AN EXPLORATION OF MODALITY
IN H. PINTER’S THE DUMB WAITER
ÉLIDA LEÓN*
Uni e sidad Pedagógica Expe imen al Libe ado , Ca acas, Venezuela
ABSTRACT
On he basis o a linguis ic app oach o he s udy o li e a u e, his pape
in ends o p esen an analysis o he cha ac e s and hei ela ionship in Ha old
Pin e ’s The Dumb Wai e . To do his, concep s and ideas abou he sys em o
Modali y as p esen ed by Simpson (1993) and Fai clough (1994), a e p esen -
ed. Following a p oposed amewo k, he cha ac e s’ linguis ic choices a e
s udied so as o asce ain he ex en o which hei assump ions and pe spec-
i es di e . The cha ac e s’ a i udes owa ds each o he as well as owa ds he
e en s a e examined. Ben, he senio pa ne , appa en ly secu e, and Gus,
appa en ly unce ain, ake he same ype o ole a he end o he play: bo h
o hem become ic ims o an unseen and non-speaking pa icipan . I can be
no iced ha bo h Ben and Gus’s linguis ic choices in e ms o modali y change
as e en s de elop. In sho , he linguis ic model o modali y is p o ed o be
use ul o he pu pose o unco e ing he de ices ha Pin e uses.
KEY WORDS
Modali y, ela ional modali y, exp essi e modali y, deon ic modali y,
boulomaic modali y, epis emic modali y, pe cep ion modali y**.
RESUMEN
Con base en un en oque lingüís ico pa a el es udio de la li e a u a, es e
abajo plan ea un análisis de los pe sonajes y sus elaciones en The Dumb
Wai e . Con es e in, se p esen an concep os e ideas ace ca del sis ema de
modalidad p opues o po Simpson (1993) y Fai clough (1994). Siguiendo el
modelo p opues o, se es udian las elecciones lingüís icas de los pe sonajes
CAUCE, Re is a de Filología y su Didác ica, nº 24, 2001 / págs. 259-268 259
* Élida León has a Mas e ’s Deg ee in he Teaching o Li e a u e in English as
a Fo eign Language. Cu en ly eaches a he Uni e sidad Pedagógica Expe imen al Lib-
e ado , whe e she eaches Sys emic Func ional G amma , a unde g adua e le el, and
cou ses on S ylis ics a g adua e le el. I is in he ield o S ylis ics and he eaching o
Li e a u e in EFL, ha she has ocused he la es esea ch.
** Los é minos lingüís icos u ilizados son ampliamen e conocidos en Inglés. Sin
emba go no es amos comple amen e segu os de su uso en Español y F ancés, po lo
que la designación de los mismos pod ía no se del odo ap opiada.
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260
pa a de e mina el g ado en que di ie en sus p esunciones y pe spec i as. Se
examinan ambién las ac i udes de un pe sonaje hacia o o, así como sus ac i-
udes hacia los hechos. Ben, el supe io , apa en emen e segu o, y Gus, apa-
en emen e insegu o, oman el mismo ipo de papel al inal de la ob a: ambos
se con ie en en íc imas de un pa icipan e in isible y mudo pa a la audien-
cia. Puede obse a se que, en é minos de modalidad, las elecciones lingüís-
icas de ambos pe sonajes a ían a medida que se desa ollan los hechos. El
modelo lingüís ico de modalidad ha esul ado una he amien a ú il pa a el p o-
pósi o de descub i los ecu sos lingüís icos y li e a ios usados po Pin e en
The Dumb Wai e .
PALABRAS CLAVE
Modalidad, modalidad elacional, modalidad exp esi a, modalidad deón-
ica, modalidad bulomaica, modalidad epis émica, modalidad de pe cepción.
