acquired and achieved. These characteristics, suggested by Van Liere and Dunlap in a review of the literature, are the social and demographic variables such as sex, income, education, occupational prestige, residence, political party, and political ideology" (1980:182). Evans and Jacobs (1981) also suggest that research should focus on a wide range of variables, such as, age, sex, socioeconomic status (SES), education, race; and culture. While most background variables are included in the Denver research, it is the multivariate constructs of value, cognition, affect, and conation which will be the subject of this paper. Scores first were developed from 1977 data, and then subsequently tested and refmed in the 1981 and 1985 surveys. Conceptual Framework The conceptual framework of the Denver study is consistent with Cutter (1980), Evans and Jacobs (1981), and Van Liere and Dunlap (1981). Each of the above authors suggest that further research should: (1) provide links between socio-demographic variables and attitudes toward the environment, and (2) integrate social psychological models with environmental concern research.

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7 Between socio-demographic background variables and reported overt behavior is a complex array of values, attitudes, and intentions. This array represents a general proposition that "an individual's background predicts values and that these in turn predict knowledge, feelings, and ultimately social acts" (1986:4). The model assumes a temporal linearity of the tripartite model which fits the vertical relationship described by Schlegel and DiTecco (1982). This is graphically portrayed in the General Predictor Model of Social Action (GPMSA) (See Figure 1. Adapted from Flaming et al., 1986). Background--> Values--> Knowledge--> Feelings--> Social Acts Figure 1. This h ypothesized causal model (GPMSA) has an underlying theoretical perspective: people behave as they perceive and structure reality. As was suggested recently in an article by Flaming and Griffith (1984:110): People behave in terms of their perception of reality. In other words, the actions of individuals involve a complex interplay of values, affect, perceptions, and these, in turn, are reflective of the individual's social characteristics (e.g., age, sex, and social status). The components of the model provide a legitimate rationale for identifying predictor variables which have to do with concerns about air quality in the Denver area. Consistent with the above, a structural equation model was developed by the Denver researchers (Flaming et al., 1986). This model was based upon previous air quality studies by the Flaming/Stember group between 1977 and

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8 1982. It is composed of three parts: 1) the background variables, 2) the endogenous variables, and 3) the independent variable. The background variables are the general socio-demographic variables--both ascribed and achieved status characteristics of gender, age, race, income, and education. The specification of socio-psychological variables included values (See Rokeach, 1973) and the tripartite model of attitudes (Cf. Breckler, 1984; Hilgard, 1980; Insko and Schopler, 1967; Kothandapairi, 1971; Ostrom, 1969), which include the components of affect, cognition, and conation. These are defined below: 1) value reflecting the foundational belief system of a person (Rokeach, 1980) which conditions the way a 'definition of a situation' is interpreted (Feather, 1975); 2) the affective components of attitudes which reflect the psychological affect responses to a situation, i.e. feeling (Breckler, 1984); 3) the cognitive components of attitudes which reflect the conscious processes of thinking (See Romans' "rationality principle" in Turner, 1985); 4) the conative components of attitudes associated with "volition", or willingness-to-act, i.e., behavioral intentions (Fishbein, 1967). In the 1981 survey, the dependent variables were questions measuring the degree of public support for a variety of air quality control strategies. The 1986 survey included questions measuring these variables, and in addition included a self-reported measure of actual participation in the 1985 Better Air Campaign of Denver, Colorado. Reliability and Validity of Measures The basic measurement problem faced by researchers is two-fold: First, it is necessary to develop adequately and to apply the ideas of

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9 reliability and validity. Second, it is necessary to determine which of all possible types of reliability and validity are the most relevant in a particular research enterprise Carmines and Zeller view measurement as a "process of linking abstract concepts to empirical indicants" ( 1979: 1 0). Blalock notes: Sociological theorists often use concepts that are formulated at rather high levels of abstraction .... The problem of bridging the gap between theory and research is then seen as one of measurement error [1968:6;12] (Carmines and Zeller, 1979:10). Measurement links the "unobserved" theoretical concept with the empirical "observable" response (Carmine and Zeller, 1979:10). Therefore measurement must be empirically and theoretically grounded. Kaplan writes that the measurement of something depends upon ... how we have conceptualized it, on our knowledge of it, above all on the the skill and ingenuity which we can bring to bear on the process of measurement which our inquiry can put to use ( 1964:17 6). Finally, Hoover states: In dealing with something as slippery as the measurement of social phenomena, whatever is learned in the development and use of measures needs to be shared ... The experience gained in actually using it. .. can save someone else a lot of work (1984:64). Measurement is a very difficult and complex phenomenon. Measurement is concerned with the central relationship between the empirical indicator and the concept (Carmines and Zeller, 1979), the observed and the unobserved. The stronger this relationship, the stronger the scientific inferences that can be made. How does one know the extent in which an empirical indicator links with the theoretical realm? How does one make certain it measures what it is supposed to measure? The extent to which the empirical indicator does Q.Ot link with the theoretical realm is considered to be measurement error (Carmines and Zeller,

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10 1979). There are two types of measurement error, random and non-random. A common illustration used for measurement error is that of a rifle and a target. The reliability of the rifle is determined by its accuracy in hitting the target's bull's-eye. Error is of two types. If the hits are scattered, then the error is random. If the hits are off the mark but in a systematic way, then the error is non-random The degree to which the bullets cluster near the center, is an indication of its reliability. Reliability refers to how repeatable and consistent a measure is. Does it measure the same thing over time in the same way? There are two commonly used strategies for evaluating a measure's reliability (Zeller and Carmines, 1980). These are stability and equivalence. One can repeat a measure for the same population at different times and see if the is any difference between measurement points (stability). This stability is the basis for what is commonly called test-retest correlation. This estimate is the degree of difference between two measures across time. Perfect similarity would result in a correlation of 1.0. Carmines and Zeller (1979) give two problems with the test-retest method. These may effect changes in the retest score, resulting in instability of the measure. First, low test-retest reliability may be present due to a change in the "underlying theoretical concept" instead of being due to the reliability of the test itself (Carmines and Zeller, 1979:39). Therefore the measure may appear to be weak, making interpretation difficult. Second, low reliability scores may also be due to reactivity. This means that in the very process of taking the second measurement, change can be induced in the score, resulting in the appearance of measurement error when, in fact, it is due to external reasons. (Because of these problems and for other reasons,

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11 many have abandoned stability for equivalence, which is more straightforward [Zeller and Carmines, 1980]). On reliability as stability Carmines and Zeller write: ... reliability concerns the extent to which an experiment, test, or any measuring procedure yields the same results in repeated trials .... This tendency toward consistency found in repeated measurements of the same phenomenon is referred to as reliability. The more consistent the results given by repeated measurements, the higher the reliability of the measuring procedure; conversely the less consistent the results the lower the reliability (1979:11-12). Reliability is the degree to which something is consistently measured. Does the measure represent the abstract theoretical concept reliably? Equivalence refers to multiple indicators of a concept measured at one point in time (Zeller and Carmines, 1980). Each item of the measure is assumed to be equivalent to an underlying concept. There are various methods or techniques used for estimating multiple indicator reliability. Later in this chapter, there will be discussion of reliability techniques of equivalence for Chronbach's alpha (Chronbach, 1955), Heise and Bohmstedt's omega (Heise and Bohmstedt, 1970), and Allen's CFRM omega (Allen, 1974). Also, multiple indicators have utility over single item indicators, since it is "impossible" to establish a reliability estimate for a single indicator (Zeller and Carmines, 1980:48). Validity is a difficult question, probably most perplexing when indirect measurement is involved. Carmines and Zeller write of the connections of reliability to the empirical realm and of the connections of validity to the theoretical realm: ... reliability focuses on a particular property of empirical indicators --the extent to which they provide consistent results across repeated measurements--validity concerns the crucial relationship between concept and indicator. This is another way of saying that there are almost always theoretical claims being made when one assesses validity of social science measures (1979:12).

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12 Carmine and Zeller (1979) discuss three basic types of validity they consider prominent. These are: content validity, criterion-related validity, and construct validity. Content validity refers to the degree an empirical indicator reflects a "specific domain of content" (Carmines and Zeller, 1979:20). The researcher must determine the content by examining the literature on a given conceptual domain in order to grasp all the dimensions involved and construct indicators which reflect this content. The main difficulty with content validity is the lack of consensus upon conceptual items for a particular domain and the establishment of any criteria for judging content validity; it ultimately depends upon "appeals to reason" (Carmines and Zeller, 1979:22). Therefore, this type of validity is limited in its usefulness in assessing validity. Content validity is useful when developing a new measure along all its dimensions and subdimensions (Zeller and Carinines, 1979). Since no criteria exist on the number of items, one can overspecify the number of items and throw out the ones that are inadequate. Criterion-related validity refers to how well a measure estimates the criteria external to the instrument used. One assesses the criterion-related validity of a measure by how well it is able to predict a phenomenon or behavior. This is usually shown by the "degree of correspondence" between an indicator and some criteria, estimated by the size of the correlation between them (Carmine and Zeller, 1979). Therefore the greater the correlation, the greater the criterion (predictive) validity. Criterion validity is the fit between the measuring instrument and some external criteria for behavior or observable responses. Phillips defines criterion validity as "the degree to which an operational definition categorizes phenomena in the same way as a

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13 well accepted (or criterion) measurement does" (1985:117). Predictive validity refers to the measure's ability to "identify future differences" (Kidder and Judd, 1968:55). This has limited utility for science, since there is no standard to evaluate a measure's validity (ie., what is it linked with?); nonetheless it is straightforward and may have a pragmatic utility where prediction and description of relationships might be useful. Construct validity refers to the degree a "particular measure relates to other measures consistent with theoretically derived hypotheses concerning the concepts (constructs) that are being measured" (Carmines and Zeller, 1979:23). Construct validity is dependent upon the theoretical development to which the measure is associated. The greater the extent of theoretical development, the more exact construct validity must be (Carmines and Zeller, 1979). Until the environmental concern research becomes theoretically based, the question of construct validity is premature and difficult to assess. Carmine and Zeller give three distinct steps involved in construct validation (1979). These are: 1) specification of the theoretical relation ship between the concepts themselves; 2) examination of the empirical relationship between the measures of the concept; and 3) clarification of construct validity by interpretation of empirical evidence of a measure. Therefore, each of these must be performed when considering the validity of a theoretical concept. They write that it is "impossible to 'validate' a measure of a concept in this sense unless there exists a theoretical network that surrounds the concept" (1979:23). Construct validity ideally needs "a pattern of consistent findings" by various researchers using other "theoretical structures" in diverse studies (Carmine and Zeller, 1979:24). Phillips defines construct validity as "the degree to which an operational

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14 definition of a variable produces the same relationships between that variable and others which would be predicted by existing theory" (1985:119, italics in text).1 Validity is the more important of the measurement concerns when considering both reliability and validity. A measure may be reliable but always wrong. In other words, it may not measure the dimension applied by the particular theoretical construct. A valid measure provides an "accurate representation" of the theoretical concept involved (Carmines and Zeller, 1979:12). Reliability estimates are useful for specifing the amount of random error present in empirical research and for correcting correlation coefficients for unreliability due to random error (Zeller and Carmines, 1980:76). This correction for attenuation can be used for estimating the value for the "theoretical correlation" between variables--that is, as if there were perfect reliability for both variables (Zeller and Carmines, 1980:64). For example, in further research using these composites, correction for attenuation may be used to adjust the correlations between composites specified in path analysis. Validity is useful when examining a theoretic domain. The main difficulty is separating systematic (non-random) error from validity. 1Using Phillips (1985) definition for construct validity a limited case might be made for construct validity of the Denver air studies. Most composite measures appear to be "stable" over three time periods and including another region, Salt Lake City. Therefore these measures have been "tested" under various conditions --an important condition for construct validity. Also, the inter-relationships specified by the GPSA model allow for examination of the empirical relationships between the measures and the concepts. Finally, the Allen (1974) CFRM technique provides both discriminant and convergent validity.

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15 External evidence is needed for establishing construct validity for a measure (Zeller and Carmines, 1980:83). The composite measures used in this study are assessed for reliability and validity. The type of reliability estimate used is based upon equivalence of the multiple indicators constructed. The techniques involved in this study estimated internal consistency by the use of procedures designed to provide a unique estimate of reliability using "all the variance and covariance information of the items" (Zeller and Carmines, 1980:56). Below is a discussion of these type of techniques. Cronbach 's Alpha One of the most widely used reliability tests of equivalence is Cronbach's alpha (Cronbach, 1955). It was designed for true score type scales of psychological tests that are administered once. (Zeller and Carmines, 1980:7) assumes the basic formula: X=T+e Classic test theory (1) where the observed score, X, equals the true score T, plus measurement error, e. Cronbach's method provides an estimate of a test's reliability (true score) based upon a measure's internal consistency. Cronbach's alpha equation is expressed as follows (Carmines and Zeller, 1979:44): a = N/(N-1)[1-Lcr(Y.)/cr] 1 X (2) where N is the number of items, Lcr(Y.) is the sum of the item variances, and 1 cr is the variance ofthe total composite. As the average inter-item X

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16 correlation and the number of items increases, the value of alpha increases from a range from .0 to 1.0, with 1.0 being the greater reliability (Carmines and Zeller, 1979:45). An implication of this is that reliability is dependent on the number of items, N, in the composite--thus underestimating a composite with a few items or inflating a measure's validity by adding items. Novick and Lewis (1967) have shown that the alpha reliability is "lower bound" to the reliability of an unweighted scale (Carmines and Zeller, 1979:45). It is therefore a ... conservative estimate of a measures' reliability" (Carmines and Zeller, 1979:45). A common indirect technique for estimating validity in classic test theory (true score) involves taking the square root of reliability (Lord and Novick, 1968; Nunnally, 1978). This validity coefficient is an upper bound estimate for correlations between measures, and may be lower (Cleary et al., 1970; Zeller and Carmines, 1980). Only when the measures are parallel does the validity equal its reliability (Zeller and Carmines,1980). Heise and Bohrnstedt (1970) warn that this validity coefficient for a composite may be substantially less if the composite's variance is due to several underlying factors. It is possible to increase a measure's reliability by adding items which do not belong to the theoretical dimension, thus making the measure invalid (Heise and Bohrnstedt, 1970). This is a major problem when using true scores as composites, since the type of error, whether random or systematic error, remains unknown. Heise and Bohrnstedt's Omega An alternative estimate of reliability is the omega coefficient of Heise and Bohrnstedt (1970). The omega coefficient is based upon the first

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17 common factor, where unity estimates are used along the main diagonal of the correlation matrix. Omega is expressed as .Q = 1-(Ea2. :Ea2.h2.)/(E:Ea .. ) 1 1 1 XIXJ (3) where .Q is omega, a2. is the variance of the ith item, h2 is the communality 1 1 of the ith item, and :E:Ea . is the sum of the covariances among the items. XIXJ Omega is based upon estimated communalities, which give a certain indeterminacy in its calculation. Omega provides an estimate of reliability of all the common factors in a given measurement scale (Carmine and Zeller, 1979:62). When items which make up a measurement scale are parallel measurements, alpha and omega will be equal to each other; if they are not parallel, omega provides the closest estimate of a scale's true reliability (Carmines and Zeller, 1979). Allen's CFRM Omega In the 1981 and 1985 Denver studies, Allen's statistical technique for calculating the omega coefficient was performed using a canonical-factorregression method (CFRM) (Allen, 1974). Allen's (1974) technique for calculating the omega CFRM is found by the following equation: (4) where .QCFRM is the Omega CFRM coefficient, wi is the linear weight for the observed variable i, f. is the factor loading between i and the first 1

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18 common factor, u2 is the uniqueness of variable i, and the summation is over 1 the i observed variables in the composite. This technique has the advantage of maximizing reliability and validity of the composite measure (Allen, 1974). This reliability technique is affected to some degree by the number of items and the factor loading on the first common factor (Allen, 1974); thus high loadings on the first common factor with a small number of items are more reliable than a composite with low loading on the first common factor and greater number of items. Allen notes: In general, composite measures comprised of a relatively small number of variables with high loadings on the first common factor are more reliable than composite measures comprised of a relatively greater number of variables with low loadings on the first common factor (1974 : 63). Therefore the advantage of using CFRM omega is lost, when a large number of items are used to create a composite. The validity coefficient is the correlation between the composite and the unobserved first common factor (Allen, 1974). The validity coefficient for a composite weighted by canonical-factor-regression, PcFRM is calculated by taking the square root of Q CFRM' that is PcFRM = Therefore, of the reliability and validity techniques discussed, Allen's (1974) technique has certain advantages over the other's in generating composites. These are: maximizing reliability and validity, using only one common factor for the composite, and the ability to use a small number of items for a scale. (5)

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19 What is an adequate level for the reliability of a measure? Carmines and Zeller discuss the minimum level of coefficient alpha for widely used scales: As a general rule we believe that reliabilities should not be below .80 for widely used scales. At that level, correlations are attenuated very little by random measurement error. At the same time it is often too costly in terms of time and money to try to obtain a higher reliability coefficient. But the most important thing to remember is to report the reliability of the scale and how it was calculated. Then other researchers can determine for themselves whether it is adequate for any particular purpose (1979 : 51). Nunnally (1978) suggests the somewhat lower level of .70 or higher as sufficient for most purposes, such as development of measures. In addition to this discussion of reliability and validity, Greene and Carmines also discuss the need for multiple indicators: It is sometimes desirable to combine several measures of a theoretical variable into a single composite measure. In addition to certain statistical advantages gained thereby (for example, such composites will generally have greater reliability than any of the measures taken singly), such a procedure is sometimes justified theoretically in that indicators may be considered measures of various aspects of a complex phenomenon that one may wish to characterize as a whole (1980:163). Composite measures are better than single item measures in terms of reliability, since it is almost impossible to estimate the measurement error for single items; composite measures are less affected by random error, since stability is increased by sharing a common variance with a underlying factor (Zeller and Carmines, 1980). Multiple indicators provide a better approximation of an underlying factor than any single item is able to. The more the items the better the approximation. Blalock suggests that multiple indicators be used for our "most important variables" (1970: 111).

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20 The Denver Study With Carmines' and Zeller's (1979) criteria in mind, this paper reports the reliability and validity of measures used in the Denver studies, and it discusses how the measures were calculated. The measures reported in this thesis have been developed consistent with the above criteria: (1) multiple indicators; (2) at least an implicit "theoretical" relationship (GPMSA model); (3) empirical criteria as described by Allen (1974); (4) empirical evidence of predictive validity in the form of bivariate relationships between selected variables of interests. Subsequently, for purposes of this thesis alpha coefficients (Cronbach, 1951; Bohrnstedt, 1969) were also calculated for each of the constructs in order to confirm by empirical examination (and inform those researchers wedded to the alpha technique) whether or not the reliability given by the use of this omega technique produced more useful measures than would have resulted if the alpha technique or approaches had been used. One reason for this is that alpha is the one commonly used approach and omega is virtually unknown in the literature.

