Journal of Change Management

Vol. 11, No. 3, 305– 328, September 2011

Organizational Culture: Assessment and

Transformation

ACHILLES ARMENAKIS∗ , STEVEN BROWN∗∗ & ANJU MEHTA†

∗
Auburn University, AL, USA, ∗∗ Columbus State University, GA, USA, †University of Northern Iowa, Cedar
Falls, IA, USA

ABSTRACT The stakeholder theory of management is founded on the belief that in order for an
organization to contribute positively to society, organizational decision-makers should address
four responsibilities, namely, economic, legal, moral and philanthropic [cf. Parmer, B., Freeman,
R., Harrison, J., Wicks, A., Purnell, L., and de Colle, S. (2010) Stakeholder theory: the state of
the art, The Academy of Management Annals, 4(1), pp. 403–445]. One distinguishing
characteristic between organizations that contribute positively to society and those that do not is
an ethical organizational culture. According to Schein [Schein, E. (2004) Organizational culture
and leadership, 3rd edn (San Francisco, CA: Jossey-Bass], an organization’s culture can be
described in terms of a cultural elements’ framework, comprising artefacts, espoused beliefs/
values and underlying assumptions. Thus, in order to assess, develop and transform an
organizational culture, organizational decision-makers should be aware of and operationalize
Schein’s cultural elements’ framework. In this article, we integrate research on cultural
typologies and organizational transformation. We describe the development and application of an
Organizational Ethical Practices Audit (OEPA) in qualitatively assessing a 102-year-old family
enterprise’s organizational culture using Schein’s cultural elements’ framework. Furthermore, we
summarize how the company’s organizational decision-makers acted to transform and
institutionalize the company’s culture. This case demonstrates how practitioners and researchers
can use OEPA as a tool to diagnose an organizational culture, and how a culture can be
transformed. Implications and directions for future research are also discussed.

KEY WORDS : organizational culture assessment, organizational culture change, ethical

organizational culture, family enterprise, religious organizational culture

Introduction
An organization is expected to contribute positively to the community by effec-
tively addressing the delicate balance of its stakeholders’ (e.g. owners, employees,

Correspondence Address: Achilles Armenakis, Department of Management, 415 W. Magnolia Avenue, Auburn
University, AL 36849, USA. Email: armenac@auburn.edu

1469-7017 Print/1479-1811 Online/11/030305–24 # 2011 Taylor & Francis

DOI: 10.1080/14697017.2011.568949
306 A. Armenakis et al.
customers, society and government) interests. Organizations which achieve this
balance are often praised and admired, whereas those that do not are criticized
and abhorred. One distinguishing characteristic of organizations that achieve
this balance is often attributed to organizational culture (Schein, 2004).
An organization’s culture is created, enacted and whenever appropriate trans-
formed by the organization’s top leader and other decision-makers. According
to Schein (2004), organizational culture is manifested at three levels. Cultural
artefacts may be visible structures and processes, dress, observable rituals and
ceremonies. Espoused beliefs and values are consciously developed formal organ-
izational practices such as strategies, goals and policies, and informal practices
like implicit norms. Underlying assumptions are unconscious thoughts, beliefs,
expectations and theories.

Cultural Typologies
Various classifications of organizational culture have been proposed. For example,
in their classic study, Burns and Stalker (1961) used the labels mechanistic and
organic. Kotter and Heskett (1992) described adaptive and unadaptive cultures.
Both typologies have been linked with an organizational effectiveness criterion,
such as company performance in dynamic and stable environments. That is, com-
panies in dynamic environments were more effective if their organizational
cultures were adaptive (Kotter and Heskett) or organic (Burns and Stalker).
Some investigations on organizational cultures have been conducted without
linking effectiveness to the nature of the external environment. For example,
Denison (1984) labelled cultures more participative and less participative.
Regardless of the external environment, he found companies that were more
participative were more profitable than those that were less participative. Further-
more, Gregory et al. (2009) assessed the effectiveness of hospital organizations
using the competing values framework (Quinn and Spreitzer, 1991). The compet-
ing values framework consists of four domains, namely, group, developmental,
rational and hierarchical cultures. Gregory et al. found hospitals with a balanced
culture (i.e. those organizations with employees who strongly held values associ-
ated with each of the four domains) had higher levels of patient satisfaction than
similar organizations with unbalanced cultures.
Organizational cultures can also be classified as either ethical or unethical. An
ethical or unethical organizational culture can be described using Schein’s (2004)
levels. For example, an artefact of an ethical culture might be a formal code of
ethics, based on an espoused belief/value of ‘we conduct business honestly,’
which is an expression of the underlying assumption ‘if we cannot be ethical in
conducting our business, we should not exist’.
Armenakis and Wigand (2010) analysed the organizational cultures of two
tobacco companies. According to the stakeholder theory of management (cf.
Parmer et al., 2010) an organization’s performance should be judged in terms
of economic, legal, moral and philanthropic responsibilities (i.e. all four responsi-
bilities). The companies satisfied economic (i.e. were profitable) and legal (i.e.
were operating within the legal constraints imposed on them by government
agencies) responsibilities, but were distributing a product known to cause
 Culture Assessment and Transformation 307
serious adverse health effects to consumers and non-consumers. That is, tobacco
smoke is known to be carcinogenic to its consumers (i.e. first-hand smoke) as well
as to those environmentally exposed to it (i.e. second-hand smoke). Yet, the
tobacco companies concealed the hazardous effects of the product. In terms of
Schein’s (2004) cultural framework, Armenakis and Wigand inferred the under-
lying assumption of these two companies was ‘. . . let smokers and non-smokers
beware.’ In short, Armenakis and Wigand concluded the cultures of these two
companies were unethical which resulted in immoral executive and managerial
behaviour.
Other organizational analyses that focus on the ethical/unethical classifications
of organizational culture also exist. For example, post-mortem analyses of Enron
(cf. McLean and Elkind, 2003) and Arthur Andersen (cf. Toffler, 2003) concluded
that the downfall of both organizations was caused by unethical organizational
cultures (which promoted illegal and immoral behaviour by organizational
decision-makers).
In response to disappointing organizational performance, it is quite common for
organizational leaders to challenge employees with the objective of changing the
organization’s culture. The preceding research described the elements of culture,
the relationship of culture to organizational performance, and examples of the
various cultural typologies. We now turn to the topic of cultural transformation.