RÉSUMÉ
Basé su une app oche linguis ique pou l’é ude de la li é a u e, ce a-
ail ai une analyse des pe sonnages e de leu s éla ions dans The Dumb
Wai e . Pou ce ai e, on p ésen e des concep s e des idées conce nan le sys-
ème de modali é p oposé pa Simpson (1993) e Fai clough (1994). D’ap ès
le modèle p oposé, on é udie les choix linguis iques des pe sonnages a in de
dé e mine jusqu’à quel poin leu s p ésupposés e leu s pe spec i es son
di é en s. Égalemen , on é alue les ac i udes d’un pe sonnage en e s l’au e,
ainsi que leu s a i udes en e s les ai s. Ben, le collègue supé ieu , appa em-
men ès sû , e Gus, qui semble pas sû , p ennen le même ôle à la in dans
l’oeu e; ous les deux on de eni des ic imes d’un pa icipan in isible e
mue pou le publique. On peu oi que, en e mes de modali é, les choix
linguis iques des deux pe sonnages a ien au u e à mesu e que les ai s se
dé eloppen . Le modèle linguis ique de modali é es de enu un ou il u il pou
décou i les essou ces linguis iques e li é ai es u ilisés pa Pin e dans The
Dumb Wai e .
MOTS-CLÉ
Modali é, modali é éla ionnelle, modali é exp essi e, modali é déon ique,
modali é boulomaique, modali é épis émique.
Recen ends in he eaching o English as a Fo eign Language
(EFL) emphasize he impo ance o au hen ic ma e ials o he de el-
opmen o language skills and compe ence. Su p isingly enough, he
endency o keep li e a y ex s ou o he game s ill pe sis s. Mos EFL
eache s (a leas in ou coun y) a e, as McRae (1991) pu s i , “guil y
o he es ic i e schema iza ion o language lea ning, which is dange -
ously close o he ‘ ollow- he-cou se-book’ men ali y so o en p e alen
among unad en u ous eache s” (p. 23). Fo he sake o space, he mul-
AN EXPLORATION OF MODALITY IN H. PINTER’S THE DUMB WAITER
261
iple alues and bene i s o Li e a u e in EFL eaching and lea ning will
no be exhaus i ely explained he e. Ins ead, a summa y o some o he
mos ele an s a emen s will be p esen ed.
Ca e (1997) a gues ha “in he eaching o English as a second
o o eign language oppo uni ies should be sough o mo e ex ensi e
and in eg a ed s udy o language and li e a u e han is commonly he
case a p esen ” (p. 171). Li e a u e p o ides ex s which a e au hen ic
ma e ials and he e o e oppo uni ies o he s uden s o expe ience lan-
guage and cul u e. Exposu e o eal language will no only encou age
de elopmen o language skills, bu also he de elopmen o a eeling
o language as he s uden is guided in he comp ehension and enjoy-
men o wha he eads, which in u n migh in luence in he de elop-
men o eading habi s.
Dealing wi h li e a u e may emb ace di e en objec i es. Ca e and
Long (1992) s a e hese aims in e ms o : (a) he cul u al model; (b) he
language model; and (c) he pe sonal g ow h model. Fo he pu pose
o he p esen pape he ocus will be on he language model. I is ou
belie ha “li e a u e is made om language and ha he mo e s uden s
can ead in and h ough he language he be e able hey will be o
come o e ms wi h a li e a y ex as li e a u e (p. 2).
Expe s in he ield, like Ca e , McRae, Simpson, ha e p esen ed a
a ie y o models by means o which di e en aspec s o language in
li e a u e can be explo ed and de eloped in a consis en and sys em-
a ic way, which migh be o pa icula conce n o he EFL lea ne as i
is a de ice by which he unde s anding o ela i ely complex ex s can
be achie ed. Among his a ie y o models, an in e es ing s udy o modal-
i y, a i udinal ea u es o language, was ca ied ou by Simpson (1993).
Taking his ideas as a s a ing poin , we a emp o conside he possi-
bili ies o explo ing modali y in Ha old Pin e ’s “The Dumb Wai e ”. To
do so, some basic ideas abou modali y as a sys em wi hin he in e -
pe sonal unc ion o language, will be b ie ly p esen ed.