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CHAPTER ill METHODOLOGY Introduction The Applied Sociological Research Team at the University of Colorado at Denver has conducted survey research on public attitudes concerning air pollution in Denver in order to defme the dimensions of the air pollution problem. In this research, they developed composite measures. This research in Denver (Flaming et al., 1986) provides important composite measures and a conceptual framework called for in the literature by both Evans and Jacobs (1981) and Van Liere and Dunlap (1981). Three Denver studies of air pollution attitudes occurred in January of 1977, 1981, and 1985 over a ten year period. In 1977 the Applied Sociological Research Team of the University of Colorado at Denver conducted personal interviews of Denver metropolitan residents. The Colorado Department of Health funded this project to describe perceptions of air pollution as a problem. In 1981 the Applied Sociological Research Team, sponsored by the EPA, conducted a telephone survey of the Colorado Front Range to identify the degree of support for air pollution control strategies. Path analysis determined respondent characteristics and their degree of support. In 1985 the Applied Sociological Research Team, partially funded by the Colorado Department of Health, administered a second telephone survey of

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22 the Denver metropolitan area using an expanded survey instrument from the 1981 study which included a self-reported measure of participation in the 1985 Denver Better Air Campaign. Composite measures were also constructed for both studies using a technique by Allen (1974) which provided an omega estimate of reliability. This thesis focuses on these composite measures developed during the surveys of 1981 and 1985 concerning attitudes on air quality in the Denver Metropolitan area. The composites' reliability, validity, and utility is the object of this report. 1981 Data The 1981 survey of air quality attitudes was taken from the Rocky Mountain Front Range of Colorado, which consisted of nine counties. The purpose of the survey was to get responses from the Colorado Front Range residents on their perceptions, values and attitudes of air quality and other related issues. There were three major objectives for the survey: (1) to provide a base line of public opinion of how the seriousness the air pollution problem was perceived along the Colorado Front Range; (2) to identify and interpret likely public compliance and support for different air quality improvement strategies; and (3) to determine implications of survey results for local governmental policy makers (Flaming and Stember, 1982). The of the survey was to gather further data on Denver and surrounding counties' air pollution problem.

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23 1985 Data The 1985 Denver metropolitan air quality survey sampled public attitudes on "air pollution and support for strategies to improve air quality" (Flaming et al., 1986:i). The survey was of Denver residents. This was the third in a series of surveys (1977, 1981, 1985) in the Denver Area. The purpose of these surveys was to "obtain a reading of the Denver area residents' perceptions of air quality and of likely adverse affects of air pollution" (Flaming et al., 1986:i). This last survey [1986] also measured participation in the Better Air Campaign. Sampling Frame The sampling frame for the Denver Metropolitan Air Quality Survey for 1981 and 1985 was adult heads of households with telephones in the Denver Metropolitan area. This sampling frame was selected to provide representation of the households for the Denver Metropolitan area. 1981 Sample The 1981 Denver Metropolitan Survey, conducted along the Colorado Front Range, obtained 600 telephone interviews administered in twenty-minute sessions to resident respondents who were selected through a "modified random digit telephone dialing technique" (Flaming and Stember, 1982:iv). This survey was conducted to determine if air pollution was perceived as a growing problem by the residents along the Colorado Front Range, its relation to other serious public concerns, and the likeliness of thier support for clean air

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24 strategies. The telephone interview was conducted by Colorado Market Research, Inc. (Flaming and Stember, 1981:i). 1985 Sample A telephone survey was conducted for the Denver Standard Metropolitan Statistical Area (SMSA) residents, using the same modified random digit dialing technique used previously in the 1981 Colorado Front Range Air Quality Survey. A sample of 401 telephone interview schedules were completed (Flaming et al., 1986). This third survey was to continue research of public attitudes of air quality and also to expand and refine a model developed in the two previous studies (Cf. Flaming et al., 1977; Flaming and Stember, 1982; Stember and Flaming, 1981, 1984). The thirty-minute telephone interview, which was ten minutes longer than the survey in 1981, was conducted by Colorado Market Research Services, Inc. and University of Colorado at Denver Applied Sociological Research Team (Flaming et al., 1986). The sampling design was stratified according to predetermined criteria based upon the current 1980 census of the Denver metropolitan area according to estimates of gender, and county groups according to Denver SMSA; also the sample was stratified according to telephone prefixes (Flaming et al., 1986). The starting point was randomly selected to reduce systematic error A systematic selection process of possible respondents was made by an alphabetical breakdown of names in the telephone directory. This was done for proper representation of the general population given in the 1980 Census of the Denver metropolitan area and the Denver metropolitan telephone book. A sample of 401 respondents was gathered in a two week period. There were only

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25 eight interviews not included because of termination during the interviewing process. Instrumentation 1981 Survey Questionnaire items for the 1980-81 Rocky Mountain Region Survey (Flaming and Stember, 1982) were developed from a review of the literature on socio-demographic characteristics and social psychological characteristics and the results of a 1977 survey of Denver metropolitan residents by Flaming and his colleagues (Flaming et al., 1977; Flaming and Stember, 1982). Items related to clean air strategies were developed, with suggestions of the Colorado Advisory Committee, by review of Colorado State Implementation Plans (Flaming and Stember, 1982). 1985 Survey Questionnaire items for the 1985 Denver Metropolitan Air Quality Survey (Flaming et al., 1986:2) were selected from previous studies in order to develop valid and reliable measures. Other items were developed for the needs of the funding agency, the State of Colorado Department of Health. Items were replicated from previous studies where possible to "obtain the best possible estimates of attitudinal change since 1977" (Flaming et al., 1986:2). The items included in the 1985 questionnaire were developed to meet the pragmatic and theoretical needs of the two previous studies of the air quality of the Denver metropolitan area (See Flaming and Stember, 1978; Flaming and Stember, 1982). These previous questionnaire items were developed by a review

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26 of the literature in the areas of socio-demographic characteristics and social psychology and the previous study in 1977 (Flaming and Stember, 1982). Some items were dropped from the questionnaire for lack of significance or for purposes of theoretical refinement of the structural model. Twenty-five items on proposed air quality legislation and five questions on the RTD bus system were included for the interests of the funding agencies. Copies of the 1981 and 1985 survey instruments are found in Appendices A and B. Method The methods used in this study are based on the methods utilized in the Denver Metropolitan Air Quality Surveys of 1981 and 1985. (Cf. Flaming and Stember, 1982; Stember and 1981; Flaming et al., 1986). The reasons for choosing these studies are three-fold. One, this research fills a previously stated need in the literature (See Cutter; 1981; Evans and Jacobs, 1981; VanLiere and Dunlap, 1980, 1981) by providing measures which explain the social concern for air quality to a greater degree than has previously been reported. It provides useful comparisons with the other studies previously reported by Van Liere and Dunlap (1980; 1981). Two, this study provides information on the validity and reliability of composite measures used in Flaming-Stember studies. Three, this study reports the coefficients of the conative component or the willingness-to-act measure as the strongest measure and predictor of self-reported behavior. This paper focuses on the methodological problems posed by the validity and reliability of the composite measures used in the Flaming-Stember data sets. It compares the two data sets of 1981 and 1985 to examine any

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27 change in the reliability of the measures used. In addition to comparing the omega coefficients (Allen, 1974) of the two studies, the alpha coefficients (Bohrnstedt, 1979; Cronbach, 1951) of the composite measures used in the 1985 Denver Air Quality Survey are given. The direct effects of the beta coefficients of the composite measure "willingness-to-act" for the conative dimension of the tripartite model (Cf. Breckler, 1984; Hilgard, 1980) through the canonical-factor-regression path are also examined. Reliability of Composite Formation Procedures used in the creation of composite measures were as follows. First, principal component factor analysis was used to identify inductively the factors for composite items (Cf. Harman, 1967). This procedure was followed for unidentified dimensions such as responses to items about the degree of familiarity with various aspects of the air pollution problem (e.g., air pollution control strategies) from which a common factor was derived. Second, these factors were combined into multiple indicators using the canonical-factor-regression method (CFRM) of Allen (1974). A set of linear weights were derived by canonical analysis, which is maximally correlated with the first common factor. Factor score coefficients from canonical factor analysis were used as the linear weights.1 The canonical factor technique has 1Flaming's and Stember's studies used a linear weighting scheme using factor score coefficients, similar to Alwin's (1974). The general form of a linear composite (Alwin, 1974) is represented as p Cik.= x .. 1 J lJ J= (6)

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28 the advantage described by Allen (1974) of non-arbitrary solutions to the problem of rotation and the number of possible factors. Another advantage is that reliability estimates are maximized for the composite measure. Those factors used in the Flaming and Stember studies for 1981 and 1985 which were conceptually meaningful were initially derived from items developed in the 1977 Denver study (Flaming and Stember, 1979). Utility: Ease of Administration and Measurement Utility of a measure can be assessed in terms of its ease of administration and its ease of measurement. The survey instrument for the 1985 Denver study had one hundred and fifty-one questions. The average time where C is the composite score, and individual's i's score on the composite k is equal to the sum of the i's weighted score on the set of p observed indicators, X. J A similar technique is based upon Harman (1967) in which a composite was generated from canonical factor analysis (Rao, 1955) in which the linear weighting scheme using factor score coefficients (Harman, 1967; Norusis and Wang, 1983:107) is represented as the formula (7) where W is the factor score coefficient, R1 is the inverse of the correlation matrix, and S is the factor structure matrix. In Nie et al. (1975), m a composite is n C = :r. fsc z i=1 m n (8) where C, the composite, is equal to the sum of the factor score coefficients, fsc, the linear weight times the standardized variables which have been factor analyzed (1975:488). Since this is generated by an algorithm which is not an exact estimate when Rao's factor analysis is used, it is an estimate of the factor score coefficient (Nie et al.,1975: 488). It is an estimate of the scale composite, and not exact (Nie et al., 1975:488; Norusis, 1985:148).

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29 to administer the instrument was thirty minutes over the telephone. The main advantage in using composite scores generated by the canonical-factor regression technique of Allen (1974) is that twenty scales were administered to each respondent, along with single socio-demographic items. With each scale only having three to eight items, many social psychological dimensions were able to be tested. The second evident advantage was that most composites had acceptable reliability coefficients (ranging from .70 to .90). These two advantages provide the potential for further development of the model and measures for testing and refinement There was a minor problem with the length of the survey. Except for a couple of terminations, most of the terminations during the interviewing process were due to the elderly being unable to finish the survey, so they were under represented. However, this did not affect the testing of the "age hypothesis", the hypothesis that (compared to other groups) the elderly are not concerned about the environment The environmental literature suggests this is due to muting of the senses with old age, i.e., they do not perceive things as well as others. Remember that air pollution as a problem was negatively correlated with age. The greater the age of someone, the less likely some one is concerned about air pollution. Perception of something is necessary before concern about it exists. The composite "clean air" is important, since it predicts both "air pollution as a problem" and "willingness-to-act". It is also significantly related to air pollution. campaign participation and four air pollution (See Alwin (1973); Harris (1967); McDonald and Burr (1967); Susmilch and Johnson (1975); Tucker (1971); for discussions on the use of this and other similar techniques in the weighting of composites using factor score coefficients.)

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strategies. 30 Interestingly enough, the other societal problem composites, social and economic, are predictors of the Better Air campaign participation. (For further information on these relationships see Flaming et al., 1986.) Therefore in terms of predictive validity, the composites for clean air, economic problems, social problems, willingness-to-act, and the six air pollution control strategies should be maintained for their predictive validity for participation. The composite "air pollution as a problem" should be kept even though it did not have the predictive ability of willingness-to act. It still might be useful for delineating the parameters of the environmental concern problem.

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CHAPTER IV COMPOSITES FOR 1981 AND 1985 Introduction Surveys of Denver metropolitan area adults were conducted in January of 1981 and 1985 using similar instruments in both studies (See Flaming and Stember, 1982; Flaming et al., 1986). Multiple indicators were composed of survey questions, usually with the same parameters of response. Each composite was within one of four possible theoretical components according to the general predictor model. As noted earlier, these components involved questions asked of respondents about values, cognition, affect, and conation. (See Table 1). Items and Composites Each composite measure in Table 1 is composed of several questions according to the same Likert scale. For example, the value component CLEANAIR in 1985 is composed of four questions asking if "Clean air is more important than ... job opportunities; convenient transportation; growth of American industry; and a growing community. CLEANAIR is composed of those questions dealing with the importance of clean air. QUALIFE is composed of questions dealing with the importance of certain quality of life aspects of community

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TABLE1 TIIEORETICAL COMPONENTS, COMPOSITES{, QUESTIONNAIRE ITEMS FOR 1981a AND 1985 Theoretical Composites Contributing Items Components Value Components CLEAN AIR: Clean air is more important than 1981 1. Job opportunities (c, Q. 74) and 2. Convenient transportation (c, Q. 75) 1985 3. Growth of American industry (c, Q. 76) 4. A growing community (c, Q. 77) QUALIFE: It is very important living in a community that 1981 1. Offers all services needed (c, Q. 63) 2. Offers lots of cultural, recreational, and educational opportunities (e, c, Q. 67) 3. Is independent and self-sufficient (c, Q. 69) 1985 1. Offers all services needed (d, Q. 63) 3. Is independent and self-sufficient (d, Q. 69) 4. Live in nice neighborhood (f, d, Q. 71) 5. Live in nice house (f, d, Q. 72) GROWTH: It is important that 1981 1. Industry grow and develop freely (c, Q. 65) and 2. Science and technology continue to progress (c, Q. 68) 1985 3. Job opportunities increase (c, Q. 70) LOVECAR: It is important to have a car that 1981 1. Makes me feel successful (c, Q. 64) and 2. Makes me feel proud (c, Q. 66) 1985 3. Makes me feel important (c, Q. 73) Cognitive Components GENKNOW: Very, somewhat, or not at all familiar with 1981 1. Catalytic converter (c, Q. 19) and 2. Vehicle inspection (c, Q. 22) 1985 3. High-altitude tuning (c, Q. 24)

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TABLE 1 (continued). SPECKNOW: Very, somewhat, or not at all familiar with 1981 1. Photochemical oxidants (c, Q. 20) and 2. Air pollution legislation (c, Q. 21) 1985 3. Temperature inversion (c, Q. 23) 4. Hydrocarbon emissions (c, Q. 25) Affective Components GLHELHAZ: Great deal, some, or no health effect for 1981 1. Children (c, Q. 52) and 2. Self, family (c, Q. 54) 1985 3. Everyone (c, Q. 56) SLHELHAZ: Great deal, some, or no health effect for 1981 1. Elderly (c, Q. 51) and 2. People with respiratory ailments (c, Q. 53) 1985 3. People with heart disease (c, Q. 55) SNPERCEP: Frequently, occasionally, or never aware of 1981 1. Bad smells (c, Q. 36) and 2. Irritation in the eyes (c, Q. 37) 1985 3. Nose and throat irritation (c, Q. 39) VSPERCEP: Frequently, occasionally, or never aware of 1981 1. Hazy conditions (c, Q. 35) and 2. Seeing a "brown" cloud (c, Q. 38) 1985 3. Not able to see the mountains clearly (c, Q. 40) ECONPROB: Very, fairly, or not at all, a serious problem of 1981 1. Inflation (c, Q. 7) 2. Energy Shortage (c, Q. 10) 3. Unemployment (c, Q. 11) 4. Crime (e, c, Q. 9) 1985 1. Inflation (d, Q. 7) 2. Energy shortage (d, Q. 10) 3. Unemployment (d, Q. 11) 5. Getting housing (f, d, Q 12) SOCPROB: Very, fairly, or not at all, a serious problem of 1985 1. Crime (d, Q. 9) only 2. Problems in Public Education (d, Q. 13) 3. Inadequate services for elderly (d, Q. 14) 4. Traffic congestion (d, Q. 15) 33

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TABLE 1 (continued). AIRPROB: Very, fairly, or not at all, a serious problem of 1981 1. Air pollution in general region (e, c, Q. 14) 2. Air pollution in immediate neighborhood (c, Q. 12) 3. Air pollution in community (c, Q. 13) 1985 2. Air pollution in neighborhood (d, Q. 16) 3. Air pollution in community (d, Q. 17) 4. Air pollution (for people in your area) (f, d, Q. 8) Conative Components WILLACT: Very, somewhat, or not at all willing to 1981 1. Drive less (c, Q. 30) 2. Support air pollution legislation (c, Q. 32) 3. Ride public transportation (c, Q. 33) 4. Reduce number of vehicles owned (c, Q. 34) 5. Buy newer, Cleaner car (e, c, Q. 31) 6. Car or van pool (c, Q. 36) 7. Walk, bike more (e, c, Q. 37) 8. Complain to authorities (c, Q. 38) 1985 1. Drive less (d, Q. 30) 2. Support air pollution legislation (d, Q. 32) 3. Ride public transportation (d, Q. 33) 4. Reduce number of vehicles owned ( d, Q. 34) 6. Car or van pool (d, Q. 36) 8. Complain to authorities (d, Q. 38) 9. Comply with Better Air Campaign (f, d, Q. 39) 10. Cancel or postpone trips on high pollution days (f, d, Q. 40) 34 VEillNSPC: Favor very much, favor somewhat, oppose somewhat, oppose very much If . 1981 1. Vehicle inspection and adjustment (c, Q. 15) 2. Retrofit or add-on emission controls (c, Q. 18) 3. Mandatory tune-ups (c, Q. 7) 1985 1. Vehicle inspection and adjustment (d, Q. 5) 2. Retrofit or add-on emission controls (d, Q. 18) 3. Mandatory tune-ups (d, Q. 7) 4. Dealers verify cars passing the emissions test (f, d, Q. 14)

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35 TABLE 1 (continued). PUBTRNIX: Favor very much, favor somewhat, oppose somewhat, oppose very much 1981 1. Sales tax to support public transportation (c, Q. 19) 2. Property tax to support public transportation (c, Q. 21) 3. Gasoline tax to support public transportation (c, Q. 12) 1985 1. Sales tax to support public transportation (d, Q. 19) 2. Property tax to support public transportation (d, Q. 21) Q. 21) 3. Gasoline tax to support public transportation (d, Q. 23) 4; Light rail (f, d, Q. 26) ALTRAN: Favor very much, favor somewhat, oppose somewhat, oppose very much 1981 1. More flexibility in work hours (e, c, Q. 20) 2. More bicycle paths, facilities (c, Q. 22) 3. More traffic flow control (c, Q. 24) 4. More park-n-ride lots (c, Q. 25) 1985 2. More bicycle paths, facilities (d, Q. 22) 3. More traffic flow control (d, Q. 24) 4. More park-n-ride lots (d, Q. 25) VUSECON: Favor very much, favor somewhat, oppose somewhat, oppose very much 1981 1. Gas rationing (c, Q. 12) 2. Tax second, third car (e, c, Q. 6) 3. Tax Larger cars (e, c, Q. 14) 4. Mandatory non-drive days (c, Q. 15) 1985 1. Gas rationing (d, Q. 12) 4. Mandatory non-drive days (d, Q. 15) 5. High parking fees (f, d, Q. 17) 6. Double gas prices (f, d, Q ; 27) 7. Close drive through establishments (f, d, Q. 29) FIREPLACE: Favor very much, favor somewhat, oppose somewhat, oppose very much 1985 1. Prohibit wood burning (d, Q. 11) only 2. Restrict fireplaces (d, Q. 13) 3. Strict performance standards (d, Q. 28)

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36 TABLE 1 (continued). TRIPLAN: Favor very much, favor somewhat, oppose somewhat, oppose very much 1985 1. Trip planning (d, Q. 6) only 2. Car pool (d, Q. 8) 3. Employer incentives (d, Q. 16) 4. Flex hours (d, Q. 20) a) 1981-adapted from Flaming and Stember, 1982, vol. 2, pp. 17-18 & Appendix B. b) 1985adapted from unpublished material, Flaming et al 1986. c) Questions refer to the 1981 questionnaire in Appendix A. d) Questions refer to the 1985 questionnaire in Appendix B. e) Item dropped in 1985. f) Item added in 1985.

