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SCHOOL EFFECTIVENESS AND
SCHOOL-BASED MANAGEMENT
A MECHANISM FOR DEVELOPMENT

SECOND EDITION

Yin Cheong Cheng

School Effectiveness and
School-Based Management

This new edition of an internationally renowned classic book provides a new

comprehensive framework of latest perspectives and findings, fills gaps in the
ongoing research, policy and practice, and re-engineers a school-based mech-
anism for understanding and managing school-based development initiatives.
The book addresses the burning issues about how school-based management
(SBM) and school effectiveness should be related to the new paradigm in educa-
tion and the third wave of education reforms worldwide.
The book includes four parts and 12 chapters covering (1) School Effectiveness
(i.e., multiple school functions, models of effectiveness and pursuit of dynamic
effectiveness); (2) SBM (i.e., theories of SBM, multi-level self-management
(SM), and its implementation); (3) Leadership for Change (i.e., leadership for
SBM, staff development, school-based change, and curriculum change); and
(4) Future Developments (i.e., an SBM mechanism for effectiveness and paradigm
shift towards the third wave).
The framework and related analysis will benefit the understanding, policy for-
mulation, school practice and research of the key stakeholders including policy-
makers, educators, change agents, researchers, and those concerned in facing the
challenges from the ongoing education reforms in different parts of the world.

Yin Cheong Cheng (EdD, Harvard) is emeritus professor of education and sen-
ior research fellow of The Education University of Hong Kong. He was president
of the World Educational Research Association and the Asia-Pacific Educational
Research Association. His research interest includes education reforms, leader-
ship development, paradigm shift, and school management. Some of his publica-
tions have been translated into Chinese, Hebrew, Korean, Spanish, Czech, Thai,
and Persian languages. His latest publication is “Y.C. Cheng (2019). Paradigm
shift in education: Towards the third wave of effectiveness, Routledge”.
School Effectiveness and
School-Based Management
A Mechanism for Development

Second edition

Yin Cheong Cheng

Second edition published 2023
by Routledge
4 Park Square, Milton Park, Abingdon, Oxon, OX14 4RN
and by Routledge
605 Third Avenue, New York, NY 10158
Routledge is an imprint of the Taylor & Francis Group,
an informa business
© 2023 Yin Cheong Cheng
The right of Yin Cheong Cheng to be identified as author of this
work has been asserted in accordance with sections 77 and 78 of the
Copyright, Designs and Patents Act 1988.
All rights reserved. No part of this book may be reprinted or
reproduced or utilised in any form or by any electronic, mechanical,
or other means, now known or hereafter invented, including
photocopying and recording, or in any information storage or
retrieval system, without permission in writing from the publishers.
Trademark notice: Product or corporate names may be trademarks
or registered trademarks, and are used only for identification and
explanation without intent to infringe.
First edition published by Routledge 1996
British Library Cataloguing-in-Publication Data
A catalogue record for this book is available from the British Library
Library of Congress Cataloging-in-Publication Data
A catalog record has been requested for this book

ISBN: 9781032213545 (hbk)

ISBN: 9781032213538 (pbk)
ISBN: 9781003267980 (ebk)
DOI: 10.4324/9781003267980
Typeset in Galliard
by KnowledgeWorks Global Ltd.
Contents

List of figuresvii
List of tablesix
Prefacexi
Acknowledgementsxiv

Part I
School effectiveness 1

1 Multiple school functions 3

2 Models of school effectiveness 20
3 Pursuit of dynamic school effectiveness 39

Part II
School-based mechanism 55

4 Theory of school-based management 57

5 Multi-level self-management 88
6 Implementation of self-management 108
7 A school-based mechanism for development 134

Part III
Leadership for change 153

8 Leadership for school-based management 155

9 Management of school-based staff development 190
vi Contents

10 Management of school-based change215

11 Management of school-based curriculum change
and development245

Part IV
Future developments 271

12 Future developments: Towards the third-wave research273

Index 292
List of figures

3.1 Varying priority for pursuing effectiveness on

multiple criteria48
3.2 Maximizing effectiveness on multiple criteria along
a spiral path49
4.1 Profiles of school-based type and external control type78
4.2 Integrating human initiative and intelligence platform80
5.1 School self-management as strategic management process90
5.2 Self-management cycle at multi-levels100
6.1 Profile of bottom-level self-managing schools123
6.2 Profile of mediocre self-managing schools124
6.3 Profile of poor self-managing schools 124
6.4 Profile of top-level self-managing schools125
6.5 Profiles of four styles of self-managing schools  125
6.6 Profile of the HHH school and LLM school130
7.1 The matrix of school process135
7.2 Actor layer management138
7.3 Level layer management140
7.4 Matrix of school technology  143
7.5 Matrix of school culture145
8.1 Transactional leadership157
8.2 Transformational leadership159
8.3 School profiles of strong and weak leadership169
8.4 Layer leadership172
9.1 Matrix conception of school-based staff development199
9.2 Steps of establishing a staff development program208
9.3 Professional action learning210
9.4 Multi-level development cycles and learning ecosystem212
10.1 Matrix of school-based change224
10.2 Force field for school change226
10.3 School-based change and staff development230
11.1 Structure of curriculum effectiveness247
viii List of figures
11.2 Management model of school-based CCD250
11.3 An example of cyclic process at the program level253
11.4 Diagram for curriculum change259
11.5 Curriculum change after 3–5 years260
11.6 Scattering plot of schools262
11.7 School profiles of high SBM and high PS266
List of tables

1.1 Multiple school functions at multi-levels  6

1.2 A typology of school effectiveness  13
1.3 Directions in studying school effectiveness: A comparison 15
2.1 Three paradigms of education  21
2.2 Models of school effectiveness at the site-level  22
3.1 Models and levels of school effectiveness  40
3.2 Models and types of school effectiveness  41
3.3 Cross-model and cross-type congruence  45
4.1 Theory of SBM  59
4.2 Characteristics of SBM  63
4.3 Tendency towards SBM  73
4.4 Tendency towards SBM as related to teacher performance,
leadership, and organizational performance  76
4.5 Profiles of school-based type and external control type  77
5.1 Self-management processes at different levels  96
6.1 Three stages of implementing multi-level self-management 109
6.2 Unfreezing stage: Preparation for school level self-management  110
6.3 Unfreezing stage: Preparation for group level self-management  111
6.4 Unfreezing stage: Preparation for teacher level self-management 112
6.5 Possible work for the reinforcing stage  115
6.6 Hierarchy of skills for implementing self-management  118
6.7 Four styles of self-managing schools and their performance
(means of z-scores and standard deviations)  122
6.8 Profiles of the HHH school and the LLM school  129
6.9 Academic results of students of the HHH school and the
LLM school (Hong Kong attainment test 98/99)  130
8.1 Traditional theories and alternative perspectives of leadership  160
8.2 Five dimensions of school leadership  162
8.3 Multi-dimensional leadership and school performance167
8.4 Profiles of weak and strong leadership168
8.5 Traditional leadership and layer leadership 174
8.6 Conception of strategic leadership in school175
8.7 A spectrum of effectiveness models and leadership roles183
x List of tables
9.1 Traditional and alternative approaches to staff development  195
9.2 Possible activities and objectives for staff
development (examples)  202
10.1 Multiple perspectives of school-based change  218
10.2 Role of change actor and level of change  225
10.3 Analysis of driving forces  233
10.4 Analysis of restraining forces 234
10.5 Stages of school-based change  235
10.6 Characteristics of different change strategies  238
10.7 Choice of strategies and techniques for change at different stages241
11.1 Comparison between the approaches to curriculum change248
11.2 Congruence matrix of school-based CCD  251
11.3 Paradigm shift in learning  255
11.4 Paradigm shift in teaching  255
11.5 Paradigm shift in designing curriculum  256
11.6 SBM and paradigm shift as related to student-centred teaching
(Pearson correlation coefficients)  263
11.7 SBM and paradigm shift as related to students’ learning
(Pearson correlation coefficients)  264
12.1 Three paradigms for research in education  274
Preface

Since the turn of new century, school systems worldwide have been facing vari-
ous local and global challenges. They have initiated numerous education reforms
with aims at changing schools, improving their performance, and pursuing bet-
ter education to well prepare students for the future. In such a context, how to
reform school management for enhancing school effectiveness and education
quality has become a core concern for policymakers, educators, change agents,
researchers, and other stakeholders in different parts of the world.
What is school effectiveness? How can it be enhanced through the practice
of school-based management (SBM)? In the past decades, the movements of
SBM were representing a strong global trend of school management reforms
including school autonomy initiative, site-based decision making, site-based
budgeting, schools’ self-management, local school management, etc. Through
decentralization of authority from the central office to the school-site level, SBM
is widely regarded as an important condition for improving school practices to
meet the expectations and demands of stakeholders for high-quality education
in the new era.
Many new initiatives for increasing school autonomy have been implemented
in many regions, such as Australia, Canada, Finland, Hong Kong, Israel,
Singapore, and the United Kingdom. They have aimed to enhance school effec-
tiveness, particularly related to students’ learning outcomes and job compe-
tencies for future development in the 21st century. However, these efforts have
been impeded by the lack of a comprehensive framework for understanding the
complex nature of SBM, bridging the gaps in policy, practice, and research, and
building up the capacity for school effectiveness.
Schools with greater autonomy are believed to adapt more quickly to chang-
ing educational circumstances, and to have sufficient capacity and self-ownership
to make curricular and pedagogical changes that enhance students’ learning.
Unfortunately, the cross-cultural validity of this assumption has not yet been
confirmed because there is lack of strong international evidence and comprehen-
sive theoretical framework to support it.
Even though those concerned have had a high hope on SBM, the interna-
tional literature in these years has indicated that (1) the change agents, teachers
and school leaders do not really have a full and deep understanding of school
xii Preface
effectiveness, SBM and their relationship in the light of paradigm shift in edu-
cation; and (2) even though school autonomy has been decentralized to the
site level, there is no significant effect on improving school effectiveness and
students’ learning outcomes. It is not a surprise that many SBM initiatives with
a good will in the Asia-Pacific and other regions have met frustration if not fail-
ure. Stakeholders in general are disappointed with school effectiveness of their
education systems and do not understand why SBM initiatives do not produce
positive results.
The above are crucial issues, affecting the performance and future develop-
ment of numerous schools, teachers and students worldwide. It is much worth-
while for comprehensive exploration of school effectiveness, SBM and key related
factors.
As a scholar, I have been so lucky to have a lot of opportunities to study the
worldwide education reforms since the end of 1980s. In particular, I have done
some long-term observations and in-deep research in the areas of SBM, school
effectiveness, leadership and paradigm shift in education. Based on these stud-
ies, I have published reports, books and articles to support the development of
these areas internationally.
This new book represents the latest output of my research evolution in the
past decades. It aims to provide the latest perspectives and literature, bridge the
gaps in ongoing research, policy and practice, and yield comprehensive theoret-
ical frameworks for understanding and developing school effectiveness, SBM,
leadership and related practices.
In particular, the book addresses the burning issues about how SBM and
school effectiveness should relate to paradigm shift in education worldwide. It
is hoped that the elaborated theoretical frameworks and analyses will benefit
the understanding, policy formulation, school practice and research of policy
makers, educators, change agents, researchers, and those concerned in facing
the challenges from ongoing education reforms in different parts of the world.
As the second edition, the basic structure of this new book is mainly adapted
from the first edition – Y.C. Cheng (1996), School effectiveness and school-
based management: A mechanism for development published by Falmer Press/
Routledge. The original edition had already got a wide range of international
recognition and its content had been translated into several languages such as
English, Chinese, Korean, Hebrew, Spanish, Czech, Thai, and Persian lan-
guages. This book was also one of the 20 books in the world on educational
management and leadership highly recommended by then National College of
School Leadership of the UK Government. In the past years, I have been invited
to give over 125 related keynote speeches by international and national organ-
izations at their conferences. The first edition has become a classic frequently
cited in the field of education.
Recently, I have carefully reviewed the academic and professional merits of the
original edition. With a strong record of over 20 years, some strengths of the
original edition should be kept in the new edition. For example, some theories
and concepts of school effectiveness and SBM (e.g., multiple school effectiveness,
 Preface xiii
multi-level self-management, layer management, congruence in process, etc.)
remained unique, and innovative. Another example, the book as a whole pro-
vides an articulate conceptual map for readers to understand different parts,
chapters and perspectives around the theory and practice in a coherent way.
After a long time, the first edition really needs revisions and updates in differ-
ent parts to address the latest issues and concerns in school effectiveness, SBM
and paradigm shift in education. To enhance its academic and professional val-
ues, I re-developed and re-wrote the whole book with the following special fea-
tures in the new edition:

1 New framework and paradigm shift: It provides readers a new and compre-
hensive theoretical framework to understand and practice SBM, promote
new paradigm in education and enhance school effectiveness in a new era;
2 Latest outputs: My latest research results are integrated into a coherent per-
spective in this edition. It bridges the gap in the original edition which
ignores how SBM and school effectiveness are related to the third wave
education;
3 Original strengths: It maintains the academic strengths and innovative con-
ceptualizations of the original edition. And at the same time, it presents the
innovative advances in research and development in this area; and
4 Latest literature: It substantially replaces the outdated literature and con-
cepts with the latest empirical findings and new conceptualizations. A lot
of new materials are added to re-organize the content and strengthen its
academic merits.

