【作者】 马马度；

【导师】 张秀娥；

【作者基本信息】 吉林大学 ， 企业管理， 2014， 博士

【摘要】 关于企业领导的研究已经吸引了学者和实业界的兴趣。企业领导的研究可以追溯到19世界西方工业革命时代。目前关于领导的研究，大多数集中在领导的定义上。可以从不同的视角对领导进行诠释，包括个性、作风、行为、影响力、互动风格、角色和关系等。不同的领导风格对团队绩效产生不同的影响。尽管环境与组织背景有差别，多数学者将研究聚焦于任务、有效地企业领导和领导行为。研究认为，企业领导是个体或群体通过激发并影响员工取得既定目标的综合能力。研究证明，优秀的领导风格和领导者直接影响团队并提高企业绩效。因而，分析哪种领导风格影响企业绩效，以及怎样的高绩效团队有助于企业成功，有着十分重要的意义。关于创业领导风格、领导的定义、领导理论、企业领导的研究已取得丰富成果。从20世纪80年代末以来，关于领导的研究主要集中在领导者特质、领导者个人魅力的影响及变革型领导上（Bass，1985; Kanungo1990; Sashkin，1988; Tichy and Devanna，1990）。直到今天，领导风格对创业导向有着重要的影响且引起了越来越多学者的关注。学者们对企业创业的前因变量和结果变量进行大量研究，提出了创业导向三个维度，即创新性，冒险性和行动超前性。基于此，本文研究中国东北中小企业领导风格、创业导向和企业创业绩效之间的关系，以期进一步丰富现阶段的创业理论。创业对企业变革和可持续发展越来越重要。过去几十年市场环境发生了快速变化，为保持竞争优势，企业必须具有创造性，必须更具有冒险精神和行动超前性，以成功实现企业的创业活动。领导风格作为影响创业导向的一个关键因素，引起越来越多学者的关注，并且也取得丰富研究成果。但这些研究鲜有涉及到领导风格、创业导向与创业绩效之间的关系。创业导向及其维度可以对企业绩效产生积极影响。大多数研究表明，在内部和外部环境因素不断变化的情景下，创业导向影响企业及其绩效。研究还表明，领导风格是对环境变量的反映。由于环境变得愈加复杂和动荡，企业面临的环境也更加复杂和多样化，企业发展面临着更大的挑战。这就是为什么更多的企业采用创业导向策略来保持竞争优势。甚至在规划阶段，创业者和创业环境的互动决定了不同类型的企业活动，导致了创业绩效的不同。因此，我们可以看到，自从20世纪80年代以来，创业导向和企业绩效就已经成为理论界和实业界研究的关键问题。本文回顾中小企业的领导风格的不同发展阶段，并分析领导风格与员工行为间的互动，内部工作环境因素，以及管理水平和其他相关对员工行为和企业绩效间的影响。本研究采用Bass和其他的一些研究者（Bass，1985，1996; Avolio et al.1995）的领导理论。根据Bass（1985）观点，变革型领导通过激励员工、为员工设置挑战任务以及鼓励员工个人发展，来调动员工的积极性。变革型领导强调取得更高的集体目标——共同的使命和愿景。第二种领导风格是交易型领导风格。交易型领导风格强调在员工完成既定任务时给予其具体的奖励。交易型领导风格涉及领导者与员工的沟通与经验分享。以往研究表明，变革型领导和交易型领导所表现出的行为不同。研究中通常运用多因素领导问卷（MLQ）对领导行为进行分析（Avolio et al.1995）。变革型领导包括个性化的考虑（IC）、智力上的刺激（IS）、魅力（CHA）和鼓舞人心的动力（IM）。Bass（1996）通过回顾一系列研究发现了变革型和交易型领导风格的区别。另外大量研究表明，变革型领导能够对员工的工作满意度、激励和工作绩效产生积极的影响（Lowe et al.1996）。交易型领导和变革型领导与放任型领导的领导风格有明显差异，放任型领导的领导方式是逃避领导者责任及尽量避免做决定（Bass，1990）。在这样上司的监管下，员工的工作基本上是按照自己的决策来执行他们的工作职责。尽管放任型领导风格在美国企业中并不常见（Bass and Avolio，1989），但是仍然会以多种不同形式存在于企业管理活动中（Bass，1990）。研究发现，放任型领导风格对员工的工作结果有不利的影响（Bass，1990; Yammarino and Bass，1990）。本文聚焦于中国东北地区中小企业，利用定性和定量相结合的方法进行实证分析。与此同时，对创业绩效的考量结合了财务绩效和成长绩效，丰富了创业企业绩效的内涵。如何提高企业绩效，对于企业至关重要。针对这个问题，本研究选取领导风格作为自变量，用创业导向作为中间变量，并通过案例研究，调查问卷和其他管理研究方法，利用SPSS16.0和其他统计软件分析数据收集的问卷调查，以东北地区中小企业为研究样本，分析领导风格、创业导向和创业绩效之间的关系，利用这三个变量构建理论模型。在此基础上提出了22个假设并通过实证研究，分析中国东北中小企业不同类型的领导风格（变革型领导、交易型领导风格和放任型领导）对创业导向和创业绩效的不同影响。在分析的基础上对测量量表的信度和效度进行了进行检验和分析。通过收集到的数据，使用因子分析、相关分析和回归分析，验证了领导风格，创业导向和企业绩效间关系。研究结论如下:首先，本研究显示领导风格在公司创业过程中发挥重要作用。一些对于领导风格和企业绩效之间的关系的研究结论是不同的。本研究发现：变革型和交易型领导不仅可以提高领导的有效性，而且也有助于提升创业企业绩效。其次，变革型和交易型领导对创业导向及其维度有显著积极影响。但是放任型领导对创业导向和创业绩效变量的影响不显著。研究发现，创业导向显著影响中国东北中小企业的知识资本积累和创业绩效，而中小企业的财务绩效受到企业创业创新程度的影响，即企业的风险投资和战略重构都会对财务绩效产生影响。本文基于理论构建了中国东北中小企业的领导风格、创业导向和企业绩效的研究模型。在此基础上提出假设。基于实证研究得出结果。最后，根据研究结果，提出关于管理实践的相关建议，并指出未来研究方向。更多还原

【Abstract】 The topic of corporate leadership has attracted considerable interest from bothacademics and practitioners. Its study dates back to the late19th Century during theWestern Industrial Revolution. Currently, there is important scholarly works beingdone on the concept of leadership. Leadership is defined from different angles. Itinvolves character, style, behavior, influence, interaction patterns, role,relationships etc... These skills are inherently within humans. Different leadershipstyles can affect effectiveness and performance. Most researchers, despite theirvarying circumstances and organizational backgrounds, tend to focus on tasks,effective corporate leadership, and the behavior of leaders.In the context of this study, corporate leadership is comprehended as the abilityof an individual or group to inspire and to influence subordinates by directing them toachieve the targeted objectives within a given context. It can be demonstrated thatleadership styles and characteristics of a good leader can influence teamwork andimprove an enterprise’s performance. From this perspective, it is worthwhile to knowwhich kind of leadership style affects the performance of enterprises and howvaluable teamwork and discussion are for the improvement of the enterprise’s success.From the literature there appears to be a plethora of leadership styles, severaldefinitions on leadership, numerous theories and research in corporate leadership,and multiple classifications of this concept, etc. Since the late1980’s, much of theleadership research has focused on the characteristics and effects of charismatic andtransformational leadership （Bass，1985; Kanungo，1990; Sashkin，1988; Tichyand Devanna，1990）. Until today, leadership styles have an impact on