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37 life. GROWTH is composed of only those questions with the importance of the development of industrial progress. LOVECAR is composed of those questions dealing with the importance of the automobile in ones' self perception. The cognitive component deals with knowledge of air pollution control techniques. GENKNOW deals with the familiarity of common air pollution techniques. SPECKNOW deals with special, technical knowledge of specific air pollution control techniques. The affective component deals with affective emotions of health effects, perceptual awareness, or the felt seriousness of societal problems. GLHELHAZ composite deals with those questions concerned with the degree of health effects for general members of the population. SLHELHAZ deals with those questions concerned with the degree of health effects of certain select members of a population. SNPERCEP deals with those questions concerning sense perception of the extent of the awareness of air pollution. VSPERCEP deals with those questions concerning visual perception of the air pollution. ECONPROB deals with the felt seriousness of economic problems. SOCPROB composite deals with those questions concerning the felt seriousness of social problems. AIRPROB composite deals with the felt seriousness of the air pollution problem in a geographical locale. The conative component deals with the degree of support for some proposed action. Wll..LACT is the degree of willingness to modify one's own behavior. VEHINSPC is the degree of support for vehicle inspection. PUBTRNTX is the degree of support for taxes for public transportation. AL TRAN is the degree of support for alternatives in transportation. VUSECON is the degree of support for constraints on vehicle use. FIREPLACE is the

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38 degree of support for restrictions around the use of the fireplace. TRIPLAN is the degree of support for outside organizational structures. Most of the measures used in 1981 and 1985 are comparable with each other. Where there are dissimilarities, this is noted in the tables. Two types of reliability and validity coefficients are compared between the 1981 data and the 1985 data. These two statistical tests of reliability are the alpha coefficient (Cronbach, 1951) and an estimate of omega (Allen, 1974). In both methods an estimate of a measure's validity is obtained by taking the square root of the reliability coefficient (which is a common but disputed practice, see Heise and Bohrnstedt, 1970). Most of the composite measures improved in their reliability and validity in the second data analysis of 1985 to a meaningful degree. Results The alpha coefficients for the composite measures for each theoretical component and each member of its set is given in Table 2. The alpha reliability coefficient for CLEANAIR improved from .67 in 1981 to .70 in 1985. QUALIFEimprovedfrom.49in 1981 to.64in 1985. GROWTHimprovedfrom.45in 1981 to .56 in 1985. LOVECAR had a minimal increase from .85 in 1981 to .86 in 1985. It should be noted that QUALIFE had changed in its composite to include two new questions, "Live in a nice neighborhood" and "Live in nice house", while dropping the question "Offers lots of cultural, recreational, and educational opportunities". (See Table 1).

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39 TABLE2 ALPHA RELIABILITY COEFFICIENTS AND CFRM OMEGA COEFFICIENTS FOR THE 1981 a AND 1985b DENVER AIR QUALITY COMPOSITES Theoretical Component Alpha Alpha Omega Omega and Composite Data Reliability Validity Reliability Validity Value Components CLEAN AIR 1981 .67 .82 .71 .85 1985 .70 .84 .72 .85 QUALIFE 1981 .49 .70 .58 .77 1985 .64 .80 .80 .90 GROWTH 1981 .45 .67 .72 .85 1985 .56 .75 .49 .70 LOVE CAR 1981 .85 .92 .86 .93 1985 .86 .93 .88 .94 Cognitive Components GENKNOW 1981 .66 .81 .66 .81 1985 .61 .78 .62 .79 SPECKNOW 1981 .63 .79 .66 .81 1985 .62 .79 .61 .78 Affective Components GLHELHAZ 1981 .76 .87 .80 .89 1985 .75 .87 .80 .89 SLHELHAZ 1981 .55 .74 .68 .82 1985 .52 .72 .71 84 SNPERCEP 1981 .73 .85 77 .88 1985 .74 .86 .78 .88 VSPERCEP 1981 .58 .76 .77 .88 1985 .55 .74 .67 .82 ECONPROB 1981 .45 .67 .63 .79 1985 65nc .80nc .69nc .87nc *SOCPROB 1985 .56 .75 .66 .81 AIRPROB 1981 .49 .70 .74 .86 1985 .74nc .86nc .76nc .87nc

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TABLE 2 (continued). Alpha Theoretical Component and Composite Data Reliability Conative Components WILLACT 1981 .73 1985 .76nc VEillNSPC 1981 .68 1985 .65nc PUBTRNTX 1981 .68 1985 .68nc ALTRAN 1981 . 56 1985 .57nc VUSECON 1981 .61 1985 .65nc *FIREPLACE 1985 .66 *TRIP LAN 1985 .58 *Means new composite for 1985. Alpha Validity .85 .87nc .83 .81nc .83 .81nc .75 .75nc .78 .80nc .81 .76 Omega Reliability .62 .80nc .72 .69nc .71 .79nc .57 .68nc .52 .67nc .68 .64 Nc means new composite was modified for purposes of refinement of model and measurement. 40 Omega Validity .79 .90nc .85 .83nc .84 .89nc .75 .82nc .71 .82nc .83 .80 a) Omega reliability and validity of 1981 data, adapted from Flaining and Stember, 1982, vol. 2, pp. 20-21. b) Omega reliability and validity of 1985 data, adapted from Flaming et al., 1986, unpublished.

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41 The alpha reliability for the GENKNOW composite had a moderate decrease from .66 in 1981 to .61 in 1985. SPECKNOW was stable at .63 and .62 in 1981 and 1985, respectively. GLHELHAZ was stable at .76 in 1981 and .75 in 1985. SLHELHAZ had a slight decrease from .55 in 1981 to .52 in 1985. SNPERCEP was stable at .73 and .74. VSPERCEP had a slight decrease from .58 in 1981 to .55 in 1981. ECONPROB improved from .45 in 1981 to .65 in 1985. SOCPROB was not used in 1981 and its reliability was .56 in 1985. AIRPROB improved from .49 to in 1981 to .74 in 1985. (Note: ECONPROB and AIRPROB were modified to improve their reliability to a major degree, almost two tenth's of a percent, from weak measures to moderately strong measures. ECONPROB was improved by dropping the question of "Crime" and replacing it with "Getting housing". AIRPROB was improved by dropping the question "Air pollution in general region" in 1985 and replacing it with "Air pollution" as a serious problem for "people in your area"). The alpha reliability for WILLACT had a slight improvement from 73 in 1981 to .76 in 1985. VEHINSPC had a slight decrease from .68 in 1981 to .65 in 1985. PUBTRNTX remained the same with .68 in 1981 and .68 in 1985. AL TRAN was stable at .56 and .57. FIREPLACE was a new composite with an alpha reliability of .66 in 1985. TRIPLAN was a new composite with an alpha reliability of .58 in 1985. The WILLACT composite was changed by adding questions "Comply with Better Air Campaign" and "Cancel or postpone trips on high pollution days" while dropping "Walk, bike more". VEHINSPC in 1985 added the question "Dealers verify cars passing the emissions test". PUBTRNTX in 1985 added the the question "Light rail". ALTRAN had the question of "More flexibility

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42 in work hours" dropped in 1985. In 1985, VUSECON had the questions "Tax second, third car" and "Tax larger cars" dropped from the composite and three questions were added, "High parking fees", "Double gas prices", and "Close drive through establishments". (See Table 1). Omega Coefficients The omega coefficients for the composite measures for each theoretical component and each member of its set are given below in Table 3. The omega reliability coefficient for CLEAN AIR was stable at 71 and .72 in 1985. QUALIFE improved from .58 in 1981 to .80 in 1985. GROWTH decreased from .72 in 1981 to .49 in 1985. LOVECAR had a minimal increase from .86 in 1981 to .88 in 1985. Quality of life measure improved significantly from .64 for the alpha estimate to .80 in the omega estimate using the weighting technique. The clean air measure could be improved in reliability and refined further. The omega reliability for the GENKNOW composite had. a minimal decrease from .66 in 1981 to .62 in 1985. SPECKNOW had a slight decrease from .66 in 1981 to .61 in 1985. The omega coefficient for GLHELHAZ remained the unchanged at 80 in both 1981 and 1985 surveys. SLHELHAZ had a slight decrease from .68 in 1981 to .71 in 1985. SNPERCEP was stable at .77 and .78. VSPERCEP had a decrease from .77 in 1981 to .67 in 1981. ECONPROB moderately improved from .63 in 1981 to .69 in 1985. SOCPROB was not used in 1981 and its reliability was .66 in 1985. AIRPROB slightly improved from .75 to in 1981 to .76 in 1985.

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43 The affective components for selective health hazards, sense perception, economic problems, and air pollution as a problem could possibly be improved in reliability with further refinement of the measures. Select health hazards improved with weighting from .52 for the alpha reliability, which is lower in 1985 than in 1981, to .71 for the omega estimate in 1985, which is higher than in 1981; this may be due to instability of the measure. Visual perception composite decreased in the 1985 omega estimate from 77 in 1981 to .67 in 1985; this may be due to instability of the measure. The vehicle inspection measure also decreased, but the measure is not comparable with the one developed in 1981. The omega reliability for WILLACT had an improvement from .62 in 1981 to .80 in 1985. VEHINSPC had a slight decrease from .72 in 1981 to .69 in 1985. PUBTRNTX had a moderate improvement from .71 in 1981 to .79 in 1985. AL1'R.AN had an improvement from .57 in 1981 to .68 in 1985. FIREPLACE was a new composite with an omega reliability of .68 in 1985. TRIPLAN was a new composite with an omega reliability of .64 in 1985. Summary This chapter respectively examines the composites used in the Denver studies for 1981 and 1985. This paper discusses the multiple indicators and their items which tap into the dimensions of the general predictor model (GPMSA). These items and their respective composites were compared along the dimensions for of value, cognition, affect, and conation. Alpha and omega reliability results for the 1981 and 1985 Denver studies were given for each composites. Further discussion of these composites and their significance will be presented in chapter V.

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CHAPTERV UTILITY OF :MEASURES AND :MEASURE:MENT The utility of a measure is the least discussed in the literature, and from a practical matter, the most difficult to assess. One way to assess the utility of the measure is to know about its theoretical and empirical relationships to other factors. Earlier in this paper (See chapter 2), we noted in the form of the General Predictor model, the hypothetical relationships that may be obtained among and between the different measures developed in this research. In this chapter, empirical relations are presented, as measured by the direct effects of the beta coefficients reported in part by Flaming and his colleagues ( 1986) for air pollution as a problem. This paper will examine one of the most basic variables of interest in the air quality literature, perception of air pollution as a problem. Air pollution as a problem for the Flaming et al. (1986) study is correlated with various aspects of the General Predictor Model of Social Action, such as background characteristics, values, knowledge, feelings, volitions, and social acts. Air Pollution as a Problem Air pollution as a prpblem (AIRPROB) is correlated with background characteristics such as sex, age, race, income, and education (See Table 3.1). The background variables of acquired and achieved characteristics

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45 suggested by Van Liere and Dunlap (1980) are age, sex, and income; those suggested by Evans and Jacobs (1981) are age, sex, education, and race. Van Liere and Dunlap suggest that it would be profitable to "focus attention on specific environmental issues and policies" as well as using multivariate research to establish the relative effects of these variables upon environmental concern (1980:193). Evans and Jacobs note the lack of any research which has systematically studied the inter-relationships, let alone with a conceptual basis (1981). Therefore, it is important to note that the Flaming et al. (1986) study has included these variables recommended by Van Liere and Dunlap (1980) and Evans and Jacobs (1981) in a path analysis. TABLE 3.1 1985 DENVER AIR STUDY AIRPROB COMPOSITE CORRELATES WITH BACKGROUND VARIABLES AGE AIRPROB -.104c SEX -.065 RACE -.037 Adapted from Flaming et al., 1986 (Table 4). Note: a= p < .05, b = p < .01, c = p < .001. INCOME -.018 EDUCATION .000. Air pollution as a problem (AIRPROB) was significantly correlated with age at -.104 (p < .001). Flaming and Stember (1981) and Flaming et al. (1986) found age to be negatively correlated, as suggested by the "age hypothesis" of Van Liere and Dunlap (1980) that the younger the person the more likely they are to be concerned about the environment, confirming the studies of Creer et al. (1970), Grossman and Potter (1977b), and Hornback (1974). Air pollution as a problem (AIRPROB) was not significantly correlated with gender. Race is not significantly correlated with AIRPROB.

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46 Socioeconomic status (SES) is positively correlated with concern for air pollution and concern for the environment, according to Van Liere and Dunlap (1980) and the studies of Swan (1970). However, the research by Cutter. ( 1981) does not support this hypothesis, a fmding supported by the Flaming et al. (1986) study. Neither income nor education was significantly correlated with AIRPROB. In general, all reported research shows age as related to the perception of air pollution as a problem. Results are mixed with reports of gender, race, income, and education. Values The value component is based upon the social psychological model of Rokeach (1973). Dunlap and Van Liere examine the relationship between their dominant social paradigm as a "constellation of 'common values, beliefs, and shared wisdom about the physical and social environments'" (1980 :1013) and environmental concern. They assume there is a relationship between "cultural" values and an individual's perceived quality of life and support for economic growth (Dunlap and Van Liere, 1980). Dillman and Christenson (1972) found that the "value" of air pollution control efforts was a predictor of public receptivity to its control measures. It should be noted that for Evans and Jacobs (1981) the process of evaluating air pollution is part of the affective component of emotions and feelings about air pollution (which will be discussed later on in this chapter). Air pollution as a problem (AIRPROB) is correlated with some dimensions of the value component (See Table 3.2).

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47 TABLE3.2 1985 DENVER AIR STUDY AIRPROB CORRELATES WITH THE VALUE COMPOSITES CLEAN AIR AIRPROB .117c QUALIFE -.044 Adapted from Flaming et al., 1986 (Table 4). Note: a= p < .05, b = p < .01, c = p < .001. GROWTH .101c LOVE CAR -.010 The value component has four composites measures: the importance of clean air (CLEANAIR), the importance of a quality of life (QUALIFE), the importance of growth (GROWTH), and the importance of the automobile (LOVECAR). CLEANAIR is significantly correlated with AIRPROB at .117 (p < .001). The greater the perception of air pollution as a problem, the greater clean air is valued as a problem over other concerns. QUALIFE is not significantly correlated with AIRPROB. Growth is positively correlated at .099 (p < .001) with AIRPROB. LOVECAR is insignificantly correlated with AIRPROB. The value components of "concern for clean air" and "growth" were significantly correlated with the composite "air pollution as a problem". Cognitive components Evans and Jacobs (1981) organized their review of the air pollution literature around the tripartite social-psychological model of cognitive, affective, and conative components of attitudes. The cognitive component is the beliefs and knowledge concerning air pollution. The affective component is the emotions and feelings about air pollution. The conative is the overt behavioral responses and intentions to act.

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48 Van Liere and Dunlap (1980) suggested that cognitive variables along with demographic variables should be used in research for explaining environmental concern. Evans and Jacobs suggest that [based upon Swan (1970) and Wall (1974)] there might be a weak relationship between "cognitive awareness of air pollution and an affective concern about it" (1981:101). Evans and Jacobs also point out that most of air pollution literature has dealt with "beliefs" --what and how a person thinks about air pollution-and little has been done on knowledge or factual information on air pollution. Although Buckout (1972) found most people possessed very little information about air pollution, Barker (1974) found a relationship between level of education and knowledge of air pollution. Crowe (1968) also found a relationship between defining air pollution in causal terms and education. Most of the literature on air pollution has dealt with beliefs about it (Evans and Jacobs, 1981:103-104). Air pollution as a problem (AIRPROB) is not significantly correlated with the cognitive component (See Table 3.3). TABLE 3.3 1985 DENVER AIR STUDY AIRPROB CORRELATES WITH THE COGNITIVE COMPOSITES AIRPROB GENKNOW .023 SPECKNOW .000 Adapted from Flaming et al., 1986 (Table 4). Note: a= p < .05, b = p < .01, c = p < .001. GENKNOW does not correlate significantly with AIRPROB. SPECKNOW is also insignificantly correlated with AIRPROB. Neither of the cognitive components are related to perception of air pollution as a problem.