The book includes four parts and 12 chapters covering: Part 1: School effec-
tiveness (three chapters: multiple school functions, models of effectiveness and
pursuit of dynamic effectiveness); Part 2: School-based mechanism (four chap-
ters: theories of SBM, multi-level self-management and its implementation, and
development mechanism); Part 3: Leadership for change (four chapters: leader-
ship for SBM, staff development, school-based change, and curriculum change);
and Part 4: Future developments (one concluding chapter: towards the third-
wave research).
The theories, concepts and implications yielded in this new edition are quite
different from the traditional thinking. As a whole, they provide a big new map
of a school-based mechanism with various new frameworks, new perspectives
and innovative insights for school development. I hope, this new edition will
benefit the understanding, policy formulation, school practice and research of
those concerned and interested in facing the challenges from the ongoing edu-
cation reforms in different parts of the world.
Acknowledgements

The completion of this new book would have been nearly impossible without the
help and support of many people to my long-term research on school effective-
ness and education reforms. I would like to take this opportunity to thank my
research partners who have made a lot of contributions to the development of
my research work in the recent years. In particular, I am grateful to Dr. Cheung
Wing Ming, Dr. Yuen Bong Yiu, Dr. Tam Wai Ming, Dr. Ng Kwok Hung, and
Prof. Magdalena M.C. Mok for their co-authored contributions to part of orig-
inal materials of Chapters 5, 6, 8, 9, 10, and 11, respectively.
I am pleased to express my special thanks to Prof. Stephen Y. L. Cheung,
the president of The Education University of Hong Kong for his kind support
to my research work. I am indebted to the permissions of publishers, especially
Emerald, Routledge, and Springer Nature for me to re-use the materials in my
articles previously published in their journals or books.
In the past two decades, many international and national organizations invited
me to give keynote speeches at their conferences. I am happy to share that the
innovative ideas presented in the keynote speeches have finally contributed to
the core part of this new book. The warm invitations of these academic and
professional organizations to me are sincerely appreciated.
Part I

School effectiveness
1 Multiple school functions

Introduction
Since the beginning of 1990s, there had been numerous movements of school
change and education reform in different parts of the world, inducing various
new initiatives to monitor, evaluate, and improve the school outcomes, perfor-
mance, and effectiveness at different levels. Unfortunately after the great efforts
in past years, school effectiveness was still a very vague concept in professional
practice and theoretical development even though it was often used in the litera-
ture of school management and improvement (Reynolds et al., 2014; Sammons,
Davis, & Gray, 2016; Scheerens, 2014, 2016, 2017).
To different people, the definition of school effectiveness may be very differ-
ent and often confused with the concept of “school efficiency” in practice or
policy debate. The critical elements of effectiveness conceptualization such as
“what criteria”, “whose criteria”, “effective for whom”, “who to define”, “how
to evaluate”, “when to evaluate”, and “under what environmental constraints”
are often problematic because there seem no standard elements accepted by
all concerned constituencies for evaluation (Sammons et al., 2016; Scheerens,
2015).
A school is an organization in a changing and complicated social context,
bounded with limited resources, and involving multiple constituencies such as
education authorities, school administrators, teachers, students, parents, tax-
payers, educators, and the public. To these constituencies, their expectations
of school functions and goals may be quite different and diverse. Some may
emphasize more on the short-term outcomes such as academic achievements in
this school year. Some may be more concerned with the long-term impacts such
as the contributions of school graduates to the communities in the last 50 years.
Some other may put strong emphasis on school functions related to social inte-
gration, social mobility, or personal development.
In such a social context, understanding school effectiveness is quite difficult
without considering about school functions. To different functions or goals,
schools may have different performance and effectiveness. For example, some
schools may be good at helping students’ personal development but some other
may be successful in equipping students with technical skills for the needs of the

DOI: 10.4324/9781003267980-2
4 School effectiveness
community. Therefore, it is necessary to clarify what aims and functions to be
pursued by schools before we can discuss what is school effectiveness particularly
in the new century.

Multiple school functions at multi-levels

Since long time ago, people already had high expectations of multi-dimensional
and multi-level school functions. For example, in a review of effectiveness of
American schools forty years ago, Averch et al. (1974) pointed out that “most
of this century, public schools in the United States have been viewed as car-
rying out five important functions: socialization, a unifying and disciplinary
force in a society of diverse origins; sorting, identifying people’s future socio-
economic roles; custody, the childsitting function; knowledge and skills train-
ing, developing a literate popular, with at least a minimum of job related skills
and encouragement of such individual attributes as creativity and self-reliance”
(p. 3). In 1989, the President of USA convened with the Education Summit with
the nation’s Governors and they embarked on a historic venture to change the
national educational emphasis. They initiated six national education goals as a
framework for action:

1 By the year 2000, all children in America will start school ready to learn;
2 By the year 2000, the high school graduation rate will increase to at
least 90%;
3 By the year 2000, American students will leave grades 4, 8, and 12 having
demonstrated competency in challenging subject matter, including English,
mathematics, science, history, and geography; and every school in America
will ensure that all students learn to use their minds well, so they may
be prepared for responsible citizenship, further learning, and productive
employment in our modern economy;
4 By the year 2000, US students will be first in the world in science and math-
ematics achievement;
5 By the year 2000, every adult American will be literate and will possess the
knowledge and skills necessary to compete in a global economy and exercise
the rights and responsibilities of citizenship; and
6 By the year 2000, every school in America will be free of drugs and violence
and will offer a disciplined environment conductive to learning (National
Education Goals Panel, 1992, pp. 4–5).

From these goals, the functions of US schools should offer a disciplined envi-
ronment (institutional level), help American children or students be ready to
learn, graduate successfully (personal level), acquire competency in academic
subjects particularly mathematics and science, and be prepared for responsible
citizenship (society/national level), further learning, and productive employ-
ment in a modern global economy (international level). In drafting these goals,
the National Panel emphasized very much the contribution of education system
 Multiple school functions 5
to the nation’s strength and international economic competition. Based on the
above long-term goals of education system, schools are expected to contribute
multi-dimensional and multi-level functions at the personal, institutional, soci-
ety, national, and international levels.
In Hong Kong, there were similar multi-dimensional and multi-level learning
goals for school education. For example, seven goals of secondary education
involving different dimensions and levels were formulated for enabling student’s
learning as shown below (Education Bureau, 2020):
To enable students to

1 become an informed and responsible citizen with a sense of national and

global identity, appreciation of positive values and attitudes as well as
Chinese culture, and respect for pluralism in society (society/national/
international levels);
2 acquire and construct a broad and solid knowledge base, and to under-
stand contemporary issues that may impact on students’ daily lives at per-
sonal, community, national, and global levels (personal to international
levels);
3 become proficient in biliterate and trilingual communication for better
study and life (personal to international levels);
4 develop and apply generic skills in an integrative manner, and to become an
independent and self-directed learner for future study and work (personal/
society levels);
5 use information and information technology ethically, flexibly and effec-
tively (personal to international levels);
6 understand one’s own interests, aptitudes, and abilities, and to develop and
reflect upon personal goals with aspirations for further studies and future
career (personal level); and
7 lead a healthy lifestyle with active participation in physical and aesthetic
activities, and to appreciate sports and the arts (personal level).

In addition to the above formal goals related to education of students, schools

also serve other implicit or explicit functions at different levels in the society
according to both Functionalism or the Conflict Theory in sociology (Blackledge
& Hunt, 1985; Cheng, 1995). For example, Functionalism suggests that school
education can facilitate social mobility and social change but the Conflict Theory
argues that school education reproduces class structure and maintains class ine-
quality at the society level.
Integrating the commonly espoused school goals, the classification of multi-
ple contextualized thinking (Cheng, 2019) and the multi-functions of national
education (Cheng & Yuen, 2017), school functions may be classified into four
levels (including personal, institutional, society/national, and international lev-
els) and six types (including technological functions, economic functions, social
functions, political functions, cultural functions, and learning functions) as
shown in Table 1.1 (Cheng, 2019).
 6

Table 1.1 Multiple school functions at multi-levels

Technological
Functions Economic Functions Social Functions Political Functions Cultural Functions Learning Functions
Individual • Development • Development • Development of • Development of • Development • Development
of technologi- of economic social intelli­ political of cultural of learning
cal intelli- intelligence gence and skills intelligence and intelligence and intelligence
gence and and skills • Psychological skills skills and skills
School effectiveness

skills • Career planning development • Civic attitudes • Acculturation • Learning how

• Technology • Job competence • Emotional and skills • Socialization to learn and
literacy and attitudes intelligence with values, develop
• STEM norms, and • Lifelong
thinking beliefs learning
Institutional • A place for • A work place • A social entity/ • A place for • A centre for • A place for
technological • A service system political cultural learning and
imagination organization • A human socialization trans­m ission and teaching
• A centre for relationship • A political repro­duction • A centre for
technology • A social network coalition • A place for knowledge
transfer • A place for cultural transfer and
political discourse re-vitalization innovation in
or criticism and integration education
Community/ • Development • Provision of • Social • Political • Cultural • Development
Society/ of an quality labour integration legitimization integration and of a lifelong
Nation intelligent/ forces for • Social mobility/ • Political structure continuity learning
smart city eco­nomic growth social class maintenance and • Cultural community
• Infra- • Modification perpetuation continuity reproduction • Development
structures and of economic • Social equality • Democracy • Production of of learning
capacities with behaviour • Selection and promotion cultural capital ecosystems for
innovative • Contribution to allocation of • Facilitating • Cultural the future
technologies the manpower human resources political develop­ revitalization • Learning
such as AI, struc­ture and • Social develop­ ments and reforms society for the
Big Data, etc. planning ment and change 21st century
(Continued)
Table 1.1 Multiple school functions at multi-levels (Continued)
Technological
Functions Economic Functions Social Functions Political Functions Cultural Functions Learning Functions
International • Technological • Economic • Social • Political • Cultural • Learning
globalization globalization globalization globalization globalization globalization
• Pervasive • International • Global village • Global political • Appreciation of • Global
application of competition • Social alliance cultural diversity education
innovative • Economic cooperation • International • Cultural • International
knowledge cooperation • International understanding acceptance exchanges and
and • International exchanges • Elimination of across cooperation in
technologies trade • Elimination of international countries/ learning
national/ conflicts regions • Internationaliza­
regional/racial/ tion of
gender biases education
Source: Adapted from the author’s Cheng(1996) and Cheng and Yuen (2017).
Multiple school functions
7
8 School effectiveness
Technological functions
The advance in innovative technologies is creating intensive impact on different
aspects of human life worldwide. As such, schools need to play an active role in
preparing young people for technological developments at different levels.
At the individual level, technological functions of schools refer to their contri-
bution to the development of students’ technological intelligence (Cheng, 2019),
literacy (Cheng, 2006), STEM and related skills (Cheng & So, 2020) in facing
future challenges from globalization and technology innovations (Nigmatov &
Nugumanova, 2015; Stuckart & Rogers, 2017).
At the institutional level, schools can be a place or a centre for the promotion
of technological imagination and the transfer and application of technological
knowledge, skills, and tools. At the community/society level, schools can pre-
pare young people to serve the needs of their community in its development into
an intelligent city or a smart city (Albino, Berardi, & Dangelico, 2015), with
infra-structures and capacities in applying innovative technologies such as artifi-
cial intelligence, big data analytics, cloud computing, mobile technology, etc. At
the international level, schools and their members can support the globalization
of technology and pervasive application of innovative ideas and technologies
globally to benefit more people in different parts of the world.

Economic functions
Economic functions of schools refer to their contribution to the economic devel-
opment and needs of the society at multiple levels. At the individual level, schools
can help students develop economic intelligence, knowledge and skills and plan
their future career with the necessary job competence and attitudes for sur-
vival in a competitive economy (Cavalcanti, 2002; Henning, 2016; Peña et al.,
2015; Schug, Clark, & Harrison, 2016). At the institutional level, schools are
service organizations providing quality services to meet expectations of clients
and stakeholders, and serve as a work place for their staff and those concerned.
At the community/society level, schools serve the economic or instrumental
needs of the local community by supplying quality labour forces to the economic
system, modifying or shaping economic behaviours of students (future custom-
ers and citizens) (McMahon, 1987), and contributing to the development and
stability of the manpower structure of the economy (Hinchliffe, 1987). At the
international level, school education supplies the high-quality labour forces
needed in economic globalization, international competition, economic cooper-
ation, and international trade.

Social functions
Social functions of schools refer to their contribution to human develop-
ments and social relationships at different levels of the society (Carter, 2017;
Greifeneder, Bless, & Fiedler, 2017). As indicated in nearly all formal education
 Multiple school functions 9
goals, at the individual level, schools help students develop themselves psycho-
logically, socially, and physically, and help them develop their potential as fully
as possible. Development of students’ social intelligence in general and emo-
tional intelligence in particular is important and necessary in school education
(Crooke, 2016; Grossman et al., 2015).
At the institutional level, a school is a social entity, social system, or social
network composed of different human relationships. The quality of the social
environment and relationships in it often determines the quality of the work
life and learning life for teachers and students. At the community/society level,
according to the perspective of the Functionalism Theory, schools serve the
social needs or functions of the local community, support social integration of
multiple and diverse constituencies of society, facilitate social mobility within
the existing class structure, reinforce social equality for people of different back-
grounds, select and allocate competent people to appropriate roles and positions,
and contribute to social change and development in the long run (Cheng, 1995).
From the alternative view of the Conflict Theory, it is possible that schools
reproduce existing social class structure and perpetuate social inequality
(Blackledge & Hunt, 1985). Due to growing global consciousness (Beare &
Slaughter, 1993; Cheng, Cheung, & Ng, 2016), schools are expected to play an
important role in preparing students for international harmony, social coopera-
tion, global human relationship, and the elimination of national, regional, racial,
and gender biases at the international level such that both the local community
and the international community can benefit in the long run.