Acco ding o Simpson (1993) “modali y e e s b oadly o he speak-
e ’s a i ude owa ds, o opinion abou , he u h o a p oposi ion
exp essed by a sen ence. I also ex ends o hei a i ude owa ds he
si ua ion o e en desc ibed by a sen ence” (p. 47). Simpson iden i ies
ou modal sys ems:
•Deon ic Sys em: exp essing pe mission, obliga ion, equi emen .
•Boulomaic Sys em: exp essions o desi e.
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•Epis emic Sys em: speake ’s con idence, o lack o i , in he u h
o he p oposi ion.
•Pe cep ion Sys em (sub-sys em o epis emic modali y): some e -
e ence o human pe cep ion, no mally isual.
Also, Fai clough (1994) claims ha “modali y is o do wi h speak-
e o w i e au ho i y” (p. 126). He iden i ies wo dimensions:
•Rela ional modali y: au ho i y o one pa icipan in ela ion o
o he s.
•Exp essi e modali y: au ho i y ega ding he u h o p obabili y
o an exp ession o eali y.
I is wo h poin ing ou McCa hy’s (1997) indica ion ha modali y
is o en hough o as he p o ince o he closed class o modal e bs
(mus , can, will, may, e c.) … bu a la ge numbe o ‘lexical’ wo ds
(nouns, e bs, adjec i es and ad e bs) ca y he same o simila mean-
ings o he modal e bs” (p. 85).
Acco ding o him, “all hese wo ds ca y impo an in o ma ion [and]
a e conce ned wi h asse ion, en a i eness, commi men , de achmen
and o he c ucial aspec s o in e pe sonal meaning” (p. 85).
On he basis o hese assump ions, we can a i m ha modali y,
h ough exp essions o condi ion, obliga ion, possibili y and so on,
migh help us asce ain he ype o ela ionship be ween cha ac e s
depic ed by he au ho , hei deg ee o ce ain y o unce ain y, hei
deg ee o powe o con ol o e o he cha ac e s and e en s.
Fo he pu pose o ou explo a ion o modali y in “The Dumb Wai -
e ” we will p esen a amewo k as shown below.
As illus a ed in he schema, we a e o conside Modali y a sys em
whose wo e ms a e in u n sys ems ha consis o o he e ms. These
e ms, howe e , will no be ea ed as embedded sys ems. Ins ead, hey
will be hough o as scales, since each o hem ep esen s a con inuum
om low deg ee o high deg ee. I should also be bo ne in mind ha
his model is use ul o desc ibe modalised p oposi ions. Ca ego ical asse -
ions a e unmodalised; ha is o say, hey a e he exp ession o he
basic p oposi ion wi h no explici use o modal ope a o s. No ice, o
example They a e he e (unmodalised) as di e en om They mus be
he e (modalised). Wi h hese ideas in mind, we will p oceed o explo e
Pin e ’s “The Dumb Wai e ”.
“The Dumb Wai e ” is a one-ac play ha easily lends i sel o an
analysis o in e pe sonal ela ionships. The cha ac e s, wo hi men, wai
AN EXPLORATION OF MODALITY IN H. PINTER’S THE DUMB WAITER
263
Rela ional Modali y
Exp essi e Modali y
High Deg ee
Low Deg ee
Desi e
Medium Deg eeBoulomaic
Re usal
High Deg ee
Low Deg ee
Requi emen
Medium Deg eeDeon ic
Pe mission
High Deg ee
Low Deg ee
Ce ain y
Medium Deg ee
Epis emic/
Pe cep ion
Unce ain y
in he basemen o a es au an o he inal ins uc ions o ca y ou a
con ac killing. The play becomes especially sui able o a s udy o
modali y since unce ain y plays an impo an ole in he de elopmen
o he e en s.