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49 Affective components According to Evans and Jacobs (1981) there is an abundance of literature on awareness of air pollution in terms of "exposure to air pollution", such as health effects (Barker, 1974; Hummel, Loomis, and Herbert, 1975) and actual physical air quality (DeGroot et al., 1966; Jacoby, 1972; Johnston and Hay, 1974; Schusky, 1966; Smith et al., 1964; Wall, 1973). There have also been studies on the influence of odors upon attitudes (see Evans and Jacobs, 1981). Direct perception of air quality accounts for most of the awareness of pollution (DeGroot, 1967; Smith et al., 1964). Barker (1974) found that a positive relationship exists between concern about air pollution and physical perception, mainly visible, as cues of air quality. Air pollution as a problem (AIRPROB) is analyzed with the affective component in the Denver air study path analysis, since it itself is part of that dimension. For further information on the correlates of the affective dimension, see Flaming et al. (1986). The Flaming et al. (1986) study had seven composites in the affective dimension. Two composites were in the area of health effects. These are gen eral health hazards (GLHELHAZ) and select health hazards (SLHELHAZ). Two composites were in the area of direct perception of air pollution. These are the direct sensory perception of the physical effects of air pollution (SNPERCEP) and the direct visual perception of air pollution (VSPERCEP). According to Evans and Jacobs (1981) most awareness of air pollution is due to visual perception, so VSPERCEP should be the stronger of the two measures. The last three measures of the affective component are those which deal with social aspects: (SOCPROB), economic (ECONPROB), and air pollution (AIRPROB) as social problems. The studies of Crowe (1986), DeGroot (1967),

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50 Johnson et al. (1972), Miller (1972), and Molotch and Pollet (1971) have related air pollution with other social problems. The correlations of the affective components with background characteristics and values are presented in Table 3.4. TABLE 3.4 1985 DENVER AIR STUDY SOCIO-DEMOGRAPIDC CORRELATES WITH THE AfFECTIVE COMPOSITES GLHELHAZ SLHELHAZ SNPERCEP VSPERCEP Background AGE -.149c -.076b .108c .061 SEX -.126c -.090c .219c .045 RACE -.010 .008 .034 .044 INCOME -.075a .025 .052 -.055 EDUCATION -.062 -.088 .056 -.000 Values CLEAN AIR .238c .134c -.110c -.145c QUALIFE -.009 .033 .040 004 GROWTH .097b .187c -.151c -.219 LOVE CAR .021 -.035 -.072a .047

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Background AGE SEX RACE INCOME EDUCATION Values CLEAN AIR QUALIFE GROWTH LOVE CAR TABLE 3.4 (continued). ECONPROB -.085c -.223c .027 -.143c -.119c .103c -.055 .131c .021 SOCPROB -.217c -.106c -.034 -.lOlc -.141c .060 .055 .150c -.002 Adapted from Flaming et al., 1986 (Table 4) . Note: a= p < .05, b = p < .01, c = p < .001. 51 AIRPROB -.104c -.065 -.037 -.018 .000 .117c -.044 .lOlc -.010 Of the five background variables, GLHELHAZ is negatively correlated with age at -.149 (p > .001), sex at -.126 (p > .001), and income at -.075 (p > .05). SLHELHAZ is also negatively correlated with age at -.070 (p > .01) and sex at -.090 (p > .001). Of the two components for perception, only sense perception is related to any background characteristics. SNPERCEP is positively correlated with age at .108 (p > .001) and sex at .219 (p > .001). The three affective components for economic, social, and air pollution problems are also related to the background variables. ECONPROB is negatively correlated at the .001 level with age at -.085, sex at -.223, income at -.143,

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52 and education at -.119. SOCPROB is also negatively correlated at the .001 level with age at -.217, sex at -.106, income at -.101, and income at -.141. The affective components are related to some of the value components, clean air, quality of life, growth, and love car. Of the affective components for health hazards: GLHELHAZ is correlated with clean air at .238 (p > .001) and growth at .097 (p > .01). SLHELHAZ is also correlated at the .001 level, with clean air at .314 and growth at .187. Of those for perception, SNPERCEP is negatively related to clean air at -.110 (p > .001), growth at -.151 (p > .001, and love car at -.072 (p > .05). Of those correlated for societal problems: ECONPROB is positively correlated to clean air at the .001 level, with clean air at .103 and growth at .131. SOCPROB is only related to growth with correlations at .150 (p > .001). AIRPROB is also correlated with clean air and growth. CLEANAIR is correlated at .117 (p > 001) and GROWTH is correlated at .101 (p > .001). Conative component The conative components focus on a person's intention to perform hypothetical or future acts. As noted by Evans and Jacobs most studies have related behavioral intentions with air pollution control measures rather than upon measures of overt behavior (1981). The studies have been mainly on the "willingness-to pay" for air pollution control (McEnvoy, 1972; Rankin, 1969; Schusky, 1966, Stanford Workshop on Air Pollution, 1970). Dillman and Christenson (1972) studied the relationship between air pollution control and awareness of air pollution; this was also continued by examining the perceived seriousness of the air pollution problem in the studies by Hohm (1976),

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53 Medalia (1964) and Rankin (1969). These studies have related the awareness of air pollution with the willingness to support air pollution control measures. The Willingness-to-act Composite The Flaming et al. (1986) study had eight composite measures of the conative component. Willingness-to-act (WILLACT) is examined as a measure of how willing an individual is to modify his own behavior in order to alleviate air pollution. Studies such as those by Fishbein and Ajzen (1975), Kothandapani (1971), and Schlegel and DiTecco (1982) have found that behavioral intentions (conation) are the strongest of the tripartite model measures linked to actual behavior. Evans and Jacobs point out the need to study systematically also which groups, such as "age, sex, socioeconomic status, education, race", are likely or willing to support air pollution abatement "activities" (1981:114). This research examines the correlations between sex, age, race, income, and education, along with the composites of values, cognition, and affects upon the respondent's willingness-to-act. The Background Variables The correlations of WILLACT with the five background variables of sex, age, race, income, and education are presented in Table 4.1.

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TABLE4.1 1985 DENVER AIR STUDY WILLACT CORRELATES WITH THE EXOGENOUS VARIABLES WILLACT AGE -.033 SEX -.087c RACE .063 Adapted from Flaming et al., 1986 (Table 4). Note: a= p < .05, b = p < .01, c = p < .001. INCOME -.075b EDUCATION -.049 54 Of the five background variables, only two are significantly related to willingness-to-act (WILLACT). Gender is negatively correlated with WILLACT at -.087 (p < .001) meaning that males are less willing-to-act to reduce air pollution. Income is also negatively correlated with WILLACT at -.075 (p < .01). None of the other background variables of age, race, or income are related significantly to willingness-to-act. The Value Components The correlations of (WILLACT) are correlated with the value components of concern for clean air, quality of life, growth, and love of the automobile as presented in Table 4.2. TABLE4.2 1985 DENVER AIR STUDY WILLACT CORRELATES WITH THE VALUE COMPOSITES WILLACT CLEAN AIR .095c QUALIFE -.008 Adapted from Flaming et al., 1986 (Table 4). Note: a= p < .05, b = p < .01, c = p < .001. GROWTH LOVE CAR .169c -.091c

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55 Of the value components, CLEANAIR, QUALIFE, GROWTH, and LOVECAR, only QUALIFE is not significantly correlated with willingness-to-act (WILLACT). CLEANAIR is positively correlated at .095 (p < .001). GROWTH is positively correlated at a significant .001 level (.169). LOVECAR is negatively correlated at a significant .001 level (-.091). Willingness-to-act is related to the importance of clean air, the unimportance of "growth", and importance of the automobile in their lives. The Cognitive Components The correlations of willingness-to-:act (WILLACT) as correlated with general and knowledge of air pollution are presented in Table 4.3. TABLE4.3 1985 DENVER AIR STUDY WILLACT CORRELATES WITH THE COGNITIVE COMPONENT GENKNOW SPECKNOW WILLACT .135c -.093c Adapted from Flaming et al., 1986 (Table 4). Note: a= p < .05, b = p < .01, c = p < .001. Of the cognitive components, both general knowledge and specific knowledge of air pollution are significantly correlated with willingness-to-act. GENKNOW is positively correlated at .135 (.001). SPECKNOW is negatively correlated at -.093 (001).

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56 The Affective Components The correlations of willingness-to-act (WILLACT) as correlated with the affective components of general health affects and specific health affects of air pollution, of sense and visual perception of air pollution, and of economic, social, and air pollution problems is presented in Table 4.4. TABLE4.4 1985 DENVER AIR STUDY WILLACT CORRELATES WITH THE AFFECTIVE COMPOSITES GLHELHAZ SLHELHAZ SNPERCEP VSPERCEP WILLACT .178c -.010 .032 -.044 ECONPROB SOCPROB AIRPROB WILLACT .165c -.080b .162c Adapted from Flaming et al., 1986 (Table 4). Note: a= p < .05, b = p < .01, c = p < .001. Of the affective components, only general health hazard, economic problems, social problems, and air pollution problems are significantly correlated with willingness-to-act (WILLACT). GLHELHAZ is positively correlated with WILLACT at .178 (p< .001). ECONPROB is positively correlated with WILLACT at .165 (P < .001). SOCPROB is negatively correlated at -.080 (P < .001). AIRPROB is positively correlated at .162 (P < .001). Neither SLHELHAZ, nor SNPERCEP, nor VSPERCEP is significantly correlated with willingness-to-act. In this chapter, the utility of the composites were examined for their correlations with two composites measures of interest--air pollution as a problem and willingness-to-act. Air pollution as a problem was significantly

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57 correlated with, age, clean air, and growth. Willingness-to-act is significantly related to sex, income, clean air, growth, love of car, general knowledge, special knowledge, general health hazards, economic problems, social problems, and air pollution as a problem. Of these two variables, Willingness-to-act is related to a greater number of variables than air pollution as a problem. But this does not address the issue of which of the two composites--air pollution as a problem or willingness-to-act--is the more useful or interesting of a measure. This paper will focus on predictive validity as a means of assessing the validity issue or the value of a measure in terms of predictive ability. Predictive Validity A means of evaluating the validity of composite measures is to test its predictive power, i.e., the capacity to "identify future differences" (Kidder and Judd, 1986). This type of validity is suited to causal modeling used in the Denver studies. Linearity of the model is assumed for the dimensions of the General Predictor model for value, cognition, affect, and conation. The a priori specification of the relationships between socio-demographic and social psychological measures is an important aspect of the Denver studies model (Stember, 1986). This aspect of the model allows both composites, air pollution as a problem (AIRPROB) and willingness-to-act (WILLACT), as predictors of support for air pollution control strategies and self-reported compliance with the Better Air Campaign. Predictive validity will be assessed for the two

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58 predictors by examination of their correlations with support for strategies and reported participation in the better air campaign. There are six strategies of air pollution control. They are: vehicle inspection, public transportation tax, alternative transportation, vehicle use constraints, fireplace constraints, and trip planning (alternative structures). Which of these two predictors will predict the most significant and highest correlations? Correlations of the two composites for air pollution as a problem and willingness-to-act are presented in Table 5.1. VEHINSPC PUBTRNTX ALTRAN VUSECON FIREPLACE TRIP LAN TABLE5.1 1985 DENVER AIR STUDY AIRPROB AND WILLACT CORRELATES WITH AIR POLLUTION CONTROL STRATEGIES AIRPROB WILLACT .159c .265c .083b .253c .165c .197c .039 .372c .170c .340c .153c .408c Adapted from Flaming et al., 1986 (Table 4) Note: a= p < .05, b = p < .01, c = p < .001. Both composites have positive correlations with the six strategies. The composite AIRPROB is significantly correlated with vehicle inspection at .159 (p < .001). The composite AIRPROB is correlated with public transportation tax at .083 with a significance level of .01. AIRPROB is correlated with

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59 alternatives to transportations at .165 (p < .001). The composite AIRPROB 1s correlated with fireplace at .170 with a level of 001. And lastly, AIRPROB is correlated with trip planning at .153 (p < .001) The only composite that is not predicted by air pollution as a problem was vehicle use constraints. The composite WILLACT is positively correlated with support for all s1x strategies at a significance level of .001. WTI..LACT correlates with vehicle inspection at .265, public transportation tax at .253, transportation alternatives at .197, vehicle use constraints at .372, fireplace constraints at .340, and trip planning at .408. Both composites correlate with most, if not all, of the air pollution control strategies, although willingness-to-act is the better predictor in terms of all the strategies at a significance level of 001 It also has higher correlations than air pollution as a problem--at least twice the correlation level in four of the six cases. Which of these two measures is a better measure? Is there any way of concluding which is the better predictor of differences? Both the composites AIRPROB and WILLACT are positively correlated at .162 (p < .001), as previously discussed (See Table 4.4). An important question is, which measure is able to predict behavior? Is it respondent's concern for air pollution or their willingness-to-act? Which composite measure is significantly related to a single item of self-reported participation in the 1985 Better Air Campaign? (See Table 5.2).

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TABLE5.2 1985 DENVER AIR STUDY CAMP ART VARIABLE CORRELATES WITH COMPOSITES AIRPROB AND WILLACT CAMP ART AIRPROB .037 WILLACT .441c Adapted from Flaming et al., 1986 (Table 4) Note: a= p < .05, b = p < .01, c = p < .001. 60 Of the two composite measures, only willingness-to-act (WILLACT) was positively correlated with the self-reported single item measure of participation (CAMP ART). Willingness-to-act correlated with the Better Air Campaign at .441, at a significance level of .001. The highest correlation in the entire study. Willingness-to-act has potential as a predictor. This measure of overt behavior (self-reported) has not been researched directly (See Evans and Jacobs, 1981). This has great implications for further research, as will be discussed later with the recommendations for further research. It is important to note that of, the two measures, the one that has predominanted in the environmental concern literature (i.e. concern for air pollution as a problem) did not predict behavior, but willingness-to-act did --which makes more sense theoretically, since it measures volition. The other six composites deal with self-reported willingness to support air pollution control measures, such as composites on vehicle inspection (VEIDNSPC), public tax on transportation (PUBTRNTX), alternative means to traffic control (AL TRAN), constraints on vehicle use (VUSECON), constraints on the frreplace (FIREPLACE), and lastly structural assistance

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61 support mechanisms (TRIPLAN). For purposes of brevity, only the composite willingness-to-act (WILLACT) were examined. (For more information on these air pollution strategies and their correlates, see Flaming et al. (1986). These composites are important for the development of measures of air pollution control strategies, called for in the literature by Evans and Jacobs (1981). Summary This chapter discussed the utility of measures used in the Denver studies by relating the correlations of. those used in the General Predictor model with measures found in the environmental literature. This paper focused upon two composites of interest. These were air pollution as a problem (AIRPROB) and willingness-to-act (WILLACT). Correlation coefficients for each were related, in turn, with background characteristics, values, cognitions, and conation, along with some of the inter relationships involved. Both composites of interest were significantly correlated with most of the variables involved in the general predictor model. In order to show the predictive validity of these central composites, air pollution as a problem and willmgness-to-act were compared with each other. This comparison showed that willingness-to-act was the better "predictor" of the two composites.

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CHAPTER VI SUMMARY, DISCUSSION, AND RECOMMENDATIONS Summary A review of the literature, including that of environmental concern, emphasizes the need for valid and reliable measures. This thesis describes and discusses multiple indicators developed in research of the Denver metropolitan area on air pollution attitudes. Miller (1984) provided criteria for reporting measurement scales. His criteria of validity, reliability, and utility provided a basis for reporting composite measures such as those developed in the Denver research The literature notes a bifurcation between theory and research. Measurement is seen as a necessary bridge between them One major reason mentioned for this bifurcation was the lack of either theoretical grounding or replication in the use of measures developed This was also true of the environmental literature. One exception to this tendency is the research by Flaming and Stember. This research developed composite measures for the social psychological factors of value (importance), cognition (thinking), affect (feeling) and conation (volition). A canonical-factor-regression technique was used to calculate estimates of validity and reliability. The Denver research is important for constructing various multivariate constructs 1977, which succeeding research tested and refined in 1981 and 1985.

PAGE 68

63 The literature was examined concernmg environmental concern in relationship to the issues addressed in the Denver research. Most of the air pollution literature focused solely upon particular single item variables in relationship with certain other socio-demographic variables noted by Van Liere and Dunlap (1980) and Evans and Jacobs (1981). A causal model was used in the Denver studies to provide specification of social psychological variables of value, affect, cognition, and conation. This thesis focused on the methodological issues surrounding the development and testing of composite measures. Therefore literature was examined dealing with the reliability and validity of measurement in general. Reliability is the consistency of a measuring instrument in a repeated situation to yield similar results. Validity is the ability to measure the theoretical dimension it is supposed to represent. Reliability ties the measure to the empirical; validity ties the measure to the theoretical realm. The classic test of reliability, Cronbach's alpha (1953), designed for true score data, was discussed. Another commonly used estimate of reliability is the omega coefficient of Heise and Bohmstedt (1970) which is based upon factor analytic techniques used in the creation of composite measures. Omega as specified by Allen (1974) was the method used in the Denver research. This thesis examined the methodology used in the Denver research to develop measures related to public concern about air pollution. The specific methodological issue addressed concerns the techniques used in the 1981 and 1985 studies to create composite measures. The method used in the Denver studies was the canonical-factor-regression method (CFRM) of Allen (1974) used to weight the composite measures and give an estimate of reliability, the CFRM omega coefficient. The composites were created using factor score

PAGE 69

64 coefficients to derive linear weights from Rao's (1955) factor analysis. An estimate of CFRM omega coefficient of reliability was calculated in the Denver research. The issue was whether the omega technique would yield more reliable and valid measures than if the alpha technique were used. The procedures followed in the construction of the composites measures used in the Denver research of 1981 and 1985 were described in detail. The twenty composites were organized according to the components of the general predictor model of value, cognition, affect, and conation. The value component has four composites which were measured by the importance attached to air quality, quality of life, economic growth, and the personal automobile. The cognitive component has two composites, measured by degree of familiarity with general aspects of the air pollution issues and with more specific technical aspects of the air pollution issue. The affective components have seven composites, two composites on health hazards, two on perception of air pollution, and three on economic, social, air pollution problems. And lastly, the conative component had eight composites, one on the willingness-to-act on air pollution control strategies and seven other air pollution control strategy composites. reliability estimates, Results for each of these composites, alpha and omega were discussed for 1981 and 1985. Noted in this discussion were comparisons of alpha and omega coefficients, consistency of measures over time, and the conceptual basis for each composite--where it existed. Finally, the utility of these measures was discussed. One practical consideration of utility is the empirical relationship of measures with other factors. Two composite measures, air pollution as a problem (AIRPROB) and willingness-to-act (Wll..LACT), were discussed for purposes of utility. These

PAGE 70

65 two measures were examined as important issues in air quality research. Air pollution as a problem is a predominant issue in the environmental concern literature. When this research began it looked mainly into the question of the perception of air pollution as a social problem. The second, and more important measure willingness-to-act, is the strongest measure of the study and has great theoretical potential as a measure. Lastly, these composite measures were examined for their correlation with background variables and the composite measures of values, knowledge, feelings, and volitions. The relationships of these measures to the environmental concern literature were discussed. Significant correlations of these two composite measures of interests with other measures were presented for the 1985 Denver study. Discussion This thesis builds a case for establishing and reporting psychometric properties of measures. Numerous authors in the literature note the need for good measures. The environmental concern literature notes a similar need. More specifically, literature in the social sciences notes the lack of the reporting of reliability and validity estimates in the scales used. A major problem in the social sciences is the absence of any replication of research or scales. This seriously impedes any attempts to develop a theoretical science. It also is detrimental to the development of good measurement. This thesis reported the composite measures for several reasons: 1) the composite measures developed had not been previously used; 2) the composite measures were replicated with similar results; 3) the composite measures and the results of this research were consistent with the literature

PAGE 71

66 on environmental concern; 4) when previous environmental research mostly used single items, this research developed composite measures; 5) a conceptual model was used in the ordering and generating of these composite measures; and 6) omega reliability estimates were calculated for the composite measures. The experience of the research in Denver shows that there continues to be great need for reporting good measures and the various methodological techniques used in their development. This is evident for practical reasons. It is inefficient to reinvent a scale for every research study that is used One of the difficulties mentioned early in this thesis was the lack of replication of research, which is detrimental to the building and accumulation of scientific knowledge. Replication may accomplish two objectives: (1) provide a test of the measurement scales themselves and eventually develop better measures; and (2) provide the ability to test theories. This is just as critical for the literature of environmental concern, as for sociology in general. It is time for research to move from being essentially descriptive to being more conceptually/theoretically based. Unless there is some conceptual and theoretical organization to the research, the literature will remain the mere collection of diverse descriptive studies. The composites themselves show an increase in reliability when using the omega technique instead of the alpha technique. This is due in part to the use of a weighting technique which weights better items more than items which have lower communality. The composites for quality of life, love of the car, general health hazards, willingness-to-act, and public transportation tax, are reliable measures near the eighty percent range for the omega estimates. These variables meet the standards for established scales.