Political functions
Due to increasing diversity in expectations and struggle for resources and power
among various constituencies in a complicated competitive environment, the
political functions of schools is receiving increasing attention at different levels.
At the individual level, school education is expected to help students develop
political intelligence, positive civic attitudes and skills to exercise the rights and
carry out the responsibilities of citizenship (DeLue & Dale, 2016; Pérez, 2016;
Pfeffer, 1992).
At the institutional level, schools act as a place for systematically socializing
students into a set of political norms, values and beliefs, or for critically discuss-
ing and reflecting on existing political events. Schools often become a political
coalition of teachers, parents, and students that can contribute to the stability of
the political power structure. At the community/society level, schools play an
important role in serving the political needs of the local community, legitimiz-
ing the authority of the existing government, maintaining the stability of politi-
cal structure, promoting awareness and movement of democracy, and facilitating
planned political developments and changes (Thomas, 1983).
The growing awareness of international dependence reinforces the need for
school education to contribute to international understanding, global com-
mon interest, international coalitions, peace movements against war, and the
10 School effectiveness
elimination of conflicts between regions and nations. It seems that the political
functions of schools should also be important at the international level for the
long-term benefit of the world.

Cultural functions
The ambiguities and uncertainties from the fast changing environment are chal-
lenging different aspects of society. At the individual level, the cultural functions
of school education enhance students’ consistency and confidence in their values
and beliefs that relate to cultural intelligence and skills (Ang & Van Dyne, 2015;
Ang, Rockstuhl, & Tan, 2015; Chao, Takeuchi, & Farh, 2017). In addition,
schools help students develop their creativity and aesthetic awareness and assist
their socialization with successful norms, values, and beliefs of society.
At the institutional level, schools act as a place for systematic cultural repro-
duction and transmission to the next generation, cultural integration among
multiple and diverse constituencies, and cultural re-vitalization from outdated
traditions. At the community/society level, schools often serve as a cultural unit
carrying the explicit norms and expectations of the local community, transmit-
ting important values and artefacts of the society to students, integrating diverse
sub-cultures from different background, and revitalizing the strengths of the
existing culture such that the society or the nation can reduce internal conflicts
and wastage and build a unifying force for the benefit of the nation.
On the other hand, according to the Conflict Theory, schools socialize stu-
dents with different sets of values and beliefs (i.e., different cultural capital) for
different classes of the society such that some people may benefit more from the
prestigious cultural capital whilst others suffer (Apple, 1982; Giroux, 1981).
In other words, schools reproduce and perpetuate cultural inequality within
the society. Obviously, the Functionalism Theory and the Conflict Theory have
different views on the cultural functions of schools at the society level. At the
international level, schools can encourage appreciation of cultural diversity and
acceptance of different norms, traditions, values and beliefs in different coun-
tries and regions, and contribute to the development of global culture through
integration of different cultures.

Learning functions
Traditionally, education in general or learning in particular is often perceived as
only a means for achieving economic, social, political, and cultural values and
goals. Due to rapid developments and changes in the world, people begin to
view learning in itself as an important value or goal of our life, particularly in an
era of great change and transformation. An individual’s lifelong learning as well
as learning in society become more and more important (Beetham & Sharpe,
2013; Longworth, 2013; Marsick, Bitterman, & van der Veen, 2000).
At the individual level, it is important for schools to help students achieve
learning intelligence and skills, learn how to learn, and pursue lifelong learning.
 Multiple school functions 11
At the institutional level, schools serve as a place for systematic learning, teach-
ing, and disseminating knowledge, and as a centre for systematically experi-
menting and implementing educational innovations and developments. At the
community/society level, schools provide service for different educational needs
of the local community, facilitate developments of education professions and
education structures, disseminate knowledge and information to the next gener-
ation, and contribute to the formation of a learning society. In order to encour-
age mutual understanding among nations and build up “a global family” for
the younger generation, schools can contribute to the development of global
education, and international exchange and cooperation. In the new century,
there has been a growing worldwide trend of internationalization of education
(Cheng et al., 2016) under which schools and their students can play an active
role in the globalization of learning around the world.

Concerns of school functions

As shown in Table 1.1, there may be 24 categories of school functions in a typol-
ogy composed of six types of functions at four different levels.
Taking time span into consideration, school functions may be further divided
into two types: long-term functions and short-term functions. Long-term func-
tions refer to the contributions or effects of schools that happen in and continue
for a long time (e.g., more than a few years). These functions are often impor-
tant even though they may not be so obvious to people’s current perception.
Short-term functions refer to those contributions or effects of schools that occur
explicitly in a short time (e.g., a few months or less than a few years). Results in
public examinations or academic competitions are often used to measure short-
term school effectiveness. In general, for each type of technological, economic,
social, political, cultural and learning functions, there may exist both long-term
and short-term functions even though short-term functions may be more easily
identified at the individual level or the institutional level.
Different people often have different expectations of school functions. Some
people may be more concerned with technological and economic functions
whilst others may be more concerned with political functions. Some people may
pay more attention to functions at the individual levels whilst others may focus
more on functions at the community level or society level. Even though school
functions might not have attracted much attention at the international level in
the past few decades, there seems to be a growing concern over school functions
in recent years under a worldwide trend of internationalization of education
(Cheng et al., 2016).
To different academic disciplines, the emphasis on types and levels of school
functions may also be different. For example, school functions at the individual
level may receive more attention in educational psychology whereas for sociol-
ogy of education, school functions at the society level, particularly those related
to social mobility, equality, and class stratification, may attract more concern.
Similarly, economics of education would focus on the economic functions of
12 School effectiveness
schools at different levels, whilst in the field of school management or organi-
zational behaviour, school functions at the institutional level are inevitably the
major topic of study.
Based on different beliefs and emphases on the types of school functions,
different strategies or policies are usually proposed for school management and
improvement. Traditionally, people often focused narrowly on a few categories
of school functions such as technological functions and social functions at the
individual level and ignore other categories. The unawareness of a wide spectrum
of school functions inevitably sets a narrow boundary around policy-making and
management efforts for school improvement. Therefore, it is not surprising that
a reform policy mainly based on the beliefs about social functions at the indi-
vidual level cannot improve cultural or political functions at the individual level
or other levels.

A typology of school effectiveness

From the conception of school functions, we can define school effectiveness as the
capacity of a school to maximize school functions or the degree to which a school can
perform school functions, when given a fixed amount of school input. Since there
are six types of school functions, school effectiveness may be further classified
into six types: technological effectiveness, economic effectiveness, social effec-
tiveness, political effectiveness, cultural effectiveness, and learning effectiveness.
For example, economic effectiveness represents the capacity of a school to max-
imize economic school functions. Furthermore, since there are four levels of
school functions, school effectiveness may be classified into four levels: school
effectiveness at the individual level, at the institutional level, at the community/
society level, and at the international level. By the various combinations of six
types and four levels, there is a typology of 24 categories of school effectiveness
as shown in Table 1.2.

Effectiveness and efficiency

From an input-output perspective, school effectiveness may be considered a
comparison (or even a ratio, in a quantitative sense) between what a school can
produce (i.e., school output or function) and what has been put into the school
(i.e., school input). Assuming that this preliminary idea of school effectiveness
is acceptable, we may adapt Lockheed’s (1988) ideas to school organizations
and use them to differentiate school effectiveness from school efficiency in the
following way.

1 School Effectiveness – If the discussion is mainly in terms of non-monetary

inputs or processes (e.g., number of textbooks, classroom organization,
professional training of teachers, teaching strategy, learning arrangements,
etc.), then the comparison of output function to non-monetary input
(or process) may be called "School Effectiveness”.
Table 1.2 A typology of school effectiveness
Technological Economic Social Political Cultural Learning
Effectiveness Effectiveness Effectiveness Effectiveness Effectiveness Effectiveness
Levels (TE) (EE) (SE) (PE) (CE) (LE)
Individual TE at EE at SE at PE at CE at LE at
individual individual individual individual individual individual
level level level level level level
Institutional TE at EE at SE at PE at CE at LE at
institutional institutional institutional institutional institutional institutional
level level level level level level
Community/ TE at society EE at society SE at society PE at society CE at society LE at society
Society level level level level level level
International TE at EE at SE at PE at CE at LE at
international international international international international international
level level level level level level
Multiple school functions
13
14 School effectiveness
2 School Efficiency – If the discussion is mainly in terms of monetary input
(e.g., 1000 dollars input per student, cost of books, salary, opportunity cost,
etc.), then the comparison between school output function and monetary
input may be called “School Efficiency”. In line with the six types of school
functions at four levels, school efficiency may be similarly classified into
24 categories including technological efficiency, economic efficiency, social
efficiency, political efficiency, cultural efficiency, and learning efficiency at
the individual, institutional, community/society, and international levels.

Relationships between types of school effectiveness

The above classification of school effectiveness (or efficiency) into 24 categories
can help us clarify what kind of school effectiveness is under discussion. The term
“school effectiveness” was used broadly in past studies but it may have been used
to convey different meanings. Some studies were interested in the school’s social
effectiveness whilst others in cultural effectiveness or economic effectiveness. It
is important to keep in mind that the relationship among the six types of school
effectiveness, among the four levels of school effectiveness, and even between
effectiveness and efficiency may be complicated, and not necessarily positive.
A school’s high technological effectiveness at the individual level does not
necessarily entail high technological effectiveness or social effectiveness at the
society level, although people often assume the existence of such a positive rela-
tionship (Grosin, 1994). For example, the success of some technical training in
school does not imply high productivity for the society if those skills learned in
school are found to be outdated (or useless) in students’ future careers.
Furthermore, numerous studies with radical perspectives challenge the tradi-
tional belief of schools’ “positive” functions (e.g., social mobility) for the society
(Blackledge & Hunt, 1985; Cheng, 1995). To a great extent, the relationship
between economic effectiveness and social effectiveness or cultural effectiveness
is controversial in the field of sociology of education. Further, the relationship
between technological effectiveness and technological efficiency is not straight
forward and is often a hot topic for debate in the field of economics of education.

New directions for studying school effectiveness

In general, a school which is doing well in a few of the 24 categories of effec-
tiveness may not necessarily do well too in the other categories. Likewise,
enhancement of one type of school effectiveness does not necessarily prom-
ise enhancement of the other five types. Similarly, there is no certainty that
increasing school effectiveness at one level would result in an improvement of
effectiveness at other levels. As such, we should be careful in the discussion
of school effectiveness. With the above conceptions of multiple functions and
related school effectiveness at multi-levels, some new directions can be proposed
for consideration in future research, policy-making and practice, as contrasted
with old traditions as set out in Table 1.3.
 Multiple school functions
Table 1.3 Directions in studying school effectiveness: A comparison
New Directions
Nature of School • Based on multiple
Effectiveness conceptions of school
function: technological,
economic, social, political,
cultural, and learning
• Conception at four levels:
individual, institutional,
community/society, and
international
• Both short-term and
long-term considerations
Expectation of • To different constituencies,
School different types of school
Effectiveness effectiveness are expected
• Dilemmas exist
Assumption about • Complicated relationship
Relationships between types
• Complicated relationship
between levels
• Complicated relationship
between effectiveness and
efficiency
• Between-relationships not
necessarily positive, need to
be studied and managed
Disciplines for • Interdisciplinary
Investigation cooperation and efforts are
needed
Focus of Study and • Multi-types of effectiveness
Discussion • Multi-levels of effectiveness
• Relationship between types
• Relationship between levels
• Relationship between
effectiveness and efficiency
Implications for • To maximize effectiveness in
Management multi-types at multi-levels
and Policy • To maximize efficiency in
multi-types at multi-levels
• Need to ensure congruence
between types and between
levels
• Need to ensure congruence
between effectiveness and
efficiency
• Need to set priority if no
sufficient resources and time
to achieve multi-types at
multi-levels
15
Old Traditions
• Based on simplistic
conceptions of school
function, particularly on
economic and social
functions only
• Conception only at one
to two levels, particularly
at the individual or
institutional levels
• Mainly short-term
consideration
• Emphasizing mainly
economic or social
effectiveness, assuming
no big differences in
expectations
• Dilemmas are ignored
• Positive relationship
between types
• Positive relationship
between levels
• Positive relationship
between effectiveness
and efficiency
• No strong need to study
and manage
between-relationships
• Mainly single discipline
is used; separate efforts
are made
• Separate/Single type of
effectiveness
• Separate/Single level of
effectiveness
• Mainly to maximize
effectiveness in separate
type at single level
• Mainly to maximize
efficiency in separate
type at single level
• No need to ensure
congruence between
types and levels
• No need to ensure
congruence between
effectiveness and efficiency
• Priority may not be a
concern
16 School effectiveness
Traditionally, the discussion of school effectiveness is often based on a simplis-
tic conception of school functions, focusing on economic and social functions
at the individual or institutional levels only. This restricted focus limits the gen-
eration of significant implications for effective school improvement and devel-
opment. Therefore, in order to ensure that the scope of discussion is sufficiently
wide to generate effective implications, we should be aware of the multiplicity
and complexity of school effectiveness in nature, and if possible, a wider spec-
trum of school effectiveness with both short-term and long-term time frames
should be taken into consideration.
In traditional discussions, economic or social effectiveness is usually empha-
sized with the assumption that there is no big difference in expectations of
different constituencies at different levels (e.g., parents, students, teachers,
administrators, community, economic sector, social service sector, policymak-
ers, the public, etc.). Such discussions may have ignored potential dilemmas
from differences in the constituencies’ expectations on school effectiveness. If
we agree that there are multiple functions of schools and diverse expectations
of constituencies at different levels, inevitably dilemmas do exist in any manage-
ment efforts for school effectiveness. The study and management of these dilem-
mas should be one of the key foci in current discussions of school effectiveness.
Based on the simplistic conception of school effectiveness, there is a strong
traditional belief that the relationships of school effectiveness between types,
between levels, or between effectiveness and efficiency is generally positive and
do not need to be studied or managed. As discussed previously, this belief is very
problematic. These relationships may be complicated and not necessarily posi-
tive. An increase in one type of school effectiveness does not necessarily entail
an increase in the others. Therefore there is a strong need for us to study these
relationships if we want to make sensible efforts for school effectiveness.
Traditionally, school effectiveness studies may involve mainly one single dis-
cipline (e.g., educational psychology), or depend on separate efforts [of differ-
ent disciplines]. Obviously, this is not sufficient for studying the complexity of
school effectiveness. We should encourage inter-disciplinary cooperation and
effort (e.g., involving educational psychology, economics of education, sociology
of education, anthropology, organizational theories, etc.) in the investigation
of school effectiveness. The focus should include multiple types of effectiveness
at multi-levels, relationships between types, relationships between levels, and
relationship between effectiveness and efficiency. Also, there is urgent need to
develop a comprehensive theory to explain these relationships and direct actions
for enhancement of school effectiveness.
Traditionally, people often focus on maximizing school effectiveness or effi-
ciency of separate types at one or two levels without considering the other cate-
gories of effectiveness and efficiency. No measure is implemented to ensure the
congruence between types of school function or effectiveness, between levels,
and between effectiveness and efficiency. It is not surprising that most of such
policy efforts or management initiatives may not be so successful for a wide spec-
trum of effectiveness and efficiency in schools, or may result in failure.
 Multiple school functions 17
Taking the multiplicity of school effectiveness into consideration, the future
directions for policy and management should aim to maximize school effective-
ness and efficiency in multi-types at multi-levels. Critical questions to be con-
sidered in current movements of educational reforms should be: how to ensure
congruence between types, between levels, and between effectiveness and effi-
ciency, how to enhance not only one but all six types of school effectiveness at
all four levels, and how to solve the dilemmas from the different expectations of
various constituencies. In addition, if the given resources and time are limited,
how to set the priority for achieving multi-types of school effectiveness at mul-
ti-levels should be carefully considered to ensure that it is feasible and achievable.

