【作者】 刘晖；

【导师】 黄速建；

【作者基本信息】 辽宁大学 ， 企业管理， 2013， 博士

【摘要】 领导行为理论及其作用机制问题一直是组织行为学的一个研究热点。Bass提出的交易型领导和变革型领导是领导理论研究的新范式，但它们的概念、构成和作用却可能因国家文化的不同而不同。自从Bass提出变革型领导是建立在交易型领导的基础上的观点后，国内外学者把研究的重点放在变革型领导理论上，大量的研究已经证明变革型领导的有效性，而关于交易型领导的研究结果却不确定，出现了不一致。不过，近年国内部分学者开始对以愿景激励等为特色的变革型领导在我国组织中的有效性提出质疑，其中以时勘等为代表的国内学者提出“加强对交易型领导的研究可能更适合中国的客观现实”的理论观点，张丽华等学者在以公务员为样本的实证分析中也发现交易型领导比变革型领导作用更显著。因此，关于这两种领导方式在中国本土化的理论和实证分析还有待进一步深入研究。面对经济全球化的进程的加速，企业面临的环境竞争性、不确定性越来越大。在这种情况下，每个企业管理者都必须思考这样的问题：如何选择有效的领导方式去营造一种规范而和谐的领导和下属之间的关系？不同的领导方式是否在有效激励员工的潜能，自觉自愿地充分发挥员工组织公民行为，减少甚至消除员工的反生产行为方面存在差异？高质量的领导-成员交换在这个过程中是否发挥作用？员工的工作价值观又对领导方式和员工行为之间关系起到什么作用？对我国劳动密集型企业，尤其是一线人才流失严重的制造业来说，这是个非常现实的管理问题。基于以上研究问题，本文对国内外的学术期刊、优秀博硕士论文、学术会议论文以及有关的学术著作、研究报告等文献成果进行了认真的查阅梳理，受到启示，同时也发现了一些研究空间。在文献研究的基础上，本文从理论上对交易型领导、变革型领导、领导-成员交换、组织公民行为、反生产行为和工作价值观的内涵、维度、影响作用和作用机制以及交易、变革这两种领导方式的比较研究等方面进行了较为系统的分析并构建了比较严谨的理论研究模型。本研究以447份有效问卷调查数据为研究对象，运用SPSS16.0和LISREL8.70统计分析软件对调研数据进行了统计分析，主要运用了描述性统计分析、信度分析、效度分析、相关分析、回归分析、结构方程等等实证研究方法。即在厘清这两种领导方式内涵、维度和影响因素、作用机制的基础上，通过实证研究的方法，对在我国都可能有深刻影响的这两种领导方式进行研究和比较，以期发现到底哪一种领导方式更适合我国本土企业？这两种领导方式的哪一方面对企业员工行为的作用效果可能更有效？企业管理的理论研究和现实实际需求之间存在一定的差距，这为本论文研究提供了研究的可能。据此，本论文主要研究内容如下：第一章，绪论。这部分主要是阐述了问题提出的背景和理论及现实意义，相关理论上的不足之处，本文拟解决的问题，提出研究的目标，以及采用的研究技术路线，最后对本文的具体研究内容、逻辑框架、技术路线以及创新点进行了说明。第二章，文献综述。这部分对国内外有关交易型领导和变革型领导、领导--成员交换、组织公民行为、反生产行为以及工作价值观等研究既有成果进行了梳理，主要涉及交易型领导和变革型领导、领导--成员交换、组织公民行为、反生产行为和工作价值观相关内涵和维度及测量分析、影响因素和作用机制等研究领域展开综述。针对交易型领导和变革型领导理论比较研究以及这两种领导理论在同一中介变量和同一调节变量下影响效能实证研究的不完善，提出本文的研究方向。第三章，研究模型构建。这部分内容在梳理前人的研究成果基础上，基于理论分析，提出相应的研究假设，构建本文的研究理论模型。第四章，研究设计。这部分从自变量、因变量、中介变量、调节变量等的界定和量表选择、问卷编制的说明、量表的净化等方面进行分析，为第五章的正式调研奠定基础。第五章，实证分析。这部分主要从正式调研与量表检验与交易型领导和变革型领导对员工行为作用效果等方面进行实证分析。主要分析交易型和变革型领导对员工组织公民行为和反生产行为的影响、交易型和变革型领导对领导--成员交换影响、领导--成员交换的中介作用、工作价值观的调节作用。第六章研究结论与展望。这部分首先对全文研究结论进行了总结。其次在理论分析和实证研究成果的基础上提出相应的管理建议，最后分析了本文存在的问题局限，阐明未来研究的发展方向以及可能需要进一步拓展的研究空间。本文的创新点主要有以下三点：1．分析了交易型领导和变革型领导对领导--成员交换的影响及差异性作为比较成熟的领导理论，交易型领导和变革型领导的分析研究很多，但众多的关系研究中，鲜见分维度对交易型和变革型这两种领导方式对领导--成员交换关系的影响进行分析，并且比较这两种领导方式对领导--成员交换关系预测力的差异。本研究是对这方面研究的进一步验证和完善。2.分析了交易型领导和变革型领导对组织公民行为和反生产行为的影响及差异性分别对交易型和变革型这两种领导方式对组织公民行为、员工反生产行为影响进行分析，并比较其影响是否存在差异，在丰富国内对交易型和变革型领导理论的比较研究的同时，也弥补了对反生产行为不同前置变量比较研究的不足。3.进一步考察了工作价值观的调节作用工作价值观对交易型领导和变革型领导与员工的组织公民行为和反生产行为关系是否具有调节作用国内的研究尚无定论。本文是对交易型和变革型领导对员工组织公民行为和反生产行为关系调节变量研究的进一步拓展。本文的研究结论为：第一，交易型领导和变革型领导都对领导--成员交换有显著的正向影响，变革型领导影响作用更显著。而在变革型领导的各维度中个性化关怀对领导成员交换影响最为显著；第二，交易型领导和变革型领导都对员工的组织公民行为有正向的影响作用，对反生产行为有显著的负向影响作用。变革型领导在促进组织公民行为和抑制反生产行为的效果上要好于交易型领导，其中变革型领导维度中德行垂范和领导魅力的作用效果比较显著；第三，领导--成员交换关系是交易型领导和变革型领导与组织公民行为之间关系的部分中介变量；第四，工作价值观中的舒适和安全、能力和成长两个维度对变革型领导与组织公民行为、反生产行为的关系具有显著调节作用。工作价值观中的能力和成长维度对交易型领导与员工组织公民行为和反生产行为的关系具有显著调节作用。本文的研究建议为：在制造企业实际管理工作中，企业管理者可以具体情况具体分析，对交易型领导和变革型领导方式进行权变选择，加强领导--成员交换的质量，合理利用交易型领导的奖惩分明的特色制定组织规范，建立激励制度，同时发扬变革型领导的德行垂范、领导魅力、个性化以及愿景激励特色，因势利导满足员工工作价值观的属性需求，充分发挥员工的积极组织公民行为，逐步消除反生产行为的隐患和动机，从而为企业管理绩效的提升奠定良好的管理基础。更多还原

【Abstract】 The theory of leadership behavior and its mechanism of action has been a focuson the organizational behavior research.Transactional leadership and transformationalleadership is the new paradigm of leadership theory which was proposed by Bass. Butits concept, structure and function is likely to be different from culture to culture.Since Bass proposed that transformational leadership is based on the view oftransactional leadership, the research of scholars both at home and abroad are focuson transformational leadership theory. And a large number of studies in the domesticand overseas have shown the effectiveness of transformational leadership. But theresearch results about transactional leadership are uncertain, and they areinconsistency. In recent years, some domestic scholars begin to question the validityof the transformational leadership which featured by vision incentive which in theorganization in our country, which represented by Shi Kan and other domesticscholars who put forward the theory of point that "strengthen the research oftransactional leadership may be more suitable for the objective reality of China", andscholars such as Zhang Lihua also prove the validity of transactional leadership bysamples in the empirical analysis about civil servants. About these two kinds oftheoretical and empirical analysis on the localization of leadership in China remains tobe further in-depth study.In the face of the acceleration of the process of economic globalization,enterprises are faced with the competitive environment and lager uncertainty. Underthese circumstances, every enterprise managers have to think about such questions:How to choose the effective way to