PAGE 72

67 The air pollution strategies composites may be useful, since little has been done on air pollution control strategies, but it must be noted that the composites, alternative to transportation, vehicle use constraints, frreplace constraints, and trip planning all have low reliabilities, and need to be refmed further. In terms of the composites relationship with the strongest composite measure, willingness-to-act was significantly related to clean air, growth, general knowledge and special knowledge, general health hazard, economic problems, social problems, and, lastly, air pollution as a problem. It is interesting that the cognitive dimension was significantly related to willingness-to-act, even though the measures are weak. This suggests that good measures of this cognitive dimension should be developed for research focusing upon willingness-to-act The moderate measures may be acceptable for the present, but unless they are improved in reliability, will be inadequate for testing theories of environmental concern. Growth provides an interesting anomaly: the omega coefficient was lower than should theoretically be possible (omega should be greater than or equal to alpha, Carmines and Zeller, 1979:62)--which suggests that some methodological error occurred in the creation of this composite. This composite also has a history of being very unstable, so unless this anomaly is explained and presents no further problems, the present growth measure should not be used in other research. The cognitive components of general knowledge and specific knowledge are very weak measures; they should be replaced with other measures if this dimension is to be considered in further research. One should note that these measures did not improve with weighting.

PAGE 73

68 The main focus of this thesis is the examination of measures developed in relatively unknown research on attitudes of air quality in Denver. Some of the composite measures proved to be good measures with high reliability. Most composite measures proved to be moderately reliable and need further refmement, although they are as good, if not better than most other measures used--since reliabilities are unknown for most other studies in the literature (.70 or greater is an acceptable range for reliability). A few measures are questionable and should be revised or dropped from further research This in itself provides justification for this thesis; for purely pragmatic reasons, most of the composite measures are worth repeating in other research on environmental concern. Measurement itself seems to be little understood and greatly ignored in the social sciences The journals in the social sciences do not have a section devoted to good measures and their development. Criteria need to be established for judging the quality of measures and their application. Miller's work on measures establishes the precedent; now it is necessary to raise the standards for judging a measure's worth. The focus of this thesis may be narrowly centered upon just composite measures, but the issues involved are broader in scope and have implications for the very nature of the social sciences. Science needs good measurement to function properly. The power of science is in its ability to test a theory and make predictions. It needs to be empirical mainly in its testing and its application of a theory. One of the major obstacles to this end has been the split between theory and empirical research. Unless sociologists remedy this situation, we will be unable to move beyond being just a descriptive To this end

PAGE 74

69 measurement plays a part Borgatta recently wrote on the importance of measurement in the maturing of sociology: The discipline [sociology] has come a long way in developing a notion of what measurement of a variable entails, and it will, as the other social sciences are doing, move to greater concern with the notion that theoretical concepts should correspond to measures, and that the limitations of the measures themselves limit the potential for construction of sociological theory (1987:14). Simply put, better measures are necessary to test better theories. Theory does not develop in isolation, but evolves along with measurement. The validity of a measure is hardest to establish. Even when reliability of measure is established, questions of validity and utility may remain. Many questions about a measure need to be answered by research before validity can be approached. Along with refmement and development of a measure, it is necessary to map the empirical and theoretical/conceptual dimensions of a measure. The empirical questions of a scales dimensions merit further study. In the Flaming and Stember research, a Likert scale was used in the survey questionnaire. A Thurstone scale might be used to check the assumptions used in the composite formation and modeling, i.e., the respondents have the same range acceptance (Judd and Kenny, 1986). Testing the measurement scale under differing research conditions is needed. This may include replication by other researchers in different cities with similar or different sampling techniques. Also different scope conditions may be examined by experimental designs. Issues of a measure's robustness and power may be tested (Cf. Bohrnstedt and Carter, 1971; Cleary et al., 1970). It is necessary to map out measurement error of a composite. Measurement error affects both reliability and validity. Althahauser and

PAGE 75

70 Heberlein write that ideally we should simultaneously asses both reliability and validity of "models containing underlying constructs, multiple indicators of constructs, random and systematic sources of error in the indicators should be specified and tested" (1970:152). For example, the General Predictor model (Flaming et al., 1986) might be tested for other areas of environmental concern or even concerning other attitude issues. Finally, validity of the measure needs to be assessed while a theory 1s tested. Unless there is a theoretical basis of a measure, issues of validity can not be assessed. A measure in search of a theory is unsound method. This is also true of the environmental concern literature. Unless a theoretical basis is developed, questions of a measure's validity never can be addressed. According to Turner (1986), causal modeling is a higher level of description of empirical generalization. Theory testing and its generalizability are the goals of science. Theory testing is tied to the the question of a measure's validity. When a theory fails in a test, certain issues may need to be addressed, such as: did the theory fail the test?; was the measure inadequate?; was the scope conditions inadequate?; or was the test itself poorly designed? Although the focus of this thesis is measurement, it has theoretical implications. Measures are themselves meaningless if they are not theoretically grounded. The environmental concern literature stresses the need for a theoretical basis in its research. Most of it has been simple, bivariate empirical descriptions without any direction and with little purpose. One of the important aspects of the Denver studies is that these tie many of the environmental studies and their particular variables together under a conceptual model. While not formal theory building, it is an

PAGE 76

71 important step in the effort to provide a stronger conceptual and theoretical basis for the research. Besides the importance of measurement to theory, measurement is valuable to the empirical side as well, that is, in its applied aspects. The utility of a measure is in its usefulness. Does it work? The Denver studies have used these composite measures at least twice, in 1981 and in 1985, with similar results. One of the difficulties of applied research is: how can one bring a sociological theory to a particular problem? Just as basic research must be theoretically based, so should applied research. Until it is, it will only be good for the utilitarian gathering of endless data. Both theory and praxis are necessary for science to exist. This thesis examined two composite variables, air pollution as a problem and willingness-to-act. The measure of air pollution as a problem was examined to relate it to a theme prevalent in the literature from the beginning of air pollution research. It is important in that it is a multiple-item measure, while others reported in the literature are single item measures. This measure was examined in light of the various dimensions elicited in the literature: those of social demographic variables, of values, of affect, of cognition, and of conation. And there were some significant correlations, such as age, clean air, and growth of industry. It is not a very interesting variable theoretically, and is limited in its focus. The second variable was willingness-to-act. This composite measure has greater theoretical implications. It was related to air pollution control strategies and even to a self-reported measure of behavior (the Better Air Campaign). Willingness-to-act is the strongest measure in the 1985 Denver study Judging from the theoretical work on behavioral this was what was expected of the conative component of the tripartite model (See

PAGE 77

72 Fishbein, 1967; Fishbein and Ajzen, 1974, 1975; Ajzen and Fishbein, 1975, 1977, 1980). This composite should be explored further in research. The Denver studies have gone beyond air pollution research on attitudes reported in literature review by Evans and Jacobs (1981) and are an important contribution to environmental concern literature, such as the area of social dimensions suggested by VanLiere and Dunlap (1980). Limitations Although the Denver studies have contributed to the field of environmental concern, the field is still undeveloped in terms of theory. The question of the validity for the composite measures has been assessed only in minor terms. Other issues of validity and theory which go beyond concurrent, discriminant, and predictive validity still need to be addressed. Other measures which tap these conceptual dimensions need to be developed for research triangulation (Phillips, 1986). Many composites of the Denver studies need further refinement. Also the techniques used in this study have their limitations, as does any technique. Recommendations There are four recommendations for further research and issues. First, there needs to be a better and more critical way of reporting good measures and the methodological problems in their development and application. It would be helpful if academic journals would provide sections devoted to these issues, and set up various criteria fqr the stage of measurement evolution. The question of a measure's utility needs to be determined critically to improve a

PAGE 78

73 measure's utility for theoretical and applied research. Measurement will become a critical issue, if and when the social sciences, including sociology, move from being mainly descriptive sciences to more theoretical sciences. Second, further research in the environmental concern literature, especially that dealing with air pollution, needs to focus on the theoretical basis of measures used these studies. Also, reliability estimates should be reported in order to improve and refine the measure's utility and validity. The General Predictor model may provide the beginnings of a conceptual basis for further research as the eventual goal of its use is for this research to become theoretical. Third, the composite measure for willingness-to-act should be used in further research. This measure has interesting theoretical possibilities, especially with other measures of self-reported and overt measures of behavior. Also, further research on environmental concern and other areas might link this measure with some decision-choice model, such as the satisfaction balance model of Gray and Tallman (1984). Fourth, one of the difficulties in doing applied research is the comparability of one method with another, and in relating these techniques with any new techniques which develop later. One of the difficulties related to this research is a technical problem. Since SPSSX now uses an algorithm for maximum likelihood extraction of factors, how does this method relate to the weighting of composite measures for Allen's (1974) technique, and for the estimation of CFRM omega reliability? And it can now be examined.

PAGE 79

CHAPTER VI SUMMARY, DISCUSSION, AND RECOMMENDAT!ONS Summary A review of the literature, including that of environmental concern, emphasizes the need for valid and reliable measures. This thesis describes and discusses multiple indicators developed in research of the Denver metropolitan area on air pollution attitudes. Miller (1984) provided criteria for reporting measurement scales. His criteria of validity, reliability, and utility provided a basis for reporting composite measures such as those developed in the Denver research. The literature notes a bifurcation between theory and research. Measurement is seen as a necessary bridge between them. One major reason mentioned for this bifurcation was the lack of either theoretical grounding or replication in the use of measures developed. literature. This was also true of the environmental One exception to this tendency is the research by Flaming and Stember This research developed composite measures for the social psychological factors of value (importance), cognition (thinking), affect (feeling), and conation (volition). A canonical-factor-regression technique was used to calculate estimates of validity and reliability. The Denver research is important for constructing various multivariate constructs in 1977, which succeeding research tested and refmed in 1981 and 1985.

PAGE 80

63 The literature was examined concerning environmental concern in relationship to the issues addressed in the Denver research. Most of the air pollution literature focused solely upon particular single item variables in relationship with certain other socio-demographic variables noted by Van Liere and Dunlap (1980) and Evans and Jacobs (1981). A causal model was used in the Denver studies to provide specification of social psychological variables of value, affect, cognition, and conation. This thesis focused on the methodological issues surrounding the development and testing of composite measures. Therefore literature was examined dealing with the reliability and validity of measurement in general. Reliability is the consistency of a measuring instrument in a repeated situation to yield similar results. Validity is the ability to measure the theoretical dimension it is supposed to represent. Reliability ties the measure to the empirical; validity ties the measure to the theoretical realm. The classic test of reliability, Cronbach's alpha (1953), designed for true score data, was discussed. Another commonly used estimate of reliability is the omega coefficient of Heise and Bohmstedt (1970) which is based upon factor analytic techniques used in the creation of composite measures. Omega as specified by Allen (1974) was the method used in the Denver research. This thesis examined the methodology used in the Denver research to develop measures related to public concern about air pollution. The specific methodological issue addressed concerns the techniques used in the 1981 and 1985 studies to create composite measures. The method used in the Denver studies was the canonical-factor-regression method (CFRM) of Allen (1974) used to weight the composite measures and give an estimate of reliability, the CFRM omega coefficient. The composites were created using factor score

PAGE 81

64 coefficients to derive linear weights from Rae's (1955) factor analysis. An estimate of CFRM omega coefficient of reliability was calculated in the Denver research. The issue was whether the omega technique would yield more reliable and valid measures than if the alpha technique were used. The procedures followed in the construction of the composites measures used in the Denver research of 1981 and 1985 were described in detail. The twenty composites were organized according to the components of the general predictor model of value, cognition, affect, and conation. The value component has four composites which were measured by the importance attached to air quality, quality of life, economic growth, and the personal automobile. The cognitive component has two composites, measured by degree of familiarity with general aspects of the air pollution issues and with more specific technical aspects of the air pollution issue. The affective components have seven composites, two composites on health hazards, two on perception of air pollution, and three on economic, social, air pollution problems. And lastly, the conative component had eight composites, one on the willingness-to-act on air pollution control strategies and seven other air pollution control strategy composites. Results for each of these composites, alpha and omega reliability estimates, were discussed for 1981 and 1985. Noted in this discussion were comparisons of alpha and omega coefficients, consistency of measures over time, and the conceptual basis for each composite--where it existed. Finally, the utility of these measures was discussed. One practical consideration of utility is the empirical relationship of measures with other factors. Two composite measures, air pollution as a problem (AIRPROB) and willingness-to-act (WILLACT), were discussed for purposes of utility. These

PAGE 82

65 two measures were examined as important issues in air quality research. Air pollution as a problem is a predominant issue in the environmental concern literature. When this research began it looked mainly into the question of the perception of air pollution as a social problem. The second, and more important measure willingness-to-act, is the strongest measure of the study and has great theoretical potential as a measure. Lastly, these composite measures were examined for their correlation with background variables and the composite measures of values, knowledge, feelings, and volitions. The relationships of these measures to the environmental concern literature were discussed. Significant correlations of these two composite measures of interests with other measures were presented for the 1985 Denver study. Discussion This thesis builds a case for establishing and reporting psychometric properties of measures. Numerous authors in the literature note the need for good measures. The environmental concern literature notes a similar need. More specifically, literature in the social sciences notes the lack of the reporting of reliability and validity estimates in the scales used. A major problem in the social sciences is the absence of any replication of research or scales. This seriously impedes any attempts to develop a theoretical science. It also is detrimental to the development of good measurement. This thesis reported the composite measures for several reasons: 1) the composite measures developed had not been previously used; 2) the composite measures were replicated with similar results; 3) the composite measures and the results of this research were consistent with the literature

PAGE 83

66 on environmental concern; 4) when previous environmental research mostly used single items, this research developed composite measures; 5) a conceptual model was used in the ordering and generating of these composite measures; and 6) omega reliability estimates were calculated for the composite measures. The experience of the research in Denver shows that there continues to be great need for reporting good measures and the various methodological techniques used m their development. This is evident for practical reasons. It is inefficient to reinvent a scale for every research study that is used. One of the difficulties mentioned early in this thesis was the lack of replication of research, which is detrimental to the building and accumulation of scientific knowledge. Replication may accomplish two objectives: (1) provide a test of the measurement scales themselves and eventually develop better measures; and (2) provide the ability to test theories. This is just as critical for the literature of environmental concern, as for sociology in general. It is time for research to move from being essentially descriptive to being more conceptually/theoretically based. Unless there is some conceptual and theoretical organization to the research, the literature will remain the mere collection of diverse descriptive studies . The composites themselves show an increase in reliability when using the omega technique instead of the alpha technique. This is due in part to the use of a weighting technique which weights better items more than items which have lower communality. The composites for quality of life, love of the car, general health hazards, willingness-to-act, and public transportation tax, are reliable measures near the eighty percent range for the omega estimates. These variables meet the standards for established scales.

PAGE 84

67 The air pollution strategies composites may be useful, since little has been done on air pollution control strategies, but it must be noted that the coq1posites, alternative to transportation, vehicle use constraints, fireplace constraints, and trip planning all have low reliabilities, and need to be refined further. In terms of the composites relationship with the strongest composite measure, willingness-to-act was significantly related to clean air, growth, general knowledge and special knowledge, general health hazard, econorriic problems, social problems, and, lastly, air pollution as a problem. It is interesting that the cognitive dimension was significantly related to willingness-to-act, even though the measures are weak. This suggests that good measures of this cognitive dimension should be developed for research focusing upon willingness-to-act. The moderate measures may be acceptable for the present, but unless they are improved in reliability, will be inadequate for testing theories of environmental concern. Growth provides an interesting anomaly: the omega coefficient was lower than should theoretically be possible (omega should be greater than or equal to alpha, Carmines and Zeller, 1979:62)--which suggests that some methodological error occurred in the creation of this composite. This composite also has a history of being very unstable, so unless this anomaly is explained and presents no further problems, the present growth measure should not be used in other research. The cognitive components of general knowledge and specific knowledge are very weak measures; they should be replaced with other measures if this dimension is to be considered in further research. One should note that these measures did not improve with weighting.