Note
Part of materials in this chapter was adapted from Cheng (1996, 2019) and Cheng and
Yuen (2017).

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2 Models of school effectiveness

Introduction
From Chapter 1, we can see the complexity and multiplicity of school effective-
ness in theoretical conceptualization and practical reality. How practitioners,
change agents, and school leaders at the site level can achieve the multi-types and
multi-levels of the effectiveness of their schools is truly a very challenging issue.
To different people, the models they use to conceptualize, manage, and achieve
school effectiveness at the school-site level may be very different.
Since the 1980s, the worldwide education reforms had experienced three waves
for change: the effective education movement, the quality education movement,
and the world-class education movement. Different waves used different para-
digms to define the nature, goals, and content of education and creating differ-
ent long-term impacts on the operations and outcomes of schools or education
systems (Table 2.1). In particular with different paradigms, different models may
be used to study school effectiveness during the first, second, and third waves of
reforms (Cheng, 2019).
Based on the work of Cameron (1984) and Cheng (2014, 2015, 2019), there
may be nine different models for pursuing, monitoring, and evaluating school
effectiveness under the three waves of education reforms (Table 2.2). Each model
represents a conceptual possibility for managing school effectiveness and it has a
different set of site-based indicators of effectiveness.

First-wave models
In the 1980s, the first wave of education reforms involved various types of effec-
tive school movements in different parts of the world, including UK, USA,
Australia, European, and Asian areas (Townsend et al., 2007). These move-
ments represent the first wave of education reforms aiming at improving internal
processes in learning, teaching, and management and enhancing the internal
effectiveness of educational institutions in achieving pre-planned education aims
and curriculum targets (Cheng, 2011).
In the first-wave paradigm, the major role of a school is the delivery of planned
knowledge, skills, and cultural values to students in a stable industrial society.
DOI: 10.4324/9781003267980-3
 Models of school effectiveness 21
Table 2.1 Three paradigms of education

Features First-wave Paradigm Second-wave Paradigm Third-Wave Paradigm

Assumption • An industrial • A commercial and • A lifelong-learning and

about society consumption multiple-development
Environment • Comparatively society society
stable and • Unstable with lots • Fast-changing society
predictable of uncertainties and with globalization and
• Education competitions technology advances
provision under • Education provision • Education provision
centralized driven by competi- and content mainly
manpower tion and market characterized by
planning globalization,
localization, and
individualization
Reform Effective Education Quality Education World-Class Education
Movements Movements Movements Movements
To improve the To ensure the quality To ensure the relevance and
internal process and and accountability of world-class standards of
performance of educational services education for the multiple
education institutions provided by institu- and sustainable forms of
in order to enhance tions meeting the development of students
the achievements of multiple stakeholders’ and the society for the
planned goals of expectations and needs future in globalization
education
Conception Internal Effectiveness Interface Effectiveness Future Effectiveness
of School Achievement of planned Satisfaction of Relevance to the multiple
Effectiveness goals and tasks of stakeholders with the and sustainable forms of
delivery of knowledge, educational services, development of
skills, and values in including education individuals and the society
learning, teaching, process and outcomes; for the future
and schooling and as accountability
to the public
Role of Delivery Role Service Role Facilitating Role
School Delivery of planned Provision of a service Facilitation of multiple and
knowledge, skills, to satisfy the needs sustainable forms of
and cultural values and expectations of development of students
from teachers and stakeholders in a and the society in a
curriculum to students competitive market context of globalization
in a comparably stable and change
society
Nature of Trainee Client/Stakeholder Self-Initiated CMI Learner
Learning A process whereby A process whereby A process whereby students
students receive students receive a develop contextualized
knowledge, skills, service provided by multiple intelligences
and cultural values the educational (CMI) and other
from teachers and institution and 21st-century competences
curriculum teachers for multiple and
sustainable forms of
development
Nature of Knowledge Service Provision Facilitation of Multiple
Teaching Delivery/ A process of providing and Sustainable Forms
Instruction education services to of Development
A process of delivering multiple stakeholders A process of facilitating
planned knowledge, and satisfying their capacity building for
skills, and cultural expectations multiple and sustainable
values to students forms of development of
students and the society
for the future
Table 2.2 Models of school effectiveness at the site-level
Conceptions of School Effectiveness
First-Wave Models of Internal School Effectiveness
Goal Model • Achievement of stated
institutional goals and
conformance to given
specifications
Process Model • Smooth internal school
process and fruitful
education experiences
Absence of Problems • Absence of problems and
Model troubles in the school
Second-Wave Models of Interface School Effectiveness
Resource Model • Achievement of needed
quality resources and inputs
for the school
Satisfaction Model • Satisfaction of all powerful
constituencies
Conditions for Model Usefulness
• When institutional goals and
specifications are clear,
consensual, time-bound, and
measurable
• When resources are sufficient to
achieve the goals and conform to
the specifications
• When there is a clear
relationship between school
process and education outcomes
• When there is no consensual
criteria of quality but strategies
for improvement are needed
• When there is a clear
relationship between inputs and
outputs
• When quality resources for the
school are scarce
• When the demands of the
constituencies are compatible
and cannot be ignored
Examples of Areas for Assessing and
Monitoring
• Institutional objectives, standards, and
specifications listed in school plans,
e.g., academic achievements, attendance
22 School effectiveness
rate, dropout rate, etc.
• Leadership, participation, social
interactions, classroom climate,
learning activities, experiences, etc.
• Absence of conflicts, dysfunctions,
difficulties, defects, weaknesses,
troubles, etc.
• Resources procured for institutional
functioning, e.g., quality of student
intake, facilities, financial support,
staff quality, etc.
• Satisfaction of education authorities,
management board, administrators,
teachers, parents, students, etc.
(Continued)
Table 2.2 Models of school effectiveness at the site-level (Continued)
Accountability Model
Triplization Model
Contextualized Multiple
Intelligences (CMI)
Model
Continuous Learning
Model
Conceptions of School Effectiveness
• Demonstrating evidence of
institutional accountability
• Achievement of the school’s
legitimate position and
reputation
Third-Wave Models of Future School Effectiveness
• Creating unlimited
opportunities for lifelong
learning and sustainable
development through
triplization (integrating
globalization, localization,
and individualization)
• Facilitating students’
development of CMI and
creativity
• Adaptation to environmental
changes and internal barriers
• Continuous improvement
and development at different
levels of the school
Conditions for Model Usefulness
• Great demands for internal and
external accountability
• When the survival and demise
among schools must be assessed
• When the environment is very
competitive and demanding
• Globalization, localization, and
individualization in education
are possible and feasible with
networking, technologies, and
learning ecosystems.
• When a strong link exists
between students’ future
development and their CMI and
creativity
• When the school is new or
changing
• When the environmental
changes and challenges cannot
be ignored
Examples of Areas for Assessing and
Monitoring
• Public relations, marketing, public
image, reputation, status in the
community, evidence of accountabil-
ity, etc.
• Extents of being globalized, localized,
and individualized in learning and
related ecosystems for students,
teachers, and those concerned
• Enhanced environment for develop-
ment of CMI and creativity
• Developed CMI and creativity of
students and teachers
• Awareness of external needs and
changes, internal process monitoring,
program evaluation, development
planning, staff development, etc.
Models of school effectiveness
23
24 School effectiveness
This paradigm assumes that learning is a process in which students are mainly
trainees receiving a planned set of knowledge, skills, and cultural values for
their survival in society. The role of the teacher is mainly perceived as that of
knowledge deliverer or instructor (Cheng, 2015).
In the first wave of education reforms, there are the goal model, the process
model, and the absence of problem model, which focus on enhancing internal
school effectiveness through the achievement of planned school goals, improve-
ment of internal processes, and ensuring the absence of problems and defects
in the school. The key features of these 1st wave models are summarized in
Table 2.2.

Goal model
The goal model is a popular model for the evaluation and monitoring of school
effectiveness because many people believe that achieving the formal school goals
is the basic requirement for every school. For those schools failing to achieve
school goals, they are ineffective. The model assumes that these are clearly stated
and generally accepted goals and standards for measuring school effectiveness,
and that a school is effective if it can accomplish its stated goals with given
inputs. This model is useful if the school outcomes are clear and the effective-
ness criteria commonly accepted by all constituencies involved are available. The
indicators of school effectiveness are often objectives listed in school plans and
program plans, particularly those related to the quality of learning and teaching
environment, academic achievements in public examinations, students’ attend-
ance rate or dropout rate, etc.
The usefulness of this model is often limited because it depends on having
clear, measurable, time-bound, and generally accepted goals which is often
impossible. For example, teachers may be more concerned with students’ devel-
opment of character and personality, whilst parents may be more concerned
with students’ examination achievements. Employers may emphasize students’
job-related attitudes and skills, whilst policymakers may be more concerned with
schools’ contribution to political stability or economic growth.
Even though different school stakeholders may have different expectations of
school goals, students’ academic achievements in the public examinations are
often taken as the major indicators to measure school effectiveness in the Asia-
Pacific region. Such an ignorance to other educational outcomes (e.g., moral or
personal development) from teaching and learning may create long-term nega-
tive impacts on the effectiveness and performance of the educational process in
schools.
According to the classification of school functions illustrated in Chapter 1,
schools may need to achieve various types of school goals related to six functions
(such as technological, economic, social, political, cultural, and learning functions)
at four levels (such as individual, institutional, society/national, and interna-
tional levels). Under each type of school goals, there may be some sub-goals.
Therefore, it would be important to include a comprehensive set of school goals
 Models of school effectiveness 25
and sub-goals when the goal model is used to assess or study school effective-
ness. However, given the limited resources, it is often very difficult for schools to
achieve multiple goals in a short time. Priority setting should be needed among
the school goals to be achieved (Tolbert & Hall, 2015).

Process model
From a system perspective, the nature and quality of school process often deter-
mine the quality of output and the degree to which school goals can be achieved.
Therefore, the process model assumes that a school is effective if its internal
functioning is smooth and “healthy”. Leadership, communication channels,
participation, coordination, adaptability, planning, decision-making, social
interactions, school climate, teaching methods, classroom management, and
learning strategies are often used as indicators of effectiveness.
As school process often includes management process, teaching process, and
learning process, the selection of indicators may be based on these processes
and classified into management effectiveness indicators (e.g., leadership, decision-
making), teaching effectiveness indicators (e.g., teaching efficacy, teaching
methods), and learning effectiveness indicators (e.g., learning attitudes, attend-
ance rate).
This model would be useful if there is a clear relationship between school
process and educational outcomes. To a certain extent, the current emphasis on
leadership and school culture to school effectiveness may reflect the importance
of the process model (Day, Gu, & Sammons, 2016; Heck & Hallinger, 2014;
Khalifa, Gooden, & Davis, 2016; Sun & Leithwood, 2015).
However, the process model has its limitations, such as difficulties in mon-
itoring processes and gathering related data, but the focus has been put on
means instead of ends. Assuming that schools need to perform technological,
economic, social, political, cultural, and learning functions at the multi-
levels, the usefulness of the process model depends on how much the schools can
understand the relationship between these functions and the school processes.
If there is sufficient understanding, the school effectiveness (i.e., achievement of
school functions) can be measured from the characteristics of school processes.
Unfortunately, up to now not sufficient knowledge is available for designing var-
ious school processes to accomplish different types of school functions.