build a kind of specification and harmonyrelationship between leadership and subordinates? Does different styles of leadershiphave differences in effectively motivate staff’s potential, voluntary to give full play tothe organizational citizenship behavior and reduce or even eliminate the staff’scounterproductive behavior? Whether High quality-members of the leadership of theexchange plays a role in the process between leaderships and members? What effectsdoes the employees’ work value have about the relationship between the leadership’sstyle and the member’s behavior? Labor-intensive enterprises in China, especially the manufacturing line brain drain seriously, this is a very real management problems.Based on the above studies, some domestic and foreign academic journals,outstanding doctoral and master dissertations, academic conference papers and therelated literature achievements are all carried out in this paper. In addition, we areinspired and find some deficiencies at the same time. On the basis of a large numberof document research, this paper makes comparison and systematic study in theorywhich involved transactional and transformational leadership, leader-memberexchange, organizational citizenship behavior, the connotation of counterproductivework behavior, dimension, situational variables and effects, as well as thecomparative study of two kinds of leadership style. By constructing a theoreticalcomparison of rigorous research model, this research with447valid questionnairedata as the research object using SPSS16.0and LISREL8.7statistical analysissoftware to analysis the survey data. Mainly using the empirical research method suchas the descriptive statistics analysis, reliability analysis,validity analysis, correlationanalysis, regression analysis, structural equation and so on. On the basis of clarifyingthe connotation, the dimension and the influencing factors and mechanism, and thosewho have a profound influence on in our country is likely to be studied andcomparison by the empirical research method, in order to find out what kind ofleadership style is more suitable for local companies in China? Which aspect of thesetwo kinds of leadership style may be more effective to the enterprise employeebehavior?The above research perspective for the research of this thesis is provided by thegap between theoretical research and practical demand. The main research contents ofthis thesis are as follows:The first part is introduction. This part mainly expounds the realistic backgroundof the problem, the lack of relevant theory, how to solve the problem, then putsforward the research target and research methods, finally explains the logicalframework, technical route, the research contents and innovation points.The second part is the literature review. According to the comparative study oftransactional and transformational theory, organizational citizenship behavior andcounterproductive work behavior and work values, this paper reviewed the connotation and did some related dimension and measurement analysis in influencefactors and the function of research field. Because of the empirical studies of thecomparison of transactional and transformational theory, and the two kinds ofleadership theory under the action of the same intermediary variable effects is notperfect, so we put forward the research direction on this paper.The third part is building the research model. This part of content is on the basicresearches of the predecessors. It puts forward the hypothesis and constructs thetheoretical model study which based on the theoretical analysis.The fourth part is about studying and designing. In this part, it illustrates thedefinition of the independent variable and dependent variable, mediation variables,moderator variables, and scale selection and the compilation of questionnaire, scalepurification and other aspects of the analysis, lay the foundation for the fifth chapterformal investigation.The fifth part is the empirical analysis. This part is mainly from the formalresearch and scale test and transactional leadership and transformational leadershipeffects on employee behavior and other aspects of empirical analysis. Main analysistransactional and transformational leadership on organizational citizenship behaviorand counterproductive work behavior, transactional and transformational leadershipon leader-member exchange impact, leadership-member exchange intermediatorrole and the moderator role of work values.The sixth part is the research