PAGE 85

68 The main focus of this thesis is the examination of measures developed in relatively unknown research on attitudes of air quality in Denver. Some of the composite measures proved to be good measures with high reliability. Most composite measures proved to be moderately reliable and need further refmement, although they are as good, if not better than most other measures used--since reliabilities are unknown for most other studies in the literature (.70 or greater is an acceptable range for reliability). A few measures are questionable and should be revised or dropped from further research. This in itself provides justification for this thesis; for purely pragmatic reasons, most of the composite measures are worth repeating in other research on environmental concern. Measurement itself seems to be little understood and greatly ignored in the social sciences The journals in the social sciences do not have a section devoted to good measures and their development. Criteria need to be established for judging the quality of measures and their application. Miller's work on measures establishes the precedent; now it is necessary to raise the standards for judging a measure's worth. The focus of this thesis may be narrowly centered upon just composite measures, but the issues involved are broader in scope and have implications for the very nature of the social sciences. Science needs good measurement to function properly. The power of science is in its ability to test a theory and make predictions. It needs to be empirical mainly in its testing and its application of a theory. One of the major obstacles to this end has been the split between theory and empirical research. Unless sociologists remedy this situation, we will be unable to move beyond being just a descriptive science. To this end

PAGE 86

69 measurement plays a part. Borgatta recently wrote on the importance of measurement in the maturing of sociology: The discipline [sociology] has come a long way in developing a notion of what measurement of a variable entails, and it will, as the other social sciences are doing, move to greater concern with the notion that theoretical concepts should correspond to measures, and that the limitations of the measures themselves limit the potential for construction of sociological theory (1987:14). Simply put, better measures are necessary to test better theories. Theory does not develop in isolation, but evolves along with measurement. The validity of a measure is hardest to establish. Even when reliability of measure is established, questions of validity and utility may remain. Many questions about a measure need to be answered by research before validity can be approached. Along with refinement and development of a measure, it is necessary to map the empirical and theoretical/conceptual dimensions of a measure. The empirical questions of a scales dimensions merit further study. In the Flaming and Stember research, a Likert scale was used in the survey questionnaire. A Thurstone scale might be used to check the assumptions used in the composite formation and modeling, i.e., the respondents have the same range acceptance (Judd and Kenny, 1986). Testing the measurement scale under differing research conditions is needed. This may include replication by other researchers in different cities with similar or different sampling techniques. Also different scope conditions may be examined by experimental designs. Issues of a measure's robustness and power may be tested (Cf. Bohrnstedt and Carter, 1971; Cleary et al., 1970). It is necessary to map out measurement error of a composite. Measurement error affects both reliability and validity. Althahauser and

PAGE 87

70 Heberlein write that ideally we should simultaneously asses both reliability and validity of "models containing underlying constructs, multiple indicators of constructs, random and systematic sources of error in the indicators should be specified and tested" (1970: 152). For example, the General Predictor model (Flaming et al., 1986) might be tested for other areas of environmental concern or even concerning other attitude issues. Finally, validity of the measure needs to be assessed while a theory is tested. Unless there is a theoretical basis of a measure, issues of validity can not be assessed. A measure in search of a theory is unsound method. This is also true of the environmental concern literature. Unless a theoretical basis is developed, questions of a measure's validity never can be addressed. According to Turner ( 1986), causal modeling is a higher level of description of empirical generalization. Theory testing and its generalizability are the goals of science. Theory testing is tied to the the question of a measure's validity. When a theory fails in a test, certain issues may need to be addressed, such as: did the theory fail the test?; was the measure inadequate?; was the scope conditions inadequate?; or was the test itself poorly designed? Although the focus of this thesis is measurement, it has theoretical implications. Measures are themselves meaningless if they are not theoretically grounded. The environmental concern literature stresses the need for a theoretical basis in its research. Most of it has been simple, bivariate empirical descriptions without any direction and with little purpose. One of the important aspects of the Denver studies is that these tie many of the environmental studies and their particular variables together under a conceptual model. While not formal theory building, it is an

PAGE 88

71 important step in the effort to provide a stronger conceptual and theoretical basis for the research. Besides the importance of measurement to theory, measurement is valuable to the empirical side as well, that is, in its applied aspects. The utility of a measure is in its usefulness. Does it work? The Denver studies have used these composite measures at least twice, in 1981 and in 1985, with similar results. One of the difficulties of applied research is: how can one bring a sociological theory to a particular problem? Just as basic research must be theoretically based, so should applied research. Until it is, it will only be good for the utilitarian gathering of endless data. Both theory and praxis are necessary for science to exist. This thesis examined two composite variables, air pollution as a problem and willingness-to-act. The measure of air pollution as a problem was examined to relate it to a theme prevalent in the literature from the beginning of air pollution research. It is important in that it is a multiple-item measure, while others reported in the literature are single item measures. This measure was examined in light of the various dimensions elicited in the environmental literature: those of social demographic variables, of values, of affect, of cognition, and of conation. And there were some significant correlations, such as age, clean air, and growth of industry. It is not a very interesting variable theoretically, and is limited in its focus. The second variable was willingness-to-act. This composite measure has greater theoretical implications. It was related to air pollution control strategies and even to a self-reported measure of behavior (the Better Air Campaign). Willingness-to-act is the strongest measure in the 1985 Denver study. Judging from the theoretical work on behavioral this was what was expected of the conative component of the tripartite model (See

PAGE 89

72 Fishbein, 1967; Fishbein and Ajzen, 1974, 1975; Ajzen and Fishbein, 1975, 1977, 1980). This composite should be explored further in research. The Denver studies have gone beyond air pollution research on attitudes reported in literature review by Evans and Jacobs (1981) and are an important contribution to environmental concern literature, such as the area of social dimensions suggested by VanLiere and Dunlap (1980). Limitations Although the Denver studies have contributed to the field of environmental concern, the field is still undeveloped in terms of theory. The question of the validity for the composite measures has been assessed only in minor terms. Other issues of validity and theory which go beyond concurrent, discriminant, and predictive validity still need to be addressed Other measures which tap these conceptual dimensions need to be developed for research triangulation (Phillips, 1986). Many composites of the Denver studies need further refinement. Also the techniques used in this study have their limitations, as does any technique. Recommendations There are four recommendations for further research and issues. First, there needs to be a better and more critical way of reporting good measures and the methodological problems in their development and application. It would be helpful if academic journals would provide sections devoted to these issues and set up various criteria for the stage of measurement evolution. The question of a measure's utility needs to be determined critically to improve a

PAGE 90

73 measure's utility for theoretical and applied research. Measurement will become a critical issue, if and when the social sciences, including sociology, move from being mainly descriptive sciences to more theoretical sciences. Second, further research in the environmental concern literature, especially that dealing with air pollution, needs to focus on the theoretical basis of measures used these studies. Also, reliability estimates should be reported in order to improve and refine the measure's utility and validity. The General Predictor model may provide the beginnings of a conceptual basis for further research as the eventual goal of its use is for this research to become theoretical. Third, the composite measure for willingness-to-act should be used in further research. This measure has interesting theoretical possibilities, especially with other measures of self-reported and overt measures of behavior. Also, further research on environmental concern and other areas might link this measure with some decision-choice model, such as the satisfaction balance model of Gray and Tallman (1984). Fourth, one of the difficulties in doing applied research is the comparability of one method with another, and in relating these techniques with any new techniques which develop later. One of the difficulties related to this research is a technical problem. Since SPSSX now uses an algorithm for maximum likelihood extraction of factors, how does this method relate to the weighting of composite measures for Allen's (1974) technique, and for the estimation of CFRM omega reliability? And it can now be examined.

PAGE 91

BIBLIOGRAPHY Ajzen, I. and M. Fishbein (1975) "The prediction of behavior from attitudinal and normative variables," pp. 220-241 in A. E. Liska [ed.] The Consistency Controversy: Readings on the Impact of Attitudes on Behavior. New York: Wiley. ---(1977) "Attitude-behavior relations: a theoretical analysis and review of empirical research." Psychological Bulletin 84:888-918. ---(1980) Understanding Attitudes and Predicting Social Behavior. Engel wood Cliffs, NJ: Prentice-Hall. Allen, M.P. (1974) "Construction of composite measures by the canonical factor-regression method," pp. 51-78 in H. L. Costner [ed.] Sociological Methodology 1973-74. San Francisco: Jossey-Bass. Allison, P. D. (1978) "The reliability of variables measured as the events in an interval of time," pp. 238-253 inK. F. Schuessler [ed.] Sociological Methodology. San Francisco: Jossey-Bass. Althauser, R. P. and T. A. Heberlein (1970) "Validity and the multitrait multimethod matrix," pp. 151-169 in E. F. Borgatta and Bohrnstedt [eds.] Sociological Methodology 1970. San Francisco: Jossey-Bass. Alwin, D. F. (1973) "The use of factor analysis in the construction of linear composites in social research." Sociological Methods and Research 2:191214. ---(1974) "Approaches to the interpretation of relationships in the multi multimethod matrix," pp. 79-105 in H. L. Costner [ed.] Sociological Methodology 1973-74. San Francisco: Jossey-Bass. Alwin, D. F. and D. J. Jackson (1980) "Measurement models for response errors in surveys," pp. 68-119 inK. F. Schuessler [ed.] Sociological Methodology 1980. San Francisco: Jossey-Bass. Asher, H. B. (1983) Causal Modeling. 2nd. ed. Sage University Paper series on Quantitative Applications in the Social Sciences, series no. 07-003. Beverly Hills: Sage Publications. Amor, D. J. (1974) "Theta reliability and factor scaling," pp. 17-50 in H. L. Costner [ed.] Sociological Methodology 1973-74. San Francisco: Jossey Bass.

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Cutter, S. C. (1981) "Community concern for pollution: social and environ mental influences." Environment and Behavior 13:105-124. DeGroot, I. (1967) "Trends in public attitudes toward air pollution." Journal ofthe Air Pollution Control Association 18:154-157. DeGroot, I, W. Loring, A. Rihm, S. W. Samuels, and W. Winkelstein (1966) "People and air pollution: a study of attitudes in Buffalo, New York." Journal of the Air Pollution Control Association 16:245-247. Dillman, D. A. and J. A. Christenson (1972) "The value for pollution control," pp. 237-256 in W. R. Burch, N.H. Cheek, Jr and L. Taylor [eds.] Social Behavior, National Resources, and the Environment. New York: Harper and Row. Dunlap, R. E and K. D. VanLiere (1980) "Commitment to the dominant social paradigm and concern for environmental quality." Social Science Quarterly :1013-1028. Evans, G. W. and Jacobs, S. V. (1981) "Air pollution and human behavior." Journal of Social Issues 37:95-125. Feather, N. T. (1964) "Acceptance and rejection of arguments in relation to attitude strength, critical ability, and intolerance of inconsistency." Journal of Abnormal Social Psychology 69:127-136. ---(1971) "Organization and discrepancy in cognitive structures." Psychological Review 78:355 379. ---( 197 5) "Values and income level." Australian Journal of Psychology 27:23-30. ---(1979a) "Value correlates of conservatism." Journal of Personality and Social Psychology 37:1617-1630. ---(1979b) "Values, expectancy, and action." Australian Psychologist 14:131141. ---(1980) "The study of values." Journal of Asian-Pacific and World Perspectives 3:3-13. ---(1982) Expectations and Actions: ExpectancyValue Models in Psychology. [ed.] Hillsdale, NJ: Lawrence Erlbaum Associates, Inc. ---(1982) "Human values and the prediction of action: an expectancy-valence analysis," pp. 263-289 inN. T. Feather [ed.] Expectations and Actions: Expectancy-Value Models in Psychology. Hillsdale, NJ: Lawrence Erlbaum Associates, Inc. ---(1983) "Some correlates of attributional style: depressive symptoms, self esteem, and Protestant Ethic values." Personality and Social Psychology Bulletin 9:125-135. 78

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---(1984) "Protestant ethic, conservatism, and values." Journal of Personality and Social Psychology 46:1132-1141. Fishbein, M. (1967) "Attitude and the prediction of behavior," pp. 477-492 in M. Fishbein [ed.] Readings in Attitude Theory and Measurements. New York: Wiley. Fishbein, M. and I. Ajzen (1974) "Attitudes toward objects as predictors of single and multiple behavioral criteria." Psychological Review 81:59-74. ---(1975) Belief, Attitude, Intention, and Behavior: an Introduction to Theory and Research. Reading, MA: Addison-Wesley. Flaming, K. H. with M. J. Crowe, W. Howard, and R. Chapman (1977) 1977 Denver Metropolitan Air Pollution Study. A five volume report prepared for and distributed by the Air Pollution Control Division, Colorado Department of Health. Flaming, K. H. and M. L. Stember (1982) Opinions about Improving Air Quality: The Technical Report. Denver: Distributed by the Environmental Protection Agency. Flaming, K. H., M. L. Stember, and P. H. Smith (1986) "Predictors of public compliance with the Better Air Campaign and other air quality strategies in Denver." Paper presented at the Pacific Sociological Association Meeting, Denver, CO, April. Flaming, K. H. and W. I. Griffith (1984) "A theoretical note on: causal modeling as a guide to housing preference research." Housing and Society 11: 108-111. Gray, L. N. and I. Tallman (1984) "A satisfaction balance model of decision making and choice behavior." Social Psychology Quarterly 47:146-159. Greene, V. L. and E. G. Carmines (1980) "Assessing the reliability of linear composites," pp. 160-175 inK. F. Schuessler [ed.] Sociological Methodology 1980. New York: McGraw-Hill. Grossman, G. M. and H. R. Potter (1977) "A trend of competing models of environmental attitudes." Working Paper #127, Institute for the Study of Social Change, Dept. of Sociology and Anthropology, Purdue University. Harman, H. H. (1967) Modem Factor Analysis. Chicago: The University of Chicago Press. Harris C. W. (1967) "On factors and factor scores." Psychometrika 32:363-379. Hauser, R. M., and A. S. Goldberger (1971) "The treatment of unobservable variables in path analysis," pp. 81-117 in H. L. Costner [ed.] Sociological Methodology 1971. San Francisco, CA: Jossey-Bass, Inc. 79

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Heise, D. R. (1974) "Some issues in sociological measurement," in H. L. Costner [ed.] Sociological Methodology 1973-74. San Francisco: Jossey Bass. Heise, D. R. and G. W. Bohrnstedt (1970) "Validity, invvalidity, and reliability," pp. 104-129 in E. F. Borgatta and G. W. Bohrnstedt [eds.] Sociological Methodology 1970. SanFrancisco: Jossey-Bass. Hilgard, E. R. (1980) "The trilogy of mind: cognition, affection, and conation." Journal of the History of the Behavioral Sciences 16:107-117. Hohm, C. (1976) "A human ecological approach to reality and perception of air pollution." Pacific Sociological Review 19:21-44. Hoover, K. R. (1984) The Elements of Social Scientific Thinking. Third edition. New York: St. Martin's Press. Hornback, K. E. (1974) "Orbits of opinion: the role of age in environmental movement's attentive public." Unpublished Ph.D. dissertation, Department of Sociology Michigan State University. Hummel, C., R. Loomis, and J. Herbert (1975) "Effects of city labels and cue utilization on air pollution judgments." Working Papers in Environmental Social Psychology, No. 1, Department of Psychology, Colorado State University. Jacobson, A. L. and N. M. Lalu (1974) "An empirical and algebraic analysis of alternative techniques for measuring unobserved variables," pp. 215-242 in H. M. Blalock, Jr. [ed.] Measurement in the Social Sciences: Theories and Strategies. Chicago: Aldine Publishing Company. Jacoby, L. R. ( 1972) "Perceptions of air, noise and water pollution in Detroit." (Michigan Geographical, Publication No. 7) Ann Arbor, MI: Department of Geography, The University of Michigan. Johnson, D. L., R. Allegre, E. Burhrman, S. Miller, M. Sheldon, and A. Rosen (1972) "Air pollution: public attitudes and public action." American Behavioral Scientist 15:533-566. Johnston, R. and J. E. Hay (1974) "Spatial variations in awareness of air pollution distributions." Quarterly Journal of Environmental Studies 6:131-136. Kaplan, A. (1964) The Conduct of Inquiry: Methodology for Behavioral Science. Leonard Broom [ed.] Chandler Publications in Anthropology and Sociology. Scranton, PA: Chandler Publishing Company. Kessler, R. C. and D. F. Greenberg (1981) Linear Panel Analysis: Models of Quantitative Change. New York: Academic Press, Inc. Kidder, L. H. and C. M. Judd, with E. R. Smith (1986) Research Methods in Social Relations. Fifth edition. The Society for the Psychological Study of Social Issues. New York: CBS College Publishing. 80

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McDonald, R. P. and E. J. Burr (1967) "A comparison on four methods of constructing factor scores." Psychometrika 32:381-401. McEnvoy, J. (1972) "The American concern with environment," pp. 214-236 in W. R. Burch, Jr., N.H. Cheek. Jr., and L. Taylor [eds.] Social Behavior, Natural Resources, and the Environment. New York: Harper and Row. Medalia, N. Z. (1964) "Air pollution as a socio-environmental health problem: a survey report." Journal of Health and Human Behavior 5:154-165. Miller, D. C. (1972) "The allocation of priorities to urban and environmental problems by powerful leaders and organizations," pp. 306-331 in W. R. Burch, Jr., N. H. Cheek, Jr., and L. Taylor (eds.) Social Behavior, Natural Resources, and the Environment. New York: Harper & Row. Miller D. C. (1983) Handbook of Research Design and Social Measurement. 5th. ed. New York and London: Longman Inc. Molotch, H. and R. C. Follet (1971) "Air pollution as a problem for sociological research," pp. 15-36 in P. B. Downing [ed.] Air Pollution and the Social Sciences. New York: Praeger. 81 Norusis, M. J. (1985) S.P.S.S.-X Advanced Statistics Guide. New York: McGraw Hill Book Company. Norusis, M. J. and C. M. Wang (1985) SPSS-X Statistical Algorithms. Chicago: SPSS Inc. Nunnally, J. C. (1978) Psychometric Theory. 2nd. ed. New York: McGraw-Hill. Ostrom, T. M. (1969) "The relationship between the affective, behavioral and cognitive components of attitude." Journal of Experimental Psychology 5:12-30. Passino, E. M. and J. W. Lounsbury (1976) "Sex differences in opposition to and support for construction of a proposed nuclear power plant," pp. 180184 in L. M. Ward, S. Coren, A. Gruft and J. B. Collins [eds.], The Behavioral Basis of Design, Book 1. Stroudsburg, PA: Dowden, Hutchinson and Ross. Phillips, B. (1985) Sociological Research Methods: An Introduction. Dorsey Series in Sociology. R. M. Williams, Jr. and C. M. Bonjean [eds.] Homewood, IL: The Dorsey Press. Rankin, R. E. (1969) "Air pollution control and public apathy." Journal of Air Pollution Control Association 19:565-569. Rokeach, M. (1968) Beliefs, Attitudes, and Values: A Theory of Organization and Change. San Francisco: JoseyBass. ---(1973) The Nature of Human V aloes. New York: Free Press.