Absence of problem model

The difficulty of identifying appropriate criteria is often the single most impor-
tant problem in organizational effectiveness research in general and in school
effectiveness study in particular. One of the important difficulties is to identify
the indicators of success. It seems much easier to identify the weaknesses and
defects (i.e., indicators of ineffectiveness) than the strengths of an organization
(i.e., indicators of effectiveness). It has been found that “organizational
change and development is motivated more by knowledge of problems than by
26 School effectiveness
knowledge of success”. Also, an approach to assessing organizational ineffective-
ness instead of effectiveness may help expand our understanding of the construct
of organizational effectiveness (Cameron, 1984, p. 246). Borrowing this idea,
the absence of problem model describes school effectiveness from a “negative” side
and defines that a school is basically effective if there is an absence of character-
istics of ineffectiveness in the school.
This model assumes that it is easier for the concerned school constituencies
to identify and agree on the criteria of school ineffectiveness than the criteria
of school effectiveness. Also, strategies for improving school effectiveness can
be more precisely identified by analyzing school ineffectiveness as opposed to
school effectiveness. Therefore, this model is useful particularly when the crite-
ria of school effectiveness are very unclear but strategies for school improvement
are needed (Cameron, 1984; Scheerens, 2016).
The indicators of ineffectiveness under this model may include conflicts, prob-
lems, difficulties, defects, weaknesses, and poor performance. In general, many
schools, particularly new schools, are more concerned with overcoming obsta-
cles to basic school effectiveness than pursuing excellent school performance.
This model may be appropriate in the evaluation of such schools. For practition-
ers such as school administrators and teachers, the ineffectiveness model may be
more basic than other models as it seems that no “ineffectiveness” may be the
basic requirement for effectiveness. However, for people who are more interested
in high school performance, this model is not sufficient.
Since this model focuses on the problems and defects in the internal school
processes particularly at the personal and institutional levels, it may not be able
to study and evaluate the school functions and effectiveness at the society and
international levels.

Second-wave models
In response to concerns about educational accountability to the public, edu-
cation quality that satisfies stakeholders’ expectations, and the marketization
of education provision in the 1990s, a paradigm shift from the first wave to
the second wave of education occurred in different parts of the world. Various
education reforms were initiated to ensure the quality, accountability, and com-
petitiveness of education provision to meet the needs of internal and external
stakeholders (e.g., Goertz & Duffy, 2001; Headington, 2000; Heller, 2001;
Mahony & Hextall, 2000).
For example, in some Asian areas, such as Hong Kong, India, Singapore,
Taiwan, mainland China, and Malaysia, a growing trend of education reforms
towards quality education or competitive schools emphasized quality assurance,
school monitoring and review, parental choice, student coupons, marketization,
parental and community involvement in governance, and performance-based
funding (Cheng, 2019).
In the second wave, the role of schools is the provision of educational services
in a commercial and consumer society, with quality satisfying the expectations
 Models of school effectiveness 27
and needs of key stakeholders – students, parents, employers, and other social
constituencies. This wave emphasizes interface effectiveness between schools and
the community, typically defined by stakeholders’ satisfaction, accountability to
the public, and competitiveness in the education market. Learning is assumed to
be a process for students as clients or stakeholders who receive a service provided
by teachers and schools, and then become competitive in the job market.
In the second wave of education reforms, the major models for monitoring
and managing school effectiveness include the resource model, the satisfaction
model, and the accountability model, which emphasize on achieving interface
school effectiveness through procuring quality resource input, satisfying key
constituencies’ expectations and needs, ensuring institutional accountability
and legitimate position in the community as shown in Table 2.2 (Cheng, 2014;
2019).

Resource model
The school stakeholders often have high and diverse expectations of education,
creating a great pressure on school operation and performance. Schools need to
pursue multiple and demanding school goals with very limited resources and
under such a situation, resources usually become a crucial factor to the effective-
ness, success, and survival of a school.
The resource model assumes that scarce and valued resource input is needed
for schools to be effective. Therefore, inputs and acquisition of resources
become the primary criteria of effectiveness. Quality of student intake, facilities,
resources, and financial support procured from the central education authority,
alumni, parents, sponsoring bodies, or any outside agents are important indica-
tors of effectiveness (Cobb-Clark & Jha, 2016; Hedges et al., 2016; Scheerens,
2016). This model is useful if the connections between inputs and outputs are
clear and the resources available to the school to achieve goals are very limited.
Attraction of high-quality students and teachers as input is often assumed a
“necessary” condition for some schools to become effective or to achieve high aca-
demic performance in public examinations. Obviously, this model has its defects
because its over-emphasis on the acquisition of inputs may reduce the effort
and attention of the school to educational processes and outputs. The acquired
resources may become wasted if they cannot be used efficiently to serve school
functions. From the perspectives of multi-dimensional and multi-level school
functions (Chapter 1), the major concerns of this model mainly relate to the man-
agement of resources within the institution and therefore its direct contribution to
school functions at the society and international levels may be somewhat limited.

Satisfaction model
School effectiveness may be a relative concept, depending on the expectations
of concerned constituencies or parties. If expected school goals are high and
diverse, it will be difficult for schools to achieve them and meet the needs and
28 School effectiveness
expectations of multiple constituencies. If expected school goals are low and
simple, it will be easier for schools to achieve them and satisfy the expectations
of constituencies such that schools may be perceived as effective more easily.
Furthermore, the objective measurement of goal achievement is often techni-
cally difficult and conceptually controversial. Therefore satisfaction of powerful
and strategic constituencies instead of some objective criteria is often used as the
critical element to assess school effectiveness.
Following the second wave of education reforms, there is a strong emphasis on
quality in school education. The concept of quality is, in fact closely related to
the satisfaction of clients’ (or customers’, constituencies’) needs or the conform-
ance to their requirements and expectations (Jacobsen, Snyder, & Saultz, 2014;
Kisida & Wolf, 2015). From this perspective, the recent demands for education
quality reinforce the use of constituencies’ satisfaction in monitoring and assess-
ing school effectiveness. The indicators of effectiveness are often the satisfaction
of students, teachers, parents, administrators, education authority, school man-
agement committee or alumni, etc.
This model assumes that the functioning and survival of a school are under
the influence of its strategic constituencies (e.g., the principal, teachers, school
management board, education authority, parents, students, and the public),
and school actions are mainly reactive to the demands of the constituencies.
Therefore, satisfaction of these demands is the basic criterion for school effec-
tiveness (Hampden-Thompson & Galindo, 2017).
If the demands of all powerful constituencies are compatible and the school
has to respond to these demands, this model may be useful in studying school
effectiveness. If the demands of powerful constituencies conflict and cannot be
satisfied at the same time, this model may not be appropriate.

Accountability model
Under the impacts of rapid changes and developments in the local community
and global context, the educational environment becomes more challenging and
competitive. On one hand, schools have to compete seriously for resources and
overcome internal barriers and on other hand they have to face external chal-
lenges and demands for accountability and “value for money” (Deming et al.,
2016; Ingersoll, Merrill, & May, 2016; Nunes, Reis, & Seabra, 2015).
It is nearly impossible for schools to continue or survive without the legit-
imacy or accountability in the community or the public. In order to gain the
legitimacy for resources and survival, schools have to show evidence of accounta-
bility, satisfy the requirements of the community, and win the support of impor-
tant constituencies.
Along this line of thinking, this model suggests that a school is effective
if it can survive as a result of engaging in legitimate or marketing activities.
Therefore, the indicators of effectiveness are often related to the activities and
achievements of public relations, marketing, accountability, public image build-
ing, school reputation, status in the community, etc. (Kim, 2018).
 Models of school effectiveness 29
The model is useful when the survival and demise among schools must be
assessed in a changing environment. For example, in some old districts in Hong
Kong, the primary student population reduces quickly and some primary schools
have to be closed if no sufficient number of parents are willing to send their
children to them. Among the schools at risk, only those successfully striving for
legitimacy or better public relations with the community can survive.
Another example: Due to the expansion of secondary education in some dis-
tricts in Hong Kong, a strong demand for student places in secondary schools
may reduce the competition but increase the legitimacy for survival among sec-
ondary schools in these districts. Therefore, the application of the model to
conceptualize effectiveness in this context may not be so relevant as that in the
context for primary schools.
The second wave of educational reforms with emphasis on parental choice
and accountability strongly support the importance of this model in assessing
the interface school effectiveness. It assumes that while parents have more right
to make school choices, a competitive market can be created to drive schools in
providing high-quality services and satisfying the needs of parents and students
in education. In addition, the implementation of quality assurance measures
in school can provide a formal mechanism for schools to gain the necessary
accountability and legitimacy for survival. This can explain why so many schools
nowadays are paying more attention to public relations, marketing activities, and
building up school-based accountability systems or quality assurance systems.
Even though there is a strong interest in using market mechanism and account-
ability system to enhance school effectiveness in the current education reforms,
knowledge of their relationship to the full spectrum of school effectiveness at
different levels is still underdeveloped. Therefore, we should pay attention to the
potential limitations of this accountability model when using it in educational
reforms.
In brief, the second-wave reforms and their related models have their own
characteristics and limitations in managing and studying school effectiveness.
In general, the policy initiatives and changes based on these models may not be
directly relevant to the learning of students for the future in the new century.
For example, there may not be any clear and close relationship of these sec-
ond-wave models with students’ continued self-initiated learning and multiple
competence development. Since these models often emphasize much on market
competition, resources acquisition, and clients’ satisfaction, their initiatives may
deviate from the core values and original meanings of education.

Third-wave models
To ensure that younger generations are able to overcome the future challenges
of rapid transformations to a society of lifelong learning and multiple forms of
development in a new era, many social leaders, researchers, policymakers, and
educators worldwide have advocated a paradigm shift in learning and teaching
(Cheng, 2019; Davidson, 2014; Noweske et al., 2012; Yorke, 2011). They have
30 School effectiveness
advocated a fundamental reform of the aims, content, practice, and manaement
of education to enhance the relevance of students’ learning to the future (Abbas,
Bharat, & Rai, 2013; Beetham & Sharpe, 2013; Longworth, 2013).
Since the turn of the new century, a third-wave paradigm for education
reforms has been emerging, with a strong emphasis on future effectiveness, often
defined as the relevance of education to the future development of students and
of the society. Given the strong implications of globalization and international
competition, the new wave of reforms is driven by the notion of world-class
education movements. Educational performance is often studied and measured
in terms of world-class standards and global comparability to ensure that the
future of students is sustainable in this challenging and competitive era. To
some extent, international research projects (e.g., PISA, PIRLS, and TIMSS) on
students’ achievement, performance, and competence in learning represent this
international endeavour for understanding and benchmarking the effectiveness
of third-wave education worldwide (Kamens & McNeely, 2010; Mullis et al.,
2012; Provasnik et al., 2012; Ünlü et al., 2014).
The third-wave paradigm embraces the key elements of contextualized multiple
intelligences (CMI), globalization, localization, and individualization in education
(Cheng, 2019). Many initiatives pursue new aims in education, develop students’
CMI, or 21st-century competencies for sustainable development, emphasize life-
long learning, facilitate global networking and international outlook, and promote
the wide application of Information and Communication Technology (ICT) in
education (Finegold & Notabartolo, 2010; Noweski et al., 2012).
Since the initiatives of third-wave education are often new and schools’ envi-
ronment is fast changing, how schools and their members can adapt to internal
and external challenges is also crucial in considering their future effectiveness.
In the third wave, the key models of managing and monitoring school effective-
ness include the triplization model, the CMI model and the continuous learning
model (Table 2.2).