Fo a s a , unce ain y is con eyed in he i le. As s a ed by Billing-
on (1996),
he punning i le ca ies se e al laye s o meaning. I ob iously e e s
o he an ique se ing-ha ch ha despa ches he mos g o esque o de s
o ood o hese bicke ing gunmen, bu i also applies o Gus who,
oubled by he na u e o he mission, ails o ealise he is he chosen
a ge ; o indeed o Ben who, by his o al obedience o a highe au ho -
i y ha o ces him o elimina e his pa ne , exposes his own ulne a-
bili y (p. 89).
We migh e en conside he possibili y o a e e ence o a hi d
cha ac e , no p esen on he s age, who deli e s he o de s jus as any
wai e would do and who migh in ac ep esen he “highe au ho i-
y” men ioned by Billing on. A he end o he play, i is his in isible
cha ac e ha shows powe and con ol no only o e he e en s bu
also o e Ben. Billing on also sugges s ha he play is “abou he
dynamics o powe and he na u e o pa ne ship. Ben and Gus a e
bo h ic ims o some unseen au ho i y and a su oga e ma ied couple

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qua elling, es ing, alking pas each o he and anking abou old imes”
(p. 90).
Based on he abo e s a emen ha unce ain y plays an impo an
ole h oughou he play, he eade migh assume ha we will be deal-
ing mos ly wi h he scale o epis emic modali y when s udying he
na u e o Ben and Gus’s ela ionship. Ne e heless, e idence o all he
e ms and scales o he p oposed amewo k will be shown du ing ou
explo a ion.
A i s eading o gene al meaning leads he eade ’s in ui ion o
iden i y wo di e en ypes o cha ac e in he play. The eade migh
easily desc ibe Ben as a powe ul pa icipan who ies o con ol and
cons ain he ac ions o a less powe ul pa icipan , Gus. Ine i ably, he
eade will be emp ed o es ablish some kind o compa ison be ween
Ben and Gus in e ms o supe io i y and/o au ho i y. I sounds, o
looks, as i he wo pa icipan s sha ed an ideology (unde s anding ide-
ology om Fai clough’s (1994) pe spec i e: “‘common-sense’ assump-
ions which a e implici in he con en ions acco ding o which people
in e ac linguis ically, and o which people a e gene ally no consciously
awa e” (p. 2). I is his sha ed ideology which leads Ben and Gus o
ea hie a chy as na u al and, he e o e places Ben in he appa en posi-
ion o de e mine wha is done and alked abou du ing he play. The
eade may no ice a la ge amoun o impe a i e clauses employed by
Ben, as well as his eage ness o show some supe io i y as indica ed by
exp essions such as: I know how o occupy my ime; Who ook he call,
me o you?; and he mos e iden Who’s he senio pa ne , me o you?.
Also, he e a e some s age di ec ions ha desc ibe Ben’s a i udes when
in e ac ing wi h Gus: onelessly; powe ully; menacing. On he o he hand,
we ind Gus, who is oubled, unce ain, au , always asking ques ions
and obeying Ben’s commands. Exp essions like I wan ed o ask you
some hing, o simila , a e o en epea ed by Gus. These seem o be
ob ious conclusions o be eached om a i s eading wi hou neces-
sa ily ca ying ou u he analysis. Tha , howe e , would be an o e -
simpli ied no ion. A close look will lead us in o a deepe knowledge
and in e p e a ion o he play. In wha o he ways do Ben and Gus di -
e ?; Is i o ally ue ha Ben is he powe ul pa icipan ?; Wha makes
Gus seem weake han Ben?; To sum up, wha de ices a e used by
Ha old Pin e in o de o con ey he idea ha , despi e he ac ha Ben
imposes some con ol o powe o e Gus, bo h o hem a e ic ims o
a supe io o ce?. De ini ely, any a emp o gi e answe s o hese ques-
ions will equi e o close examina ion o he language in he play.
AN EXPLORATION OF MODALITY IN H. PINTER’S THE DUMB WAITER
265
When compa ing Gus o Ben one encoun e s impo an di e ences.