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---(1979) [ed.] Understanding Human Values: Individual and Societal. New York: Free Press. ---(1980) "Some unresolved issues in theories of beliefs, attitudes, and values," pp. 261-304 in H. E. Howe, Jr., and M. M. Page [eds.] 1979 Nebraska Symposium on Motivation. Lincoln: University of Nebraska Press. Thomas, W. I. (1972) "The defmition of the situation," pp. 331-36 in J. Manis and B. Meltzer [eds.] Symbolic Interactionism: A Reader in Social Psychology. Boston: Allyn & Bacon. Tucker, L. R. ( 1971) "Relations of factor score estimates to their use." Psychometrika 36:427-436. Schusky, J. (1966) "Public awareness and concern with air pollution in the St. Louis Metropolitan Area." Journal of Air Pollution Control Association 16:72-76. Smith, W. S., J. J. Schueneman, and L. D. Zeiberg (1974) "Public reaction to air pollution in Nashville, Tennessee." Journal of the Air Pollution Control Association 14:418-423. Stanford Workshop on Air Pollution (1970) "The public and air pollution," in Air Pollution in the San Francisco Bay Area. Stanford. Stember, M. L., M. J. Crowe, and K. H. Flaming (1980) "Factors predicting perception of air pollution as a health hazard." Paper presented at the Western Social Science Association, Albuquerque, NM, April24. Stember, M. L. and K. H. Flaming (1981) "Causal modeling for predicting perception of air pollution as a health hazard". Proceedings of Environmetrics 81. Washington DC: U.S. Government Printing Office. Stember, M. L. (1986) "Model building as a strategy for theory development," pp. 104-119 in P. L. Chinn [ed.] Nursing Research Methodology. Rockville: Aspen Publishers. Sullivan, J. L. (1974) "Multiple indicators: some criteria of Selection," pp. 243-269 in H. H. Blalock, Jr. Measurement in the Social Sciences: Theories and Strategies. Chicago: Aldine Company. Sullivan, J. L. and S. Feldman (1979) Multiple Indicators: an Introduction. Sage University Paper series on Quantitative Applications in the Social Sciences, series no. 07-015. Beverly Hills and London: Sage Publications Susmilch, C. E. and W. T. Johnson (1975) "Factor scores for constructing linear composites: do different techniques make a difference?" Sociological Methods and Research 4:166-188. Swan, J. A. (1970) "Response to air pollution: a study of attitudes and coping strategies of high school youths." Environment and Behavior 2:127-152. 82

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VanLiere, K. D. and Dunlap, R. E: (1978) "Environmental concern: consistency among its dimensions, conceptualizations and empirical correlates." Paper presented at the Annual Meeting of the Pacific Sociological Association, Spokane, Washington. Van Liere, K. D. and Dunlap, R. E. (1980) "The social bases of environmental concern: a review of hypotheses, explanations and empirical evidence." Public Opinion Quarterly 44:181-197. VanLiere, K. D. and Dunlap, R. E. (1981) "Environmental concern: does it make difference how its measured?" Environment and Behavior 13:651-676. Wall, G. (1973) "Public response to air pollution in South Yorkshire, England." Environment and Behavior 5:219-248. ---( 197 4) "Public response to air pollution in Sheffield, England." Inter national Journal of Environmental Studies 5:259-270. Wheaton, B., B. Muthen, D. F. Alwin, and G. F. Summers (1977) "Assessing reliability and stability in panel models," pp. 84-136 in D. R. Heise [ed.] Sociological Methodology 1977. San Francisco: Jossey-Bass. Wilk, R. R. and W. L. Rathje (1982) "Household archaeology." American Behavioral Scientist 25: 617-639. Wiley, G. (1982) "Forward to special issue of ABS devoted to archaeology in the household." American Behavioral Scientist 25: 613-616. Zeller, R. A. and E. G. Carmines (1980) Measurement in the Social Sciences: The Link Between Theory and Data. Cambridge: Cambridge University Press. 83

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86 APPENDIX A 1981 DENVER AIR QUALITY SURVEY INS1RUMENT

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APPENDIX A 1981 DENVER AIR QUALITY SURVEY INSTRUMENT

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z. J. APPENDIX A -z -.1. I would like Co read you a nulltler of concerns tl\at are frequently probJ...., .for People lfinq fn (CE'M;R lflOCPr.t.IT,.IIFT, SPqiPIGS) uea. For of foll.,.ing, I'd lfke you to tell "e If you It's a 'very serious Probl.,., a 'fairlY serious ProbiO!ft' or "not a orobl.,. at all" foJ" people in your ai"Oa. The first one IS ,\Ci ;;fCCROJ VERT NC/T AT COI'T ..&b._ l!.: A. lnflotion 7 -1 -J .... V.J 9. Mr Pollution a -1 -2 -J .... ll"y c. Crime. 9 -1 -2 -3 ..... v;,o. Ener!IY Shortages. IC l -2 .... E. Unl!ftl I oy"'on t. II -1 -2 -3 .... v 7 F. te ter-Supplies 1% -1 -J .... II"/ G. fn Public Eduction. . ll -1 -2 -3 .... H. Inadequate for Elduly. -1 -2 73 _,. VIO I. Tr.1fffc Conc;=s:.fon. 15 -1 -2 -3 .... 'Ill For I:'OSt of t."le of the survey, ..,, otfll ask1nq questions about une particular for C."'e 'l!oQie ,alonq the r'ranc fn Colorado and :h.tt Is tile problem of air oollutfon. '.lould you that afr" h se,-1ous a fa;rl' serious Dr" !!2!. a 'roblem !L.!ll {!1 the ir.'ft'l!dfate fn which ''OU l1ve? vu. Very sel"io.;. 16 Fairly serious :lot at all serious J C04'T -4 hew serious a would you say Jir Is fn 'Jauld you uy ''!r"'f Or" noc ctt Jll ser-ious? 1113 Very serious Fairly serious Not at a 11 serious -3 CO<'T 1(1'(1.1 l. Ourfng hst sevoral YUI"S. would you say problem of .1ir 'ol1ution fn l]ener.tl haS' becor.e r."!!I"''! h"!'SS ar 1bout ser1ouJ. 13-t less serious. -2 Styed JDout tile ..., -3 0011 r lWC'J ...... 85

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. '. I llh to 1ou a lht of tteos !Jiat are r
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7. 8. -4 -5g. In tenftS of any of the prt1blem1 associated with pollution that we have just ""'ntianed. do you think you hae beco.,. owore. less or-have about the Ulr'l! awar=nf!"s of t."'ese prablems tf'lat""'lciU ii'id'a few years ogal V...11' Hare aware .ltl-1 Less oware About the s..,. .3 DON'T ICIIOW ... Hew muc."' have. you, yau"elf, be!n affected by afr pollution? '.lould you say a CrBt c!e:!l, or not .stall? fl --1 .:.sJ< r;-; J.llf:J/r". 1 great deal Somewhat G'at at all IS< !P Ttl Q.3 I K:IOW "Zl .-: .-! .... 7a. How r.'.any d.t)-5 fn an oJver01c;e would you say you are affected by air I OF .. ,_ -c:.:."''T ESTII'ATE 99 ib. I would like to .. t you If you aff.cted by polluti on i n of seasons. First, .,... you, personally, affected by pollution In t.' LIST OF (U.1D S:Of l !IECORD.) :!: ,tg CO..'T 'C-r.!ll 1. Sorinq! "S-1 _, Y'IO 2. _, V 'II J. Fall? "7-1 -z _, 11'/Z. 4. '-lfnter? "1-1 -l .; ., J 7c. Over :he past several" ye.,"!, do you t.',fnk t.'ut you, yauf..u;u, h.1ve been .u'fec:ed .l!ll.. or about U:n! by a1 r pallutianl \lould you say that atlier of household have aHec:ed by air pollution a l'!!al", .. or "nnt "t 111'? ... Less About the same .. OOII' T ICIIC'ol A great deal Samowhat Nat at all T K/lCll APPLI LE (ii_S?OI/CEIIT LIVS Alml) .. ,., .-J .... sc-I _, .. -5 87

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-5-9. ScC'I! pecole tllink 1ir pollution has hamul .effects on p.aple 's otllers do not. Oo you :Mnk that .air pollution's on ts a qreat or none n all for ... MID A Cl!EAT. SCM; NO'
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5 12. If you had to c:llaase betl<..,n.llving In an 3"'a where are lou of 'cb Jnd lfying In an al"!a vl'tere the air fs c e an, "'"'"' 'lfGUI you choose? lZa. If you had to bee.een having the mast conven f '!nt And tlu;ck:es: of ano hvtng 1 n n .tret nere :ne 1S CIUn. whic/1 -.auld you c:lloosel Tzt. If you to c..,ocse e"c:curlt1ing the gf"'CWtl'l of ,\lf'll!ric.Jn fndtrSI!,.., and 11v1n9 1n an area whtre tne a 1 r lS c: I vh1dl .,auld you lZc. And. If you hod to living In c:rrmtvni t 1 t.'lat f s n,..,.,fna lhin'] lrr a ';rrt.:un1:.'/ ...,here which 'A"Ould you c..a:aose:? Jol> oppa.-:,nities. AIr Is clean Ol)li' T C..nvenlent/qulckest Y70 transportation 75-1 Air Is clean DON'T X:IO:I -2 -J Encouraging klerfi:on V// Industry 71i-l Air Is clean COII'T Camnunlt'J q!":Wing, C:mun;:y lira h c:lean CO:i'T iC:IO:I -2 -J n-t -2 -J cc 78 79 AA at..=NC. ccso=r 89

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-7-13. As you "'"Y know, several years ago tile Federal Govern..,nt enacted nich levels of air pollutfon. of. reducing air ;ollution were left to :lie State govem..,nts. State !'lafts tiN for Colorado ,_ nur.ber of stra:ec;t !1 for dea 1 inq air pollutjon .. For of fallowing strategies ,. . er consideraticn, I would like you to tell .., you are "very muc11 in favor, "so..,wnat fn favor, "so,...hat opposed', or "ver-1 :.c.'l opposed" to it. The first one js STRAli'GT-1 L. Employer fncentfves for u,. and van poolin9? .. m H. aes:.ric:iv"e ,.rtfn9 fn downtcwn ir'"I!!IS and sha;:a'in9 cente'r"'S? Ylt RetrafH or vehicle emission f:r C!,., t..")at don: already have .,:11 a. uies :Jz :D SUPl!Ort ;;:ubJ ic trans;ar-:1:ion? P. llore In wort hours (e.g., eet I?. v, Q Yfo If, Vfl s. T, u. tl"''f v. (1>"\1, ...,, x. Vf7T. Prc::ertt t.lx ::a SUPOCJrt Plolbl1c trans;a,..at1on? llore bicycle and bic-,cle f1c111 ties? G.!solln tu :o sucoor-: public eet:er trs'!!ic new :JM.-ot .. lob? A roii systo!O in the Denwer" ::.n area?. tcs ,,.. sc""' high .cthity ccntc,.,!. Char?in'J fen fof" e.atrefn!ly busy .and 8.:1nninq of any new buil4in'f b.ants. etc.)?. 15 16-1 17-1 IS-I 19-1 2o-1 21 22-1 i&-1 27-1 2S-I -2 -z -z -2 -2 -2 -2 -2 -2 -2 -2 -2 -2 .z -z -z -J -J -J -J -! -! -J J -! -;; -3 -3. -! -! J -l -J J -J -; 'JEllY _, _, _, _, _, .. CCN'l S S l l -s l -s -s l l l l l l l l l I ! 90

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8 14, Then! II"'! a nuciler of ays that individuols can help reduce afr pollutfcn in i....,;dfate :reas. I uld like to ask you how wflllng you would be to tl"/ eac.'l of the followlnq. be 'l!r-t somewhat l!ill) :o help recuc:e dtr p oi iut1on! or n c t a t a l.l..:!!.!!.!!!s UST oF "'!!!Y AT _.U. cx:N' T A. Drive JOI -z _, .... a; 3uy 1 -r {1975 or """er) .car?. JJ -z _, ..... V99 c. Antf.;ol1uC1on LegiSlation! 12 -z _, ..... v.ao D. public trsnspo.... ufon to workl Jl -z -J ..... r'/0 I E. the nuoaer of vehicles In your f4lli lyl -z ..:. VttiZ.. F. close.-ta .,an :.'le next t1ml! JS-1 -z -; ..... "'IO'l G. Join a C:lr or van J6-l .z J ..... ,.,.-! H; for shcrt trfps!. 37. -z ! [, Cc""lafn ::0 SO!I'I! authority or aqency about afr palluUanl JS-1 -z ..... -; 15. How famfl!ar wauld you say you wore wfth tho Caforado leqfslatfan 1"'!7ardfnq air 'ollution c::n:.-o1? .;auld you s.J.y ver-1 !'Jl:Tiliar. ra=tHar, or not at all far.ri 1 far? VI I. 15. 'lery famf 11 ar 39-1 .-2 "107 :to: at a.ll f,!,':l(lfar .-.3 The,., ls. cvrTOntly IO?ishtfan .. hfc.'l will requiro emissions and .... fntenance. Co you kn"' nen :his program is upocted to bo stJrted? (IF YES, AS;:::! -:.11on is Vlt>ll 1 5<1? ;I) n.t; starts I'OIIl1:. ____ j l. ,,., J(;IC'rl .-<:oo IS.. (!i' ":10" X.'IC'J" q.l6 '\SK:) DO tn1n tn1S ltf]ts lctt1on .,.,,j :u.e fn ,est one to Yt!Jr"S new, or :."a" t""'o r.ewl Cne :o =-""o ;'ears Two from now CQ:l' T l(liC'rl .Jl VIOf .-z. . 17. .Under tho loqhlatlcn, do you that lntpect1an will bo done at anv t:anr:e ""':." :."e prnger equipment or that it muse only by C:!r!1 t:"'!t!':anics 1 lolty 91rogo Certi ''"c" an f c IS. Far 1981 and n""tr :ll, fail the emhsfant tost1nq, will be a requi t.'lat "'Pi I"< Ndo. Hcwever, thero .,; II bo an uc:or limn s to l""unt '' o:onoy that an indfvidual'will have :."'e:ir '!lr .,; to e::Jblhhed st.lndards. Co you knew nt u::er li12it ill (IF IES, ASK:) \lhot Is that? ... 1 Vllt/J .j V/11 m ?:"I+ YH. ll"it h:i "',..._-... -99?9 91

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19. 20. 18a. 9 (IF OR 0.18 .\SK: ) Co tOU :.,11\ic. :.,,H, a-'"l.e dt:1)1JI'\! of for emhS;CM reaa il"l al:owed by law vill be uncer S50.00, SICO.OO, Si5C.OO. or sroo.oo7 Vll:z. sso .00 . S1C0.00 . -z s';a .ao ... :i4GO.OO 0011 Kll(]ol 5 Frarn 11hat you kJiav about ll!']!slatfan, do you 110tar vehicle enrission eanti'OI u approved by the vill air V/13 pollution! Yes. .so-t . -z co::: :-::::-J . -1 Now we have just a ff!'ol :10re questions about you and your flnrily. Could you tell ""'h"" ::oany years of fo,....l edueat1on you gat a VII o/ thance ta complete! (00 nrrr READ LIST. ) RECORD I OF YV.RS: ____ TIIEll COCE: o a sOXll.). 9 11 (SCM! Sc-t:O\.) 12 Oi!Gi 50<001. 12 ('T'Ec-NIO.U!l :S:t-:SS), ll 15 (SCM; 16 (CCLL.ECZ :;:) 17 NO .:ll5'oiElt. 1 -z _, ::! -7 .a v11:r Zl. Da you currently """ or rent your hamel "'" home. .52 Z2. 'olhat is Ule of yeur residence! Z!Pc:t:: yl!<. horn!. -z tiO V117 %3. Are you r1!']1S:ered to vote In this areal Slr.'l :1o. . -2 110 SliER 3 %4, Hav would you cluslfy your ar ethnic backgi'O..,d7 (00 rtOT c.m:;QRIES ALOUD.) ""' ANCt.C. SL..IOC, VII !1 eE!tlc:.:I'I/HISPAN!C. on.ER (Si'EC1fY:: ______ _, N
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!() ZSc. And '. .. t;= ;-:; C.lr.'-:'r"'JC!.;. S-t ZSo. (IF GO TO 'JDRX !T "TlnJCX" IN O .ZSD, ASX:] Co yoy usual tv r1ce .. ore ov 'OUI""Se 1 r, w1 en tnothe.-penon t" cr a friend. or ao .:fOU aelong to .a !::l,..,col or I l ,J .-:. .-; IN] By self . S-t 'J; th f:aari ly o.fr; end -2 or 'lanpaal l zs. 'ohtle ltvtnq tn Colorado, nave you ever tJktn to and frOifl your art! Z7. Otffe.,nt have reasons for net tlklnCJ . buses to 411d fl'GIII wart an d basts. I w
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-11 :!0. How many cllllclren under "Je of 18 cumntly lfve your household? I V/3../ 1)-1&ll. Countin? you,..elf, liow Nny licensed drivers there fn your h ousehold? VI.J.:.-JZ. JJ. 17ta-Jh. [n total how many 11111tor vel!icles are re-;htered by your hou/IJ7 :l-22-Could you tell 11111 your cu...,nt aqel .lGE ... (IF ASX:) ZJ-z._ Wau1G 1 c. C.!1Qf (?E.1D 1 l zo !1 Z! .lnd lnt:l whfc.'r of tlte following g,..,uos don your total household inc""" befOI"'!! tues fall?. .\liD Z5 Z9 JS 39 :o-u .:s 50 -54 55 ':g .so 63 !nd over ... :. Y'l.3'1 -2: -2: -.r. -:r. r.: .... : -s; s; s; 6i -9! Under SS ,COO ss.ooo$7,!99 S7 .:oo !10,000 Si4,S99. SlS,CCO ;;; ,S!!9. szo .ooo -sz: ,399. S2S.COO !L' ,:99. S:lO ,000 !1! S3S 000 nd over UO AUS:I(il., , 25-1 -2 -3 ..... -; -.s -7 -'1 -o 34. And what fs your general relfqious prefe""cd Vt-lo ..._.._'T 25 ... -z Jl:'41SH ; ,) l..:l.S,/. "C.'V
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APPENDIXB 1985 DENVER AIR QUALITY SURVEY INSTRUMENT

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APPENDIX B l. vould like to read you a numberof concerns that are frequently problems for people living in HF.TROPOT.ITAN area. For each of the in your arc:n. The follovinll, I'd like you ta.tell me if you think it's a "very a "l!i!:.!!. problem" or problem .:!.5. !.!1.'' for people first one is A. n. c. D. E F. Inflation. Air Pollution. Crime. Energy Shortages Unemployment Problems in getting housing G. Problema in Public Education H. Inadequate Services .. far the Elderly I. TraCfic Congestion VERY SERIOUS 7-l 8-1 9-l 10-l ll-1 12-1 13-1 14-l 15-l FAIRI.Y SERIOUS -2 -2 -2 -2 -2 -2 -2 -2 -2 NOT AT ALL -J -J -J -3 -J -3 -3 -J -J DON'T KNOW -4 -4 -4 -4 -4 -4 -4 -4 For most o! the remainder of the survey, "e vi 11 be asking questions "bout one particular problem Cor ttic people in the Denver Area and that Is the problem of.!.!..!:. pollution. 2. Would you say that air pollution is a verv problem, a fairly problem, or problem at all in the immediate neighborhood live? Very serious l6-l Fairly serious.... -2 Not at all serious -J DON'T KNOW -4 3. And how a problem would you say th"t air pollution is l.n your commun.!tv? Yould you sny !!.!,serious, fntrly sertou,;, .!ll Very serious .. 17-1 Fairly serious . -2 Not at all serious -J DON'T KNOW . -4 3a. Durinr, the last several years, vauld you say the the problem of air pollution in ecnernl hns or st01yed j 2 More serious .. l8-l Less serious .. -2 Stayed about the same -3 DON'T KNOW . -4 96 ....