Triplization model
Since the beginning of the new century, the fast development of new technology
and the huge expansion of global networking, globalization is making tremen-
dous impacts on nearly every part of the world. How education can be changed
to successfully meet the challenges of globalization has become a crucial issue
in policy making worldwide (Gupta, 2018; Sungwon, 2017; Verger, Altinyelken,
& Novelli, 2018).
In addition to the influences of globalization, the processes and impacts of
localization and individualization in school education are also important and
necessary. If localization of education is ignored in educational reform, the pro-
vision of educational services may not be able to meet the emerging local needs
and gain the local support from communities (Chou, 2016; Li & Grieshaber,
2018; Mundy et al., 2016). If individualization of education is ignored, the reform
initiatives may fail to address the needs of students, facilitate their self-initiated
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 Le roi Agramant se rend à leur avis, bien que ce parti lui semble
cruel et dur. Il se dirige vers Arles, par le chemin qui lui paraît le plus
sûr, et il semble qu’il ait des ailes. Il a de bons guides, et l’obscurité
favorise grandement son départ. Vingt mille Africains et Espagnols
purent ainsi échapper à Renaud.
Quant à ceux qui furent occis par lui, par ses frères, par les deux
fils du sire de Vienne, par les sept cents hommes d’armes obéissant
à Renaud, par Sansonnet, ou qui, dans leur fuite, se noyèrent dans
la Seine, celui qui pourrait les compter compterait aussi les feuilles
que Zéphire et Flore font éclore en avril.
D’aucuns pensent que Maugis prit une grande part à la victoire
de cette nuit, non pas en arrosant la campagne du sang sarrasin, ni
par le nombre des ennemis qu’il occit de sa propre main, mais en
faisant sortir, par son art, les esprits infernaux des grottes du Tartare,
et cela en si grande quantité, qu’un royaume deux fois grand comme
la France n’aurait pu lever autant de bannières ni de lances.
On ajoute qu’il fit entendre tant d’instruments métalliques, tant de
tambours, tant de bruits divers, tant de hennissements de chevaux,
tant de cris et de tumulte de fantassins, que plaines, monts et
vallées devaient en retentir jusqu’aux contrées les plus lointaines, et
que les Maures en éprouvèrent une telle peur, qu’ils s’empressèrent
de prendre la fuite.
Le roi d’Afrique n’oublia pas que Roger était blessé et qu’il gisait
encore gravement malade sur son lit. Il s’enquit d’un destrier à
l’allure la plus douce qu’il put trouver, fit placer le blessé dessus, et
après l’avoir mis en sûreté, il le fit porter sur son navire et conduire
doucement jusqu’à Arles, où il avait donné rendez-vous à tous ses
gens.
Ceux qui s’enfuirent devant Renaud et Charles — et ils furent, je
crois, cent mille ou à peu près — cherchèrent, à travers champs,
bois, montagnes et vallons, à échapper aux mains des populations
franques. Mais la plupart trouvèrent tout chemin fermé, et rougirent
de leur sang l’herbe verte et les routes blanches. Il n’en arriva point
ainsi du roi de Séricane, qui avait sa tente loin des autres.
 En apprenant que c’est le sire de Montauban qui a assailli ainsi le
camp, il ressent en son cœur une telle allégresse, qu’il en saute çà
et là de joie. Il remercie le souverain Auteur de lui avoir fourni
l’occasion si rare de s’emparer cette nuit de Bayard, ce coursier qui
n’a pas son pareil.
Il y avait longtemps — je crois que vous l’avez déjà lu ailleurs —
que ce roi désirait avoir la bonne Durandal à son côté, et chevaucher
ce coursier accompli. Il était jadis venu en France pour cela à la tête
de cent mille hommes d’armes. Il avait alors défié Renaud au
combat, pour la possession de ce cheval.
Et il s’était rendu sur le rivage de la mer où la bataille devait avoir
lieu ; mais Maugis en faisant partir malgré lui son cousin qu’il avait
embarqué sur un navire, était venu tout déranger. Il serait trop long
de dire toute l’histoire. Depuis ce jour, Gradasse avait tenu le gentil
paladin pour lâche et couard.
Maintenant que Gradasse apprend que c’est Renaud qui a
assailli le camp, il s’en réjouit. Il revêt ses armes, il monte sur son
cheval et s’en va cherchant son ennemi à travers l’obscurité. Autant
de guerriers il rencontre, autant il en couche à terre, frappant
indifféremment de sa bonne lance les gens de France ou de Libye.
Il va de çà de là, cherchant Renaud, l’appelant de sa voix la plus
forte, et se portant toujours vers les endroits où il voit le plus de
morts amoncelés. Enfin ils se trouvent en face l’un de l’autre l’épée à
la main, car leurs lances avaient été brisées en mille morceaux, et
les éclats en avaient volé jusqu’au char constellé de la Nuit.
Quand Gradasse reconnaît le vaillant paladin, non à son
enseigne, mais aux coups terribles qu’il porte, ainsi qu’à Bayard qui
semble à lui seul être maître de tout le camp, il se met sans retard à
lui reprocher — conduite indigne de lui — de ne s’être pas présenté
sur le champ du combat, au jour fixé, pour vider leur différend.
Il ajoute : « — Tu espérais sans doute, en te cachant ce jour-là,
que nous ne nous rencontrerions plus jamais en ce monde ; or, tu
vois que je t’ai rejoint. Quand même tu descendrais sur les rives les
plus extrêmes du Styx, quand même tu monterais au Ciel, sois
certain que je t’y suivrais, si tu emmenais avec toi ton destrier au
séjour de la lumière, ou là-bas dans le monde aveugle.
« Si tu n’as pas le cœur de te mesurer avec moi, et si tu
comprends que tu n’es pas de force égale ; si tu estimes la vie plus
que l’honneur, tu peux sans péril te tirer d’affaire, en me laissant de
bonne grâce ton coursier. Tu pourras vivre ensuite, si vivre t’est
cher ; mais tu vivras à pied, car tu ne mérites pas de posséder un
cheval, toi qui déshonores à ce point la chevalerie. — »
Ces paroles avaient été dites en présence de Richardet et de
Guidon le sauvage. Tous deux tirent en même temps leur épée pour
châtier le Sérican. Mais Renaud s’oppose à leur intervention, et ne
souffre point qu’ils lui fassent cet affront. Il dit : « — Ne suis-je donc
pas bon pour répondre à qui m’outrage, sans avoir besoin de vous ?
— »
Puis, se retournant vers le païen, il dit : « — Écoute, Gradasse ;
je veux, si tu consens à m’entendre, te prouver clairement que je
suis allé sur le bord de la mer pour te rejoindre. Puis, je te
soutiendrai les armes à la main, que je t’ai dit vrai de tout point, et
que tu en auras menti chaque fois que tu diras que j’ai manqué aux
lois de la chevalerie.
« Mais je te prie instamment, avant que nous nous livrions au
combat, d’écouter jusqu’au bout mes justes et vraies excuses, afin
que tu ne m’adresses plus des reproches non mérités. Ensuite,
j’entends que nous nous disputions Bayard à pied, seul à seul, en un
lieu solitaire, comme tu l’as toi-même désiré. — »
Le roi de Séricane était courtois, comme tout cœur magnanime
l’est d’ordinaire. Il fut satisfait d’entendre la pleine justification du
paladin. Il vint avec lui sur la rive du fleuve, et là, Renaud,
simplement, lui raconta sa véridique histoire et prit tout le ciel à
témoin.
Puis il fit appeler le fils de Bauves, lequel était parfaitement au
courant de l’affaire. Celui-ci raconta de nouveau, en présence des
deux champions, comment il avait usé d’un enchantement, sans en
dire ni plus ni moins. Renaud reprit alors : « — Ce que je t’ai prouvé
par témoin, je veux t’en donner maintenant par les armes, et quand il
te plaira, une preuve encore plus évidente. — »
Le roi Gradasse qui ne voulait pas, pour une nouvelle querelle,
abandonner la première, accepta sans contester les excuses de
Renaud, bien que doutant encore si elles étaient vraies ou fausses.
Les deux adversaires ne fixèrent plus le lieu du combat sur le doux
rivage de Barcelone, comme ils l’avaient fait la première fois, mais ils
convinrent de se rencontrer le lendemain matin, près d’une fontaine
voisine,
Où Renaud ferait amener le cheval, lequel serait placé à égale
distance des combattants. Si le roi tuait Renaud, ou s’il le faisait
prisonnier, il devait prendre le destrier sans autre empêchement.
Mais si Gradasse trouvait la mort dans le combat, ou si, ne pouvant
plus se défendre, il se rendait prisonnier, Renaud lui reprendrait
Durandal.
Avec plus d’étonnement et de douleur que je n’ai dit, Renaud
avait appris de la belle Fleur-de-Lys que son cousin était hors de sa
raison. Il avait appris également ce qu’il était advenu au sujet de ses
armes, et le conflit qui s’en était suivi. Il savait enfin que c’était
Gradasse qui possédait cette épée que Roland avait illustrée par
mille et mille exploits.
Après que les deux chevaliers se furent mis d’accord, le roi
Gradasse rejoignit ses serviteurs, bien qu’il eût été engagé par le
paladin à venir loger chez lui. Dès qu’il fut jour, le païen s’arma, et
Renaud en fit autant. Tous deux arrivèrent à la fontaine près de
laquelle ils devaient combattre pour Bayard et Durandal.
Tous les amis de Renaud paraissaient redouter beaucoup l’issue
de la bataille qu’il devait soutenir seul à seul contre Gradasse, et ils
s’en lamentaient d’avance. Gradasse possédait une grande
hardiesse, une force prodigieuse et une expérience consommée.
Maintenant qu’il avait au côté l’épée du fils du grand Milon, chacun
tremblait de crainte pour Renaud.
Plus que tous les autres, le frère de Vivien redoutait ce combat. Il
se serait encore volontiers entremis pour le faire manquer, mais il
craignait d’encourir l’inimitié du sire de Montauban, qui lui en voulait
encore d’avoir empêché la première rencontre en l’enlevant sur un
navire.
Mais, tandis que tous les siens sont plongés dans le doute, la
crainte ou la douleur, Renaud s’en va calme et joyeux de se
disculper d’un soupçon injuste qui lui avait semblé si dur, et de
pouvoir imposer silence à ceux de Poitiers et de Hautefeuille. Il s’en
va plein de confiance et sûr en son cœur de remporter l’honneur du
triomphe.
Quand les deux champions furent arrivés quasi en même temps
à la claire fontaine, ils se saluèrent et s’accueillirent l’un et l’autre
avec un visage aussi serein, aussi bienveillant, que si Gradasse eût
été le parent ou l’ami du chevalier de la maison de Clermont. Mais je
veux remettre à une autre fois de raconter comment ils en vinrent
aux mains.
 CHANT XXXII.

Argument. — Mesures prises par Agramant pour renforcer son

armée. — Bradamante, jalouse de Roger à cause de Marphise,
quitte son château et arrive à la Roche-Tristan. Là, elle est
obligée de combattre contre trois princes, et leur fait vider les
arçons.