entrepreneurial orientation and this catches the interest of many scholars. Scholarsconducted numerous studies about the antecedents and consequences of corporateentrepreneurship within the three entrepreneurial orientation dimensions ofinnovativeness, risk-taking, and pro-activeness. Based on the study of therelationships among leadership styles, entrepreneurial orientation, and theentrepreneurial performances of the SMEs in the North-east of China, the theory ofentrepreneurship research has developed to its present stage.Entrepreneurship is becoming more and more important for enterprises as a mainway for change and sustainable growth. The past decades witnessed high rates ofchange in the market environment. For sustained competitive advantage, firms mustbe more creative, they must be willing to take more risks, and more proactive thantheir competitors in order to implement corporate entrepreneurship activitiessuccessfully. Leadership style, as it impacts entrepreneurial orientation, is one of thekey factors that have caused more and more scholars concern. In the theoretic circles,a lot of the fruits of studies have been implemented in terms of leadership style. Thesestudies, however, have hardly touched the subject of the link betweenentrepreneurial orientation and business performance.Entrepreneurial orientation and its dimensions can positively influence theperformance of enterprises. So many studies still mention the fact thatentrepreneurship venture is quite important contribution directing the varying internaland external environmental factors that can affect the firm and impact its performance.In other studies it is believed that entrepreneurship is a reaction to environmentalvariables. As environments become more complex and dynamic, enterprises that areconnected to such environments become more complicated and diversified,eventually adopting entrepreneurial orientation strategies in order to sustaincompetitive advantage. Even at the planning stage, it is the interaction between theentrepreneur and his or her environment that decides the different types of businessactivities, which in turn, affects the result of the enterprise’s performance. From thiswe can see that the relationship between a firm’s entrepreneurial orientation and that same firm’s performance has been the key issue of theoretical and empirical researchin the field of corporate entrepreneurship since the1980’s.This study reviews the development stages of leadership styles in small andmedium-sized enterprises and analyzes the interaction between leadership style andsubordinate behavior, the internal factors of the working environment, and takes alook the management level and the other related factors that affect subordinates’behavior vis a vis the corporate performance relationship.Used in this research is a version of the transformational leadership theoryformulated by Bass and his colleagues （Bass，1985,1996; Avolio et al.1995）.According to Bass （1985） transformational leaders motivate their subordinates byinspiring them, challenging them, and encouraging individual development. Thistransformational leadership further stresses achievement of a higher collectivepurpose—that of a common mission and vision. The second leadership style istransactional leadership. It stresses specific benefits that the subordinates wouldreceive by accomplishing agreed-upon tasks. A transactional leadership style involvesnegotiations between leaders and their subordinates and an exchange of experiencebetween them.Preceding research shows that different behaviors are involved in thetransformational and transactional leadership styles. The behaviors are measured withthe Multifactor Leadership Questionnaire （MLQ）（Avolio et al.1995）.Transformational leadership includes individualized consideration （IC）,intellectual stimulation （IS）, charisma （CHA）, and inspirational motivation（IM）. Transactional leadership includes contingent reward （CR） behavior andmanagement by exception （ME）. A series of studies reviewed by Bass （1996）supports the distinction between transformational and transactional leadership. Thereis also considerable evidence that transformational leadership is effective and ispositively related to subordinate satisfaction, motivation, and