Fi s o all, i was al eady men ioned, he e is he ques ion o au ho i-
y by expe ise: Ben is he senio pa ne , he e o e i is common sense
o expec p ominence o impe a i e o ms and o eg ounded ela ion-
al modali y ealised h ough deon ic exp essions, such as You’d be e
ea hem quick; You’ e go a job o do; You’ll ha e o wai ; You’ll ha e
o do wi hou i ; You’d be e ge eady anyway; You shouldn’ shou like
ha ; and so on. I is e iden , hen, ha Gus is subo dina e o Ben. Bu
a mo e in e es ing di e ence is hei iew and a i ude owa ds he job
hey a e abou o ca y ou . Ben is appa en ly secu e in his knowledge
ha he mission will be h ough as usual. Fo him, i is only ano he
job o be pe o med. Gus on he con a y, is puzzled and hesi an .
Exp essi e modali y ealised h ough high boulomaic exp essions like
I wan o ask you some hing occu a leas eigh imes in he i s hal
o he play. Some o he imes Gus da es o ask ques ions s aigh o -
wa d: Wha ime is he ge ing in ouch?; Why did you s op he ca his
mo ning in he middle o ha oad?; Who i ’s going o be onigh ?; Who’s
go i now?; I hey mo ed ou , who’s mo ed in?; Ben deals wi h Gus’s
wa iness e asi ely, as i eluc an o espond o alk abou he mission.
To Gus’s ques ions Ben s a es o he ques ions such as: Wha ’s he ma -
e wi h you?; Wha do you mean…?; o an in imida ing Wha ? ha
o ces Gus o change he cou se o he con e sa ion and alk abou
unimpo an hings like he c ocke y, he la a o y, he bed shee s, e c.
While Gus’s cu iosi y makes him ques ion and wonde abou Wilson
( he unseen au ho i y) all he ime, Ben is a he simplis ic. This
becomes ob ious h ough he la ge amoun o medium-low epis emic
exp essions on Gus’s pa ealised chie ly h ough modal auxilia ies:
could, migh , mus , would; ad e bs: maybe, pe haps, p obably; e bs:
wonde , know (wi h nega i e pola i y); suppose; hink; and he pe cep-
ion e b seem. I is p ecisely his p ominence o epis emic modali y,
a i s medium o low deg ees, which con eys he idea o Gus as a
weak cha ac e , one who is unce ain abou he e en s and he e o e
one wi h a diminished au ho i y ega ding he u h o p obabili y o
exp ession o eali y. Seldom does Ben use modalised epis emic exp es-
sions: i could be any ime; hey mus ha e been p e y quick; he’s p ob-
ably only en ed i . F om his we migh be emp ed o assume Ben’s
almos comple e knowledge o he eali y a ound him. Howe e , only
wice does he employ high epis emic exp essions: We’ll be on he job
any minu e; I ’ll be any minu e now; This means ha Ben is no he
“all-knowing” pa icipan as we migh belie e a i s sigh . Ins ead, his
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266
pe spec i e is one pe ec ly de ined in: S op wonde ing. You’ e go a
job o do. Why don’ you jus do i and shu up?(ou emphasis). Gus
on he o he hand is wa y and uneasy. Such uneasiness is shown
h ough high boulomaic modali y in: I hope he’s go a shilling, anyway,
i he comes; I’ll be glad when i ’s o e onigh ; I hope he bloke’s no
going o ge exi ed onigh o any hing; ha ’s wha I wan o know.
As p e iously sugges ed, Ben’s sca ce use o high epis emic modal-
i y is no a sign o o al command o knowledge o he e en s. His de -
e ence o a hi d unseen pa icipan , explici ly indica ed in s age di ec-
ions, is also shown h ough his use o some deon ic exp essions, his
ime using he p onoun “we” as i admi ing he is no longe he boss:
We’d be e ell hem; We should ha e used i be o e; …we’d be e le
you know…; Ben’s submission o a hi d mo e powe ul pa icipan is
made clea he e as well as in he end:
BEN. Yes
To ea . He lis ens. To mou h
S aigh away. Righ .