Je me souviens que je devais vous entretenir — je vous l’avais

promis, puis cela m’est sorti de la mémoire — d’un soupçon qui avait
rendu la belle dame de Roger si dolente, soupçon bien plus
déplaisant et plus cruel, et mordant d’une dent bien plus aiguë et
bien plus vénéneuse que ce qu’elle avait entendu de Richardet, et
qui lui était entré dans la poitrine, pour lui dévorer le cœur.
Je devais en parler, et j’ai entrepris un autre sujet, Renaud étant
survenu au beau milieu de mon récit. Puis j’ai eu fort à faire avec
Guidon qui s’est aussi trouvé sur mon chemin. J’ai passé d’une
chose à l’autre, de sorte que je ne me suis plus souvenu de
Bradamante. Il m’en souvient maintenant, et je veux vous en parler,
avant que je vous entretienne de Renaud et de Gradasse.
Mais avant que j’entame ce récit, il faut encore que je vous parle
un peu d’Agramant qui avait rallié dans Arles ce qui lui restait de son
armée après le grand désastre nocturne. Cette cité était tout à fait
convenable pour rassembler ses forces éparses ; elle a l’Afrique en
face d’elle, et l’Espagne pour voisine. De plus elle est assise sur le
fleuve, non loin de la mer.
Marsile envoie des ordres dans tout son royaume pour lever des
gens à pied et à cheval, bons ou mauvais. De force ou de bonne
volonté, tout navire apte au combat doit s’armer à Barcelone.
Chaque jour, Agramant rassemble son conseil, et n’épargne ni ses
soins ni sa peine. Toutes les cités d’Afrique sont pressurées
d’exactions de toutes sortes.
Il a fait offrir à Rodomont pour qu’il revienne — mais sans pouvoir
l’obtenir — une de ses cousines, fille d’Almont, avec le beau
royaume d’Oran pour dot. L’altier chevalier ne veut pas quitter le
pont où il a accumulé les armes et les selles vides de tant de
guerriers vaincus par lui, que le rocher en est tout couvert.
Marphise ne voulut pas imiter Rodomont. Dès qu’elle apprit
qu’Agramant avait été défait par Charles, que ses gens étaient
morts, taillés en pièces, ou prisonniers, et que bien peu d’entre eux
avaient pu se réfugier dans Arles, elle s’était mise en chemin sans
attendre d’être appelée. Elle était venue au secours de son roi, et lui
avait apporté sa personne et tout ce qu’elle possédait.
Elle avait amené aussi Brunel, auquel elle n’avait fait aucun mal,
et elle le remit d’elle-même à Agramant. Pendant dix jours et dix
nuits, elle l’avait tenu dans la crainte d’être pendu. Puis quand elle
avait vu que personne n’essayait de le lui reprendre par la force ou
par la prière, elle n’avait pas voulu souiller ses mains altières d’un
sang si méprisable, et elle l’avait délivré de ses liens.
Elle lui pardonna toutes ses anciennes injures et le traîna avec
elle jusqu’à Arles où elle le remit à Agramant. Vous devez bien
penser quelle joie le roi éprouva en voyant un tel secours lui arriver.
Il voulut que Brunel vît bien quel grand cas il faisait de Marphise. Il
l’avait jadis menacé de le faire pendre ; il le fit cette fois pendre bel et
bien.
Le misérable fut laissé, dans un lieu solitaire et sauvage, en proie
aux corbeaux et aux vautours. La justice de Dieu fit que Roger, qui
l’avait une autre fois sauvé en lui ôtant le lacet du cou, fût malade en
ce moment, et ne pût lui venir en aide. Quand il sut l’aventure, la
chose était déjà faite, de sorte que Brunel resta sans secours.
Cependant Bradamante trouvait bien long le délai de vingt jours à
l’expiration desquels Roger devait revenir vers elle et se convertir à
la Foi. A qui attend la fin de la captivité ou de l’exil, il semble que le
temps, qui doit lui donner la liberté ou lui rendre la joie de revoir la
patrie aimée, marche plus lentement que d’habitude.
Dans cette cruelle attente, elle pensait souvent que Ethon et
Piroïs étaient devenus boiteux [10] , ou que la roue du char d’Apollon
était brisée, tellement il lui semblait qu’il ralentissait sa course
habituelle. Le jour lui paraissait plus long que celui où le juste
Hébreu, grâce à son ardente foi, arrêta le soleil au milieu du ciel ; la
nuit lui semblait plus longue que celle qui produisit Hercule.
Oh ! que de fois elle porta envie aux ours, aux loirs, aux blaireaux
somnolents ! Elle aurait voulu passer tout ce temps à dormir, sans se
réveiller jamais, sans entendre quoi que ce fût, jusqu’à ce que Roger
vînt lui-même la tirer de son lourd sommeil. Non seulement elle ne
peut pas le faire, mais elle ne peut pas même dormir une heure dans
toute la nuit.
De côté et d’autre elle se retourne, foulant la plume
inhospitalière, sans jamais goûter de repos. Souvent elle court ouvrir
sa fenêtre, pour voir si l’épouse de Titon s’apprête à répandre,
devant la lumière du matin, les lis blancs et les roses vermeilles. Et
quand le jour a paru, elle ne désire pas moins ardemment voir les
étoiles briller au ciel.
Lorsqu’il n’y eut plus que quatre ou cinq jours pour que le délai
fût expiré, pleine d’espoir, elle s’attendait d’heure en heure à l’arrivée
d’un messager qui lui dirait : voici Roger qui vient. Elle montait
parfois sur une haute tour d’où l’on découvrait les bois épais et les
fertiles campagnes des environs, ainsi qu’une partie de la route qui
conduit de France à Montauban.
Si elle aperçoit alors au loin une armure reluire au soleil, ou
quelqu’un qui ressemble à un chevalier, elle croit que c’est son
Roger tant attendu, et les cils de ses beaux yeux se rassérènent
soudain. Dans chaque voyageur à pied ou sans armes elle croit voir
un messager envoyé vers elle. Et bien que toujours son attente ait
été déçue, elle ne cesse chaque fois d’espérer encore.
Parfois, croyant aller à sa rencontre, elle s’armait, descendait la
montagne et s’avançait dans la plaine. Ne voyant rien, elle espérait
alors qu’il était arrivé à Montauban par une autre route, et elle
rentrait au château, poussée par le même désir qui l’en avait fait
sortir, mais elle n’y trouvait pas davantage Roger. Cependant le
terme tant attendu par elle arriva.
Puis le terme fut dépassé d’un jour, de deux, de trois, de six, de
huit, de vingt, sans qu’elle vît venir son époux, sans qu’elle en apprît
la moindre nouvelle. Alors elle commença à se lamenter de telle
façon, qu’elle aurait ému de pitié, dans les sombres royaumes, les
Furies à la crinière de serpents. Elle meurtrissait ses beaux yeux
divins, sa blanche poitrine, et arrachait ses beaux cheveux dorés.
« — Il est donc vrai — disait-elle — il me faut chercher qui me
fuit et qui se cache de moi ? Donc, j’en suis réduite à désirer qui me
dédaigne ! Il faut que j’implore qui ne veut pas me répondre ! Je dois
laisser mon cœur à qui me hait, à quelqu’un qui est si convaincu de
ses propres mérites, que l’immortelle Déesse devra descendre elle-
même du ciel pour enflammer d’amour son cœur insensible !
« Le hautain sait que je l’aime et que je l’adore, et il ne me veut ni
pour amante, ni pour esclave ! Le cruel sait que je souffre et que je
meurs pour lui, et il attend que je sois morte pour me venir en aide ;
et afin que je ne lui parle point de mes tourments, afin de ne point
laisser fléchir sa farouche résolution, il se cache de moi, semblable à
l’aspic qui refuse d’écouter le chant de l’homme, de peur de se
laisser apprivoiser.
« Hélas, Amour, arrête celui qui, après avoir ainsi brisé ses liens,
s’enfuit devant mes pas trop lents à le suivre dans sa course ; ou
bien rends-moi telle que j’étais quand tu t’es emparé de moi, alors
que je n’étais la sujette ni de toi ni de personne. Hélas ! combien
vaine est mon espérance de t’inspirer de la pitié par mes prières, toi
qui te plais à tirer des yeux des ruisseaux de larmes, ou qui plutôt en
fais ta nourriture, ta vie !
« Mais dois-je me plaindre d’autre chose, hélas ! que de mon
désir insensé ? Il m’emporte si haut dans les airs, qu’il arrive à des
régions où il se brûle les ailes ; alors, ne pouvant plus me soutenir, il
me laisse tomber du ciel. Et ce n’est point là la fin de mes maux ; car
toujours il recommence, et va se brûler de nouveau ; de sorte que je
suis sans fin précipitée dans l’abîme.
« Je dois me plaindre de moi, bien plus encore que de mon
désir ; n’est-ce pas moi qui lui ai ouvert mon esprit, dont il a chassé
la raison, et où mon pouvoir est au-dessus du sien ? Il m’entraîne de
mal en pis, et je ne puis le contenir, car il n’existe pas de frein
capable de l’arrêter. Je comprends qu’il me mène à la mort, car plus
j’attends, plus mon mal me fait souffrir.
« Et pourquoi même me plaindre de moi ? Quelle autre erreur ai-
je commise si ce n’est de t’aimer ? Faut-il s’étonner que mes sens
de femme, faibles et malades, aient été soudain subjugués ? Devais-
je me défendre du plaisir que me faisaient éprouver la beauté
suprême, les grandes manières et les sages paroles ? Celui-là est
bien malheureux qui cherche à ne pas voir le soleil.
« Outre que c’était ma destinée, le fus entraînée par les paroles
d’autres personnes dignes de foi. Une félicité suprême me fut
montrée comme devant être le prix de cet amour. Si ce fut une
fausse prédiction, si les conseils que me donna Merlin furent
trompeurs, je puis bien me plaindre de lui, mais je ne puis cesser
d’aimer Roger.
« Je puis me plaindre de Merlin et de Mélisse, et je me plaindrai
éternellement de tous les deux. A l’aide des esprits infernaux, ils
m’ont fait voir les fruits qui devaient éclore de ma semence, afin de
m’enchaîner par cette fausse espérance. Je ne vois pas quel était
leur motif, sinon qu’ils étaient sans doute jaloux de ma douce
sécurité, de mon cher repos. — »
La douleur l’envahit si fort, qu’il n’y a plus en elle de place pour
aucun soulagement. Cependant, le souvenir de ce que lui a dit
Roger en partant lui revient à la mémoire et ranime l’espérance en
son cœur. En dépit de toutes les apparences contraires, elle veut
espérer d’heure en heure le voir revenir.
Cet espoir la soutint, les vingt jours étant expirés, un mois
encore, pendant lequel sa douleur fut moins poignante qu’elle ne
l’eût été sans cela. Un jour qu’elle suivait la route par laquelle elle
allait souvent au-devant de Roger, la malheureuse apprit une
nouvelle qui fit s’enfuir l’espérance bien loin d’elle.
Elle fit la rencontre d’un chevalier gascon qui revenait
directement du camp africain, où il avait été fait prisonnier le jour de
la grande bataille livrée devant Paris. Elle l’interrogea longtemps,
jusqu’à ce qu’elle fût arrivée à ses fins. Elle lui demanda des
nouvelles de Roger, et s’en tenant à lui, elle ne sortit plus de ce sujet
de conversation.
Le chevalier lui en donna des nouvelles exactes, car il
connaissait très bien toute cette cour. Il lui raconta le combat que
Roger avait soutenu seul à seul contre le redoutable Mandricard,
comment il l’avait tué, après en avoir reçu une blessure qui le tint
pendant plus d’un mois en danger de mort. Si son histoire s’était
bornée là, il aurait donné la véritable excuse de Roger.
Mais il ajouta qu’il y avait au camp une damoiselle, nommée
Marphise, qui n’était pas moins belle que vaillante et experte à
toutes les armes ; qu’elle aimait Roger et que Roger l’aimait ; qu’on
les voyait rarement lui sans elle et elle sans lui, et que chacun
croyait qu’ils s’étaient donné leur foi ;
Que le mariage devait se célébrer dès que Roger serait guéri, et
que chacun des deux rois, ainsi que tous les chefs païens en
éprouvaient un grand plaisir, car ils connaissaient la valeur
surhumaine de l’un et de l’autre, et ils espéraient qu’il en sortirait une
race d’hommes de guerre la plus vaillante qui fût jamais sur terre.
Le Gascon croyait dire vrai ; car dans l’armée des Maures c’était
l’universelle croyance, et l’on en parlait également partout hors du
camp. Les nombreux témoignages de sympathie que Roger et
Marphise échangeaient, avaient donné lieu à ces rumeurs ; et il suffit
d’une seule bouche pour accréditer une nouvelle bonne ou
mauvaise, et la propager à l’infini.
L’arrivée de Marphise parmi les Maures, en compagnie de Roger,
et sa présence continuelle à ses côtés, avaient tout d’abord donné
naissance à ce bruit. Mais ce qui l’avait encore accru, c’était
qu’après avoir quitté le camp en enlevant Brunel, comme je l’ai
conté, elle y était ensuite revenue sans avoir été rappelée par
personne et seulement pour voir Roger.
Elle était venue au camp non pas une fois, mais souvent, dans le
seul but de visiter Roger qui languissait gravement blessé. Elle y
restait tout le jour, et ne partait que le soir, ce qui donnait encore plus
à parler aux gens, car on la connaissait pour tellement fière, qu’elle
tenait tout le monde pour vil à côté d’elle, tandis qu’elle était humble
et douce pour Roger seul.
Comme le Gascon assurait Bradamante que tout cela était vrai,
celle-ci fut saisie d’une peine si violente, qu’elle faillit tomber à la
renverse. Sans rien répondre, elle fit faire volte-face à son destrier,
le cœur plein de jalousie, de colère et de rage. Ayant perdu toute
espérance, elle rentra furieuse dans son appartement.
Et sans quitter ses armes, elle se jeta tout de son long sur son lit,
le visage enfoui dans les draps qu’elle prit dans sa bouche pour
s’empêcher de crier. Se rappelant ce que le chevalier lui avait dit,
elle tomba dans une telle douleur, que ne pouvant la contenir plus
longtemps, force lui fut de l’exhaler en ces termes :
« — Malheureuse ! à qui dois-je croire désormais ? Tous sont
perfides et cruels, puisque tu es cruel et perfide, ô mon Roger, toi
que je tenais pour si dévoué et si fidèle. Quelle cruauté, quelle
trahison coupable trouveras-tu dans les tragédies, qui ne soit
moindre que la tienne, si tu veux songer à ce que je méritais et à ce
que tu me devais ?
« Pourquoi, Roger, alors qu’il n’existe pas au monde de chevalier
plus hardi, plus beau que toi, ni qui t’égale en vaillance, en belles
manières et en courtoisie ; pourquoi ne fais-tu pas en sorte qu’entre
toutes tes autres vertus si éclatantes, on dise que tu possèdes aussi
la constance, et que tu gardes inviolable la fidélité, cette vertu
devant laquelle toutes les autres cèdent et s’inclinent ?
« Ne sais-tu pas que, sans elle, la vaillance et les nobles
manières ne sont rien ? C’est ainsi que les plus belles choses ne
peuvent se voir là où la lumière ne les éclaire point. Il te fut facile de
tromper une damoiselle dont tu étais le seigneur, l’idole et la divinité,
et à qui tu aurais pu, avec une parole, faire croire que le soleil est
obscur et froid.
« Cruel, de quelle faute auras-tu du remords, si tu ne te repens
point de tuer qui t’aime ? Si tu acceptes si légèrement de manquer à
ta foi, quel est donc le poids qui pourrait peser sur ton cœur ?
Comment traites-tu tes ennemis, si, à moi qui t’aime, tu causes de
pareils tourments ? Je pourrai bien dire qu’il n’y a pas de justice au
ciel, si ma vengeance tarde à t’atteindre.
« L’ingratitude égoïste est, de tous les crimes, celui qui pèse le
plus sur l’homme ; c’est pour cela que le plus beau des anges du ciel
fut précipité dans le plus obscur et le plus profond de l’enfer. Et si
une grande faute exige un grand châtiment lorsqu’elle n’a pas été
lavée par une pénitence nécessaire, prends garde qu’un dur
châtiment ne t’atteigne pour ton ingratitude envers moi, ingratitude
dont tu ne veux pas te repentir.
« Je dois encore, ô cruel, en outre de tous tes méfaits, t’accuser
de vol à mon égard ; ce n’est point parce que tu tiens mon cœur, que