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4. Now I would like to read you a list of items that are reiated to pollution. vould like you to tell me whether you are "very familLn", ":tomcvhat familiar", or "not famili.1r .!..5. c4ch one. The first one is VERY SOHEWIIAT NOT AT ALL FAMILIAR FAMILIAR FAMILIAR OR. DON'T KNOW A. Catalytic Converter 19-1 -2 -3 B. Photochemical Oxidants 20-1 -2 c. Air Pollution Legislation 21-1 -2 -3 D. Vehicle Emission Inspection and Haintenance 22-1 -2 -3 E. Temperature Inversion., . 23-1 -2 -3 F. High-Altitude Tuning 24-1 -2 -3 .c. Hydrocarbon Emissions 25-1 -2 -3 H. State Implementation Plan 26 I. Carbon Monoxide 27 J. Better Air' Campaign (i.e., Voluntary No-drive day program) 28 K. D-iesel Smoke Control Legislation 29-1 -3 L. Wood burning restriction legislation 30-1 -3 5. When the Air Pollution Index WHICII IS REPORTED ON TELEVISION AND RADIO is high, do you ever change plans for the day? For example, do you ALWAYS, SOHETUIES, OR NEVER ALWAYS SOMETIMES ,NEVER DON'T KNOW A. Observe your preossigned voluntary no-drive day ...... 31-r -3 -4 D. Qrive Less 32-l -3 -4. c. Leave your car at home even when it ta not your pre assigned .no drive day ................ 33 -2 -3 -4 D. Limlt outdoor 3etivities? 34 -2 -J -4 N/R -4 -4 -4 -4 -4 "'4 -4 -4 -4 6. Different people are aware oC different problems having to do with pollution. \lould you say that you are "oc:casionally or "frequent of of the following problems as you go about your daily activities! The first one is ... Never Occasionally Frequently Don't Aware Avare Aware Knov A. Hazy Conditions ............ 35 -2 -3 -4 B. Bnd Smells in the Air ....... 36-1 -2 -3 -4 c. Irritation in the Eyes 37-1 -2 -3 -4 D. Sceinr, a "brown cloud" ...... 38-1 -2 -3 -4 E, !lose and Throat Irriutton 39 -2 -3 -4 F. Not Being Able to See the Mountains Clearly 40-1 -2 -4 4 97

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6g. In terms of any of the'problems associated with air pollution that we have just ment io-1d, do you think you have become more aware, lese aware, or have of these problems Kore aware 41-1 Lese aware. -2 About the snme awareness. -3 DON'T KNOW. -4 7. How much have you, yourself, been affected by air pollution! .! creat .!!.!.!.!. .!!17 ASK Q'S 7A/B/C SKIP TO Q. 8 A g.-eat deal. Somewhat Not at all. DON'T KNOW. (IF "A GREAT DEAL" 011. "SOHE'WIIAT:' IN Q 7, ASK) Would you say 42-1 -3 -J -4 7a. llow many dayo in .an average month would you say you are af!ected by air pollution? I OF DAYS 4l 44CAN'T ESTIMATE 99 7b would like to ask you if you are affected by air pollution in of the se.1sona : First, are you, personally, affected by air pollution in the (READ LIST OF SF.ASONS)? (READ EAGII & RECORD.) .ill. 1. Spring? 45-1 2. Summer? 46-1 3. Fall? 47-1 4. Winter? 48-1 7c. Over the pnst several years, do you think that you,youraelf, been nffected more, le9s1 or Dbout the same by air pollution? --------Ko'Ce Leas About the same DON'T KNOW B. Would you say that other members of your household have been affected by alr pollution .! great somcvhat 1 or :!.!!! .!!2 -2 -2 -2 -2 DON'T KNOW -J -3 -3 -l 49-1 -2 -3 -4 A great deal 50-1 Somewhat -2 Not at all -J DON'T KNOW NOT APPLICABLE (Respondent lives alone) -5 98

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9. Some people think that air pollution has harmful effects on people's' health, while others do not. Do you think that .,{r pollution's effect on health' h a great deal, or none at a 11 for ..... (READ EACII AIID RECORD) A. Elderly people D. Chtldren? c. People with respiratory ailments? D. You and your family? E. People vith heart disease? F. Everyone? A CREAT DE<\L 51 52 53 54 55 56 SOH EFFECT -2 -z -2 -z -z NONE AT ALL -3 -3 -3 -3 DON'T KNOW -4 -4 -4 10. I am going to read you a list of poosible cauaea of.air pollution. For each one of these, I'd like you to tell me whether. you think it 'is a "major cause" of air. pollution, a cauae" of air pollution, or ll2!. .!.5. .21!."7 A. Fire places? B. Exhaust from automobiles? c. Exhaust from buses and trucks?. D. Trains (dust, exhaust, etc.)?' E. Exhaust from jet airplanes? F. Industries and factories? MAJOR CAUSE 57 58-l 59 60 61 62 t!UIOR CAUSE -2 -2 -2 !lOT A CAUSE -3 -3 -3 -3 DON'T KNOW -4 -4 -4 -4 -4 11. I would like to read you a aeries of items which different people feel are more or less important to the. For each st.,tement, I would like you to tell me if it is very important, somcvhnt important, or nOt very imoortant to you. VERY SOHEiliiAT NOT VERY DON'T IMPORTANT UIPORTANT IMPORTANT KNOW A. Living in a ca.-unity that offers all the services you need? 63 II. Driving a car that makes you feel success fu 1?. c. Opportunities for industry to grow and develop freely?. 65 -2 -4 D. A car thnt ""'kea you feel proud? -3 E. Living in a community that offers lots of cultural, recreational, and educational opportunities? 67 2 -4 F. Continued procreas of science and technology!. . 68 -3 -4 c. Llving ln a community that is independent and 69 -3 -4 II. Opportunities for more jobs? 70 I. Living in a nice neighborhood?. 71 -2 -3 -4 J. Living ln a nice house or ap:lrtment or other type of home? 72 : 1 -3 -4 K. Driving a car that makes you feel imporunt? 73 -4 99

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12. If you had opportunities choose? to choose between living in a area where there and living in a area where the !1r!! clean, l2a. If you had to choose betweenhaving the convenient and quickest form "of transportation and living in an area whcre.the air is clean, which would you choose? 12b. If you had to choooe between encouraging the growth of American induotry and living" in an area where air is which would 12c. And, if you had to choooe between living in a community that is growing and living in a community where the air is clean, which would you choose? Job opportunities Air is clean. DON'T KNOll Convenient/quickeot tranoportation Air h clean DON'T KNOll Encouraging American industry . Air is clean DON'T KNOll Community growing. Air is clean DON'T KNOll CC 78,79 BLANK are lots of which would 74-1 -2 -J 75-1 -2 -3 76-1 -2 -3 77-l -2 -3 cc 80 1 7 100 you

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13. As you may know, severlll ycnrs ago the Federal Government enacted legis l.lt ion which established muximum levels of air pollution. tlethods of air pollution were left to the Stutc governments. St3te plans nov developed Cor Colorndo include a number of strategies for dealing wtth "3ir. pollution. For of the following strlltcgics under considerati-on, I would like you to tell me whether you "re "very much in favor", 11Same:vhat in f.avor111 11omewhat opposed", or "very much oppocd" to tt. The first one 5TRATEr.tES). A. A program of vehicle emission Inspection and Adjustment . B. Trip planning asaiatance C. Mandatory tune-ops D. Car pool matching aaaiatance ; E. Voluntllry no-drive days F. Conversion of fleets to nntural gns, prop,.ne or methane C. Prohibit use of wood on pollution alert days H. Caaoline ractoning I. Restrict inclusion of fireplaces and other vood burners in nev construction houses. J. Require car dealers to verify th"t c"rs for sale have passed the emissions test K. Hand,.tory noa-drive days L. Employer incentives for ear/vnn pooling H. Require very high parking fees in high pollution .llre.lls N. Retrofit or "add-on" vehicle emission controls for older C.llrs without them 0. Increased sales tax to support public transportation .... FAVOR VERY SOHEMUCII. WHAT 5-l -2 6-1 -z -2 8-1 -z 9-1 -2 -2 11-1 -2 12-1 -2 13-1 -2 14-1 -2 15-1 -2 16-1 -2 17-1 -2 18-1 -2 19-1 -2 P. More in work hours {e.g., 4-day week) 20-1 -2 Q. Propc.rty tax to support public transportation R. Hare b"icyclc paths and bicycle parking facilities S. Gasoline tax to support public T. Better traffic flow control U. }lore parknride lot a ,,,, v A ltcht rail eystem in the Oenvc:r lletropolitan area W. Double gas prices during the high air pollution months (November-January) X. Establish strict performance standards for fireplaces and other vood burners Y. Closing drive through eatabllshmenta on pollution alert days 8 21-1 -2 22-1 -2 23-1 -2 24-1 -2 25 26-1 -2 27-1 -2 28-1 -2 29-1 -2 OPPOSE SOliE-VERY DON'T WIIAT MUCII KNOW -J -4 -5 -3 -4 -5 -3 -4 -5 -3 -4 -s -3 -4 -5 -3 -4 -5 -3 -4 -3 -4 -5 -3 -4 -5 -3 -4 -s -3 -4 -s -3 -4 -s -3 -4 -s -3 -4 -so. -J -4 -s -J -4 -s -3 -4 -5 -3 -4 -5 -J -4 -5 -3 -4 -5 -3 -4 -s -3 -4 -s -3 -4 -s -3 -4 -s -3 -4 -s 101

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. 14. There are a number of ways that individuals can help reduce air pollution in their immediate areas. t would like to ask you how willing you would be to try each of the following. Would you be very willing, somewhat willin!l, or 1!..2i!S. ill willinG to !WAYS) to help reduce air pollution? VERY SO!mi'IIAT NOT AT AL!-DON'T WILL INC Wii.LINC WILLINC KNOW A. Drive less? 30-1 -2 -4 B. Buy a nev (1980 or never) car? 31-l -2 -3 -4 c. Support Anti-Pollution Legislation? 32-1 -2 -3 -4 D. Ride public transportation to work 33-1 -2 -J -4 E. Reduce the number of vehicles in your family 34-1 -2 -3 -4 F. Move: closer to work the next time you move JSl -2 -3 -4 c. Jain a car or van pool 36-l -2 -3 -4 H. Walk/bike for short trips -1 -2 -3 -4 I. Complain to some: authority or agency about air pollution 38-1 -2 -3 -4 J. Comply with the Detter Air Campaign's voluntary no-drive days 39-1 -2 -3 -4 K. Canccll or postpone trips on hi&h pollution days 40-i -2 -3 -4 lS. How familiar would you say you were with the Better Air. Campaign, i.e., the Voluntary No-Drive Program. Would you say very familiar, somewhat familiar, or not at all familiar? Very familiar 41-1 Somewhat familiar -2 Not at all familiar -3 (IF 3, SKIP TO 19i 16. Do you feel this pro&ram has made you more aware of the need for alternative transportation because of the pollution problem? Yes 42-1 No -2 Don't Knov -3 16a. Haw about the health effects of pollution. Do you think the BETTER AIR CAHPAICN has made your more aware of the health effects of Air pollution! Yeo No Don t Knov 43 -1 -2 -3 l6b. Finnlly, about haw many days were you able to your pre-assigned no drive days? Would you say you were able to observe it about every time (i.e., 7-8 days), 3-6 day1, one or days, or not at 1ll? About 7-8 days 44-1 About 3-6 days . -2 About 1 days -3 None No response ...... -5 17. How successful do you feel the BETTER AIR CAHPAtCN (i.e., the voluntary no-drive program) has been over the post several II!Onths? Do you think. it has been Succeuful Somewhat Nat Successful 18. Do you think thi prosran oC voluntary no-drive dGyl 1hould bo continued! .45-1 -2 -3 Yes 46-1 No -2 Don't Knov -3 CC 4 7-48 BLANK 102

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There is eurrently legislation whieh requires emissions 3nd maintenonee. We hove two questions about thia program. 19a. From what you know about thia legislation, do you feel the vehicle (emiaa{ona eontrol) inspeetion program as approved by the legislature has reduced air pollution (READ LIST) A Great Deal Some Very Little Not ,Jt all Don't Xnow .49-1 -2 -J -4 -5 19b. Under the current legislation, inspection may be done at any garage with the proper equipment and a certified mechanic. Would you prefer that inspections be continued as they are riow or would you prefer that they be done centralized testing centers which would not do repairs? Continued as is "Inspection only No Preference Don't ltnov centera .50-1 -2 -J -4 20. Nov we have just a fev more questions about you and your family. Could you tell me how years of formal education you got a chance to compiete? ((DO NOT READ ill!) RECORD I OF-YEARS-------niEN CODE 21. Do you eurrently own or rent your home? 0 (Grade School) . 9 (Some lllgh School) 12 (High Sehool Graduate) 12+ (Technical/Business). 13 (Some College). 16 (College Graduate) 17+ (Advanced Oegree) NO AIISWER Ovn Home Rent Home. Other Jlo Answer 2la. Some people prefer to ovn their home. Othera vould prefer to rent. Still others have no real preference. IN YOUR CASE, would your prefer to own or rent or doesn't any difference to you? Prefer to Ovn No Preference Prefer to Rent No Ansver 51-1 -2 -3 -4. -5 -6 -7 -8 52-l -2 -3 -4 53-1 -2 -3 -4 22. Now, some questions about the likelihood your houaehold vill move to another residence, now or in the future. 22a. First, hov likely 11 it that you vill leave your present home? Very llkely Soooevhat likely Not likely Definitely not. .56-1 -2 -3 -4 22b. Second, hov likely i1 it that you vill move within the next several yeora? Very likely 55 Samevhat likely. Not likely Definitely not 22c. Third, hov likely is it that you will move vithin the next tvelve Very likely Somewhat likely Not likely Definitely not 10 montha ? .54-1 -2 -3 -4 103

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57 BLANK 23. Are you registered to vote in this area? Yes 58-1 No -2 No ansver -3 24, llnw vould you clauify yourrocial or ethnic background? (DO NOT READ RESPONSE CATEGORIES .ALOUD) White/Caucasian/Anglo .. Black Ch-icano/Mexican American/Hispanic Other (Specify: ) NO ANSWER , 25. Are you presently employed on a full-time basts outside your home? (ASKQ'S 2 5A-28 ONLY IF EMPLOYED) ASK Q'S 25-A-28 SKIP TO Q.29 25a. Where is your place located? Yes No. DON'T KNOW. STREET NUMBER: __________ STREET NAME----------------------------CITY OR TOWN: ZIP CODE 25b. llov many miles is it from your home to work,. one vay? # of miles one va.y 25c; And vhat is your job? 697071-72-cc 73 -79 ARE BLANK cc 80 2 START CARD 3 26a. Do you usui1lly get to vork by c 6lr or truck, or by some other mC!ans? (IF OTIIER, ASK:) llov is that? ASK Q 26b Car/Truck 59-1 -2 -3 -4 -s 60-1 -2 -3 5-l /"Bus -2 tMotorcycle. -3 SKIP TO Q, 29 Bicycle -4 Walk. -5 (OTHER (WRITE IN) -6 NO ANSWER -7 2(,1,: (IF CO TO WOI\1( BY "CAR" OR "TRUCK" !N ().25D, A5Ki) Do you usu.,lly ride to. work by youroclC, vith another p_erson in your !.!!!!.!..!.:!. friend,. or do you .belonr, to a cnrpool or vonpool? ny self. 6-1 With family or friend, -2 Carpool or vanpool -3 104

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27. Different people diCCorcnt for not to nnd from their "''u k on .l_!.:..LP11nr b;uds. I "'ould llkc'to yau $icvcrnl JlO.Dnlhlc rc.uton& .1nrl you toll me whether or not they o1pply to you, (RF.AD EACII AIID RF.CORD) YES, NO, API'LIES TO DOf.SN'T DON'T RI:SI'OIIDEIIT Al'l'I.Y A. nuscs don't go ncar enough to my hon1c or plo1CO oC WOl"k. 7-1 -2 II. RuG fichcdulcs don't coinctcJc with my woa;k cchc:dulc 8-1 -2 c I llCCII Y c01r Lhc d;ay In noy work 9-1 -2 II. Uuncs Oll'l! ton uncom{urt:ablc: 10-1 -2 t:. 1 ride with onotlu:r driver. ll-1 -2 F lt Is diCClcult co ecc Informacion .1bouc bus sched'!lcs 12-1 -2 28. While living In Colorado, hnve you ever gone to and from work In a car ponl--onc in which severo! pecplc share o ridc7 Yes 29. Whnc is your current m<>rlt<>l 1Cotus7 No. Horrled Single. Sepnraced Divorced. llldowed NO ANSWER -J -) -) -J -J -J or van IJ-1 -2 14-1 -2 -J -4 -5 -6 JO. llow mony children under the age of 18 currently live in your household? 0 ls:-TI'Jl. Couuclng yourself, how many licensed drivers are there In your household? D Jl.,, In ,coca!, how many motor vehicles nrc reg_lstered by your household? (IF IIOIIE, SKII' TO Q. J2) J11o. !low many of these vehicles .He chnn 1975? J2. Could you tell mu your current ngo? (II' REFUSED, ASK.) Would It ber (READ 6. RF.CORI>.) Undo r 20 21 21, 25 29 JO )4 J5 )9 40 '' 45 -4 9 50 54 55 59 60 64 65 and over. REFUSF.D 177Ta'-n 19=2ii'-6 -19 -22 -27 -)2 -J7 -q -4 7 -52 -57 -62 -67 -99 )J. And Into \lhlch of the following groups does your totd household jncnmo beCore f<>ll? EACH RECORD. ) J4. And is your rellclou& preference.? Under $5,000 $5,000-$7,1o99 $7,500-$9,999 $10,000 -$14,999 $15,000 $19,999 $20,000-$24,999 $25,000 $29,999 $30,000-$)4,999 $35,000 and over 110 -AIISIJF.R Protostnnt Jewish L.D.S./Hormon Other (SpocHyl ____ None No A11s"'cr JS. ho1o1 onnny yc"rs h.we you lived in Colorado? 27-28-12 25-l -2 -) -I, -5 -6 -7 -a -9 -o 26-1 -2 -.J -4 -5 -6 -7 1.05