performance （Loweet al.1996）. Transactional and transformational leadership styles are contrasted withlaissez-faire leadership. Laissez-faire leaders abdicate their responsibility and avoidmaking decisions （Bass，1990）. Subordinates working under this kind of supervisor are basically left to their own strategies to execute their job responsibilities.Although laissez-faire leadership is observed infrequently in the United States（US） businesses （Bass and Avolio，1989）, managers still exhibit it in varyingamounts （Bass，1990）. Prior research has found that laissez-faire leadership hasan adverse effect on work-related outcomes of employees’（Bass，1990;Yammarino and Bass，1990）.This research focuses on the SMEs in Northeast China. This study uses acombination of analysis （quantitative&qualitative） to bring successful issue onthe empirical and experiential tests. At the same time, it also carries out somedimensions of innovation within performance together with the financial performanceand growth is also measured.The outstanding issue remaining to be seen is how companies enhance theirentrepreneurial performance. To answer that question, this study assesses leadershipstyle, using entrepreneurial orientation as the intermediate variable. Through casestudies, questionnaires, and other management research methods, such as the SPSS16.0and other statistical software for analyzing the data collected by questionnaire,this study discusses the impact of different types of leadership on the entrepreneurialorientation and entrepreneurial performance of SMEs in Northeast China in detail. Inthis research, we proposed twenty-two hypotheses based on the model of the threevariables. The datum that we are used to this empirical research was collected byquestionnaire. Based on the literature review and interviews, some relevant researchhypothesis are put forward and validated through empirical study. In the context ofChinese entrepreneurial orientation and entrepreneurial performance, this studyverifies whether transformational leadership, transactional leadership, and laissez-faire leadership have had different effects within different types of small and middle-size enterprises on the grounds of the managerial analysis of validity and reliabilityabout the measurement of scale through the datum we collected using the analysis offactor, correlation and regression on leadership style, entrepreneurial orientation,and business performance relationships. After the empirical test analysis was carried out, eighteen hypotheses are proven right and four hypotheses are not verified.The study comes up with the following preliminary conclusions:First,leadership styles in Northeast of China`s small and middle-size enteprisesengage an great role in the process of entrepreneurial field. Some studies on therelationship between leadership styles and entrepreneurial performance have showndifferent conclusions. Significant findings from this study demonstrate thattransformational and transactional leadership not only enhance the effectiveness ofleadership, but they also promote the entrepreneurial performance of enterprises.Second, transformational and transactional leadership have a significantlypositive impact on entrepreneurial orientation and its dimensions. The laissez-faireleadership does not have a great impact on entrepreneurial orientation andentrepreneurial performance. It is further demonstrated that entrepreneurialorientation significantly impacts on the capital knowledge of accumulation andentrepreneurial performance of the Northeast of China`s small and middle-sizeenterprises. At the same time, financial performance of SMEs is impacted by thedegree of corporate entrepreneurship innovation, not only by risk investment but alsoon the strategic reconstruction of corporate entrepreneurship.This thesis shapes the research model on Northeast China’s leadership style,entrepreneurial orientation, and entrepreneurial performance based on theoreticalresearch and proposed hypotheses that will be verified in detail. The empiricalresearch based on the collected data by questionnaires demonstrates the conclusionsof this research. Finally, a summary of better management practices is given withsome advice and recommendations for future research.更多还原