je parle ainsi ; de cela, je consens à t’absoudre ; je veux dire que tu
t’étais donné à moi, et que tu m’as repris ton cœur sans motif.
Rends-le-moi, parjure ! tu sais bien que celui qui détient le bien
d’autrui ne peut être sauvé.
« O Roger, tu m’as délaissée ; moi je ne veux point te délaisser ;
et je le voudrais que je ne le pourrais pas. Mais pour échapper à
mes chagrins, à mon angoisse, je puis et je veux mettre fin à mes
jours. Cela seul m’est douloureux de mourir sans être aimée de toi,
car si Dieu m’avait concédé de mourir alors que je t’étais chère, je
n’aurais jamais connu de mort plus heureuse. — »
 Ainsi disant, elle saute de son lit, disposée à mourir, et, tout
enflammée de rage, elle dirige la pointe de son épée sur son sein
gauche. Elle s’aperçoit alors qu’elle est toute couverte de ses armes.
Une pensée meilleure naît dans son esprit et lui parle ainsi tout bas :
« — O dame de si haut lignage, tu veux donc en mettant fin à tes
jours encourir un si grand blâme ?
« Ne vaut-il pas mieux que tu ailles au camp, où une mort
glorieuse peut se rencontrer à toute heure ? Là, s’il advient que tu
tombes devant Roger, il pleurera peut-être encore sur ta mort. Mais
si tu meurs frappée par son épée, ne mourras-tu pas plus contente ?
Il est bien juste que ce soit lui qui t’arrache la vie, puisqu’il te fait
vivre en tant de peine.
« Peut-être encore, avant que tu meures, pourras-tu tirer
vengeance de cette Marphise qui cause ta mort en détournant de toi
Roger par ses amours frauduleuses et déshonnêtes. — » Ces
pensées semblent meilleures à la damoiselle. Aussitôt, elle se fait
faire, pour mettre sur ses armes, une devise qui doit indiquer sa
désespérance et son désir de mourir.
Sa soubreveste était de la couleur de la feuille qui se fane quand
elle tombe de la branche, et que la sève, qui la faisait vivre sur
l’arbre, vient à lui manquer. Elle l’avait fait broder au dehors de
troncs de cyprès flétris, comme lorsque la hache les a frappés. Ce
vêtement convenait très bien à sa douleur.
Elle prit le destrier qu’Astolphe avait coutume de monter, et cette
lance d’or qui faisait vider la selle à tous les cavaliers qu’elle
touchait. Astolphe la lui avait donnée. Je n’ai pas besoin de vous
répéter à quelle occasion, ni où, ni quand, pas plus que de vous
redire de qui il l’avait eue auparavant. Elle la prit, sans toutefois
connaître sa puissance stupéfiante.
Sans écuyer, sans compagnon, elle descendit de la montagne et
prit le plus court chemin vers Paris, devant lequel elle croyait qu’était
le camp sarrasin, car la nouvelle ne s’était pas encore répandue que
le paladin Renaud, avec l’aide de Charles et de Maugis, avait fait
lever le siège de Paris.
 Elle avait laissé derrière elle le pays et la cité de Cahors, les
monts où naît la Dordogne, et elle découvrait les environs de
Montferrand et de Clermont, quand elle vit venir sur la même route
qu’elle une dame au doux visage, ayant un écu attaché à l’arçon de
sa selle. Trois chevaliers marchaient à ses côtés.
D’autres dames et des écuyers suivaient à la file et formaient une
troupe nombreuse. En passant à côté de l’un d’eux, la fille d’Aymon
lui demanda qui était cette dame, et celui-ci lui dit : « — Cette dame,
envoyée comme messagère au roi du peuple français, est venue par
mer de l’Ile Perdue, située près du pôle arctique.
« Les uns nomment ce pays l’Ile Perdue, d’autres l’appellent
Islande. La reine de cette île, qui est d’une beauté telle que le ciel
n’en a accordé de pareille qu’à elle, envoie à Charles l’écu que vous
voyez, à la condition expresse de le donner au meilleur chevalier qui
à sa connaissance existe au monde.
« Comme elle s’estime, ce qu’elle est en réalité, la plus belle
dame qui se soit jamais vue, elle voudrait trouver un chevalier qui
surpasse tous les autres en hardiesse et en puissance, car elle a
mis et résolu dans sa pensée de n’avoir pour amant et pour seigneur
que celui qui sera le premier dans le métier des armes.
« Elle espère qu’en France, à la cour fameuse de Charlemagne,
se trouve le chevalier qui, par mille prouesses, a prouvé qu’il est plus
hardi et plus fort que tous les autres. Les trois chevaliers qui font
escorte à la dame sont rois tous les trois, et je vous dirai aussi de
quels pays ; l’un est roi de Suède, l’autre est roi de Gothie ; le
troisième est roi de Norvège. Ils ont peu d’égaux sous les armes, si
tant est qu’ils en aient.
« Leurs royaumes ne sont pas voisins, mais sont les moins
éloignés de l’Ile Perdue, ainsi nommée parce que la mer qui la
baigne est peu connue des navigateurs. Tous les trois étaient
amoureux de la reine, et ils se disputaient à qui l’aurait pour femme.
Pour lui plaire, ils ont accompli des exploits dont on parlera tant que
tournera le ciel.
 « Mais elle n’a voulu ni d’eux, ni d’aucun autre qui ne serait pas
tenu pour le premier chevalier du monde dans les armes. « — Je
fais peu de cas — avait-elle coutume de leur dire — des prouesses
que vous avez accomplies en ces lieux. Si l’un de vous l’emportait
sur les deux autres, comme le soleil l’emporte sur les étoiles, je
pourrais le trouver sublime ; mais je ne pense pas cependant qu’il
pût se vanter d’être le meilleur chevalier qui porte aujourd’hui les
armes.
« Je vais envoyer à Charlemagne, que j’estime et que j’honore
comme le plus sage prince qui soit au monde, un riche écu d’or, à la
condition qu’il le donnera au chevalier de sa cour qui aura la plus
grande réputation de vaillance. Que ce chevalier soit son vassal ou
celui d’un autre, je veux m’en rapporter à l’avis de ce roi.
« Quand Charles aura reçu l’écu et l’aura donné à celui qu’il
croira plus hardi et plus fort que tous les autres, qu’il se trouve à sa
cour où ailleurs, si l’un de vous, grâce à sa valeur, peut me rapporter
l’écu, je donnerai à celui-là tout mon amour, je placerai en lui tout
mon désir, et celui-là sera mon mari et mon seigneur. — »
« Ce sont ces paroles qui ont poussé ces trois rois à venir d’une
mer si éloignée jusqu’ici. Ils sont résolus à rapporter l’écu, ou à
mourir de la main de celui qui l’aura. — » Bradamante prêta une
grande attention au récit de l’écuyer, lequel, prenant ensuite les
devants et pressant son cheval, rejoignit ses compagnons.
Bradamante ne galope ni ne court après lui ; elle poursuit
paisiblement son chemin, tout en songeant aux nombreux
événements qui peuvent résulter de ce qu’elle vient d’apprendre.
Elle se dit, en somme, que cet écu va apporter en France la
discorde, et sera le sujet de querelles infinies et d’une immense
inimitié entre les paladins et les autres chevaliers, si Charles veut
désigner quel est le meilleur d’entre eux et lui donner l’écu.
Cette pensée lui oppresse le cœur ; mais ce qui lui pèse le plus,
ce qui la ronge, c’est que Roger lui ait enlevé son amour et l’ait
donné à Marphise. Tout son esprit est tellement concentré sur cette
idée, qu’elle ne fait point attention à son chemin, qu’elle ne se
préoccupe point de savoir où elle va, ni si elle trouvera une hôtellerie
commode pour passer la nuit.
De même qu’un bateau, qu’un coup de vent ou toute autre cause
a détaché de la rive, s’en va sans nocher et sans guide où l’entraîne
le courant du fleuve, ainsi chemine la jeune amante, ayant toute sa
pensée tournée vers son Roger. Elle va au gré de Rabican, car
l’esprit qui doit guider la bride est bien loin d’elle.
Elle lève enfin les yeux, et voit que le soleil a tourné le dos aux
cités de Bocco, et qu’il s’est plongé dans le sein de sa nourrice, delà
le Maroc. Alors elle s’aperçoit qu’il serait imprudent de loger au
milieu des champs, car il souffle un vent froid, et l’air brumeux fait
présager, pour la nuit, de la pluie ou de la neige.
Elle fait presser le pas à son cheval, et elle ne tarde pas à
rencontrer un berger qui se disposait à quitter les champs, après
avoir réuni devant lui tout son troupeau. La dame lui demande avec
beaucoup d’instances de lui enseigner où elle pourra se loger bien
ou mal ; car quelque mal que l’on soit logé, on ne risque jamais
d’être plus mal qu’en plein air, exposé à la pluie.
Le berger lui dit : « — Je ne connais aucun endroit que je puisse
vous indiquer, sinon à quatre ou six lieues plus loin, un château qui
s’appelle la Roche-Tristan. Mais il n’est pas donné à tout le monde
d’y loger, car le chevalier qui désire y prendre logement doit le
conquérir la lance à la main, et le défendre contre tout nouveau
venu.
« Si, quand il arrive un chevalier, la place se trouve vide, le
châtelain le reçoit ; mais il lui fait promettre que, s’il survient un
nouvel arrivant, il sortira pour jouter avec lui ; si personne ne vient, il
n’a point à se déranger, mais si quelqu’un se présente, force lui est
de reprendre ses armes et de combattre. Celui des deux qui est
vaincu cède sa place à l’autre, et va coucher sous le ciel serein.
« Si deux, trois, quatre guerriers, ou un plus grand nombre,
arrivent ensemble les premiers, ils reçoivent paisiblement
l’hospitalité. Mais quiconque vient seul ensuite, trouve un tout autre
accueil, car ceux qui sont déjà installés lui donnent une plus rude
besogne. De même, si un seul chevalier a reçu d’abord l’hospitalité,
les deux, les trois, les quatre et tous les autres qui viennent après, le
forcent à combattre contre chacun d’eux ; de sorte que s’il a du
courage, cela lui est d’un grand secours.
« Ce n’est pas tout ; si une dame ou une damoiselle, seule ou en
compagnie, arrive à cette roche, et puis qu’il en vienne une autre,
c’est à la plus belle qu’est réservée l’hospitalité ; la moins belle doit
rester dehors. — » Bradamante demande où est cette roche, et le
brave berger, sans plus rien dire, lui indique avec la main un endroit
situé à cinq ou six milles loin de là.
Bien que Rabican fût bon trotteur, la dame ne peut le faire
avancer assez vite à travers ces chemins fangeux et défoncés, — la
saison avait été très pluvieuse — pour arriver avant que la nuit noire
n’ait obscurci toute la contrée. Elle trouva la porte close, et elle dit à
celui qui en avait la garde qu’elle voulait loger.
Le gardien répondit que la place était occupée par des dames et
des guerriers qui étaient arrivés avant elle, et qui attendaient autour
du feu que leur souper leur fût servi. « — S’ils ne l’ont pas encore
mangé — dit la dame — je ne crois pas que le cuisinier l’aura fait
cuire pour eux. Va leur dire que je les attends ici, car je connais la
coutume et j’entends l’observer. — »
Le gardien partit et alla porter l’ambassade aux chevaliers qui se
reposaient tout à leur aise, et auxquels cette nouvelle fut fort peu
agréable, attendu qu’elle les forçait de sortir à l’air froid et malsain.
Ajoutez à cela qu’une grande pluie commençait à tomber. Ils se
levèrent pourtant, prirent leurs armes, et, laissant leurs compagnons
dans le château, ils arrivèrent tous ensemble, sans trop se presser, à
l’endroit où la dame les attendait.
C’étaient trois chevaliers d’une telle valeur que peu d’autres
valaient plus qu’eux au monde. C’étaient eux que Bradamante avait
vus le jour même à côté de l’ambassadrice d’Islande, et qui s’étaient
vantés de rapporter de France dans leur pays l’écu d’or. Ayant
pressé plus vigoureusement leurs chevaux, ils étaient arrivés avant
Bradamante.
 Peu de chevaliers étaient meilleurs qu’eux sous les armes. Mais
Bradamante espère bien qu’elle sera du nombre de ceux-là, car elle
entend ne point passer la nuit dehors, ni rester à jeun. Les habitants
du château, placés aux fenêtres et dans les galeries, regardaient la
joute à la lumière que projetait la lune malgré de nombreux nuages,
et bien que la pluie fût abondante.
De même que l’amant bien épris, sur le point d’entrer dans la
chambre où il espère commettre de doux larcins, sent son cœur
battre de plaisir quand il entend, après une longue attente, glisser
doucement le verrou, ainsi Bradamante, désireuse de se mesurer
avec les chevaliers, se réjouit en entendant les portes s’ouvrir, et en
voyant les trois guerriers franchir le pont et sortir du château.
Aussitôt qu’elle les a vus franchir le pont et sortir tous les trois à
peu d’intervalle les uns des autres, elle tourne bride pour prendre du
champ, et revient chassant à toute bride son bon cheval, et tenant
en arrêt la lance que lui donna son cousin et avec laquelle on ne
joute jamais en vain, car tout guerrier touché par elle, fût-il Mars lui-
même, doit être forcément jeté hors de selle.
Le roi de Suède, qui s’avança le premier, fut aussi le premier jeté
à terre, tellement fort fut le coup porté sur son casque par la lance
qui ne fut jamais baissée en vain. Le roi de Gothie fournit la seconde
course, et se retrouva en un clin d’œil, les jambes en l’air, loin de
son destrier. Le troisième resta culbuté sens dessus dessous dans
l’eau bourbeuse du fossé.
Après les avoir, en trois coups, fait voltiger les pieds en l’air et la
tête en bas, Bradamante se dirige vers le château où elle doit
recevoir l’hospitalité pendant la nuit ; mais, avant de lui livrer
passage, elle trouve quelqu’un qui lui fait jurer qu’elle sortirait à
chaque fois qu’elle serait appelée à jouter par de nouveaux
arrivants. Le châtelain, qui a été témoin de sa vaillance, la reçoit
avec grand honneur.
Il en est de même de la dame qui était venue le soir même en
compagnie des trois chevaliers, envoyée, ainsi que je l’ai dit, de l’Ile
Perdue en ambassade au roi de France. Elle se lève et, en femme
gracieuse et affable qu’elle était, elle vient au-devant de Bradamante
qui la salue courtoisement, la prend par la main, et la conduit près
du feu.
Bradamante, commençant de se désarmer, avait déjà déposé
son écu et retiré son casque, lorsqu’en ôtant ce dernier, elle fit
tomber une coiffe d’or dans laquelle elle retenait à plat ses longs
cheveux. Ceux-ci tombèrent épars le long de ses épaules qu’ils
couvrirent entièrement, et la firent connaître pour une damoiselle
aussi belle de visage que fière sous les armes.
De même qu’au lever du rideau, la scène apparaît étincelante de
mille lumières qui se reflètent sur les arceaux, les palais
superbement dorés et remplis de statues et de peintures ; ou de
même que le soleil, s’échappant d’une nuée, découvre sa face
limpide et sereine, ainsi la dame, en ôtant son casque, semble
entr’ouvrir le paradis.
Déjà ses beaux cheveux que son frère avait coupés autrefois, ont
repoussé, et bien qu’ils ne fussent pas encore revenus à leur état
primitif, ils étaient assez longs pour qu’elle pût les nouer par derrière
la tête. Le châtelain de la Roche la reconnaît aussitôt pour
Bradamante, car il l’avait vue bien d’autres fois, et plus que jamais il
la comble de prévenances, et lui témoigne son estime.
Ils s’assoient près du feu, et ils repaissent leurs oreilles d’une
conversation agréable et honnête, pendant que l’on prépare une
nourriture plus substantielle pour le reste du corps. La dame
demande à son hôte si cette façon d’exercer l’hospitalité est
ancienne ou nouvelle, quand elle a commencé et qui l’a établie. Le
chevalier lui répond ainsi :
« — Au temps où régnait Pharamond, son fils Clodion eut pour
amie une dame gracieuse et belle, et surpassant par ses manières
distinguées toutes les autres femmes de cette époque antique. Il
l’aimait tellement, qu’il ne la perdait pas plus de vue que Jupiter la
vache Io dont il s’était fait le pasteur, car chez lui la jalousie était
égale à l’amour.