To ea . He lis ens. To mou h
Su e we’ e eady
To ea . He lis ens. To mou h
Unde s ood. Repea . He has a i ed and will be coming in s aigh
away. The no mal me hod o be employed. Unde s ood.
To ea . He lis ens. To mou h
Su e we’ e eady
Su e we’ e eady, wi h high epis emic modali y, is u e ed wice.
Besides ha , om his ex ac we can in e ha o de s a e gi en o
Ben, who accep s and epea s hem in a mos ly mechanical way. This
no ion o mechanisa ion in Ben’s beha iou is also shown in he exce p
whe e he gi es he ins uc ions o Gus and makes him epea hem
one by one. Bu Ben misses one s ep and Gus makes him no ice i .
Ben’s answe is I know. Wha ?. The use o high epis emic modali y he e
deno es, again, Ben’s a i ude o supe io i y o e Gus. Howe e , he co-
occu ence o Wha ? indica es Ben’s con usion due o an in e up ion
o he epe i ion ou ine. Ano he clue o Ben’s mechanical beha iou
is he way he in oduces con e sa ion abou he news in he pape .
This e en occu s h ee imes du ing he play, and he h ee imes he
exchange is almos iden ical. All o his leads us o conclude ha Ben
is in ol ed in a si ua ion in which he is a ic im, a he han he pow-
e ul pa icipan . His “jus -do-i -and-shu -up” policy, his mechanisa ion
and his submissi eness make Ben he pe ec hi man and pa adoxical-
AN EXPLORATION OF MODALITY IN H. PINTER’S THE DUMB WAITER
267
ly he pe ec ic im o an o ganisa ion ha o ces him o be ay and
kill his pa ne . Gus, on he o he hand, wi h his language loaded wi h
unce ain y and hesi a ion p obes asse i e a he end, when we come
o ealise ha he was igh o ques ion and suspec ha some hing was
w ong. His boulomaic modali y in I wan ed o ask you some hing and
his low epis emic exp essions such as I hough pe haps you migh know
some hing a e changed in o ca ego ical asse ions, as i gaining some
con ol:
GUS I asked you a ques ion.
BEN Enough!
GUS (wi h g owing agi a ion). I asked you be o e. Who mo ed in? You
said he people who had i be o e mo ed ou . Well, who mo ed
in?
BEN (hunched). Shu up
GUS I old you, didn’ I?
BEN (s anding). Shu up!
GUS ( e e ishly). I old you be o e who owned his place, didn’ I? I
old you
BEN hi s him iciously on he shoulde .
I old you who an his place, didn’ I?
BEN hi s him iciously on he shoulde .
I is clea he e ha Gus is no longe he unce ain and obedien
pa ne . The epe i ion o his asse ion I old you, seem o place him
in a posi ion o au ho i y o e Ben. Bu s ill, he ails o unde s and ha
he is he one o be killed.
The abo e examina ion o Pin e ’s play migh lead o u he s udy
and analysis. We make no claim o o iginali y. Nei he do we consid-
e his explo a ion o be exhaus i e. Ins ead, i is hoped his s udy may
se e as a s a ing poin o aise some in e es among EFL eache s and
lea ne s. Wi h his in mind, some pedagogical conside a ions could be
made.
Li e a y ex s p o ide use ul ools in he EFL class oom as s uden s
de elop an awa eness o how language unc ions. Dealing wi h lin-
guis ic aspec s o he ex migh become in e es ing and enjoyable by
he EFL lea ne . Wo kshops can be designed d awing insigh s om lin-
guis ic models and inco po a ing ac i i ies o he same kind used when
de eloping any language session, i.e.: skimming, scanning, p edic ion,
e c. In he case o The Dumb Wai e , special wo kshee s can be p e-
pa ed whe e he use o modal ope a o s is o eg ounded o whe e hei
use is compa ed when u e ed by Ben o by Gus h oughou he play.