conclusion and expectation. This chapter firstsummarizes full text research conclusions. Secondly, it proposes managementsuggestions on the basis of theoretical analysis and empirical research achievements.Finally, it analyzes the existing problems of this study and makes sure thedevelopment trend of future research and further research areas.The main conclusions of this paper and the potential innovations have thefollowing three points:1.Analyzed the influence and difference of transactional leadership andtransformational leadership leader-member exchangeAs a more mature leader theory, there are many analyses and researches of thetransactional and transformational leadership. But among many studies, there is the rare research on the influence of differences between transactional andtransformational leadership to the leader-member exchange relationship. Andcompare the differences on predictive power between these two kinds of style ofleadership of leader-member exchange relationship. This study is the furthervalidation and perfection on this aspect.2.Analyzed the differences between transactional and transformational leadershipon organizational citizenship behavior and counterproductive work behaviorWhether there is a difference between these two kinds of leadership style, thetransformational and transactional, on organizational citizenship behavior andcounterproductive work behavior is need to be compared. With the abundant domesticcomparative studies of transactional and transformational leadership theory, it makesup for the insufficient of the different front variable comparative study to thecounterproductive behavior.3. Further investigated the regulating effect of work valuesWhether work values in transactional leadership and transformational leadershiphas a regulating role between the organizational citizenship behavior andcounterproductive work behavior of employees remain to be unsolved. This articlefurther validates the transactional and transformational leadership on productionmechanism of employees’ organizational citizenship behavior and counterproductivework behavior.The conclusions of this paper are as follows: First, transactional leadership andtransformational leadership have significant positive influence on leader-memberexchange, and transformational leadership effect is more significant. And amongvarious dimensions of transformational leadership, personalized care has the mostsignificant influence for leading members exchange; Second, transactional leadershipand transformational leadership have a positive impact on organizational citizenshipbehavior of employees, and they have significant negative effects on thecounterproductive behavior. In promoting organizational citizenship behavior andinhibiting effect against counterproductive behavior, transformational leadership isbetter than transactional leadership and the virtue and the effects of charismaticleadership is significant in the transformational leadership dimensions; Third, the leader-member exchange relationship is partial mediation variables betweentransactional leadership and transformational leadership and organizationalcitizenship behavior of the relationship; Fourth, two dimensions of comfort andsecurity, ability and growth in work values have significant adjusting influence ontransformational leadership between organizational citizenship behavior andcounterproductive behavior. Ability and growth dimension in work value havesignificant moderating effect on the transactional leadership and organizationalcitizenship behavior and counterproductive behavior relationship.The recommendations of this paper are: in the actual management ofmanufacturing enterprises, business managers can do particular analyses to particularcases. They can select the contingency of transactional and transformationalleadership, strengthen the quality of leader-member exchange, reasonably use thecharacteristics of rewards and punishments of transactional leadership to makeorganization rules, carry forward the vision of the transformational leadershipmotivation and personality characteristics, Charisma, personalized care and visionincentive features, in the light of its general trend to meet the needs of employees’work values of the attribute, give full play to their organizational citizenship behavior,and gradually eliminate hidden dangers and motivation of counterproductive behavior,then lay a good management foundation for the ascension of enterprise managementperformance.更多还原