Cultural Transformation
Organizational transformation consists of change content (i.e. what is to be
changed) and change process (i.e. how the change is to be implemented; cf.
Armenakis, and Bedeian, 1999). One way to transform an organizational culture
is to change the artefacts, espoused beliefs/values and underlying assumptions
(i.e. change content). In order to implement a cultural transformation, a process
model can be used to plan and guide the cultural change (i.e. change process).
Armenakis and colleagues have proposed two companion models – one for creat-
ing readiness (Armenakis et al., 1993; Armenakis and Harris, 2002) and one for
the adoption and institutionalization of organizational change (Armenakis et al.,
1999). Both models are patterned after Lewin’s (1951) three phase model of
unfreezing, moving and freezing.

Readiness model. The readiness model depicted in Figure 1 includes the major
elements that should be included in the design of a programme to create readiness
for organizational change. The model is intended to convey that creating change
readiness should be a well-planned and orchestrated process of selling the change
to change recipients. The change agent element comprises the principals who will
drive the change, namely, the global, local and horizontal change agents. The
global change agent is the primary initiator of the readiness programme who
must be supported by the local change agents, who are typically subordinate man-
agers. Horizontal change agents are those opinion leaders who are respected by
their peers and who support the change effort and assist (the global and locals)
in selling the change to other change recipients. The ideal attribute of the
change agents is credibility, which comprises honesty, competence, inspiration
308 A. Armenakis et al.

Figure 1. Readiness model. Modified from Armenakis and Harris (2002).

Source: Modified from: Armenakis, A., & Harris, S. (2002). Crafting a change message to create
transformational readiness, Journal of Organizational Change Management, 15(2), 169–183.

and vision (Kouzes and Posner, 1993). Credibility is important for a change agent
because change recipients will not believe the message if they don’t believe the
messenger.
The change message is transmitted, via the influence strategies, throughout the
organization and should attract the interest of the change recipients. It is important
in organizational change to understand that to sell an organizational change the
message should influence five beliefs of change recipients, namely, discrepancy,
appropriateness, efficacy, principal support and valence. Discrepancy is why the
change is needed or necessary. Appropriateness is important because it is based
on logic that should communicate that the proposed change is right for the organ-
ization. Efficacy is necessary because change recipients must have confidence that
 Culture Assessment and Transformation 309
they can acquire the knowledge, skills and abilities to successfully perform the
tasks required from the organizational change. Principal support transmits the
message to change recipients that change agents are walking the talk. And
finally, valence is important because change recipients should be able to answer
the question what’s in it for me? That is, they must believe that they will
benefit extrinsically or intrinsically from embracing the change. In order to
enhance the success of any change programme, the message should include, as
far as is feasible, the external and internal contextual factors. For example, poor
product quality (an internal contextual factor) has allowed competitors to gain
market share (an external contextual factor).
Change recipients are understandably a diverse collection of individual differ-
ences. There may be many reasons why some will embrace a change and some
will not. These reasons can be related to personal characteristics (e.g. locus of
control and core self-evaluation) and social differentiates (e.g. engineers/non-
engineers, union/non-union). Obviously, reactions to an organizational change
will not be homogeneous; at the least, this must be expected and understood.
And, in crafting the message these individual differences should be considered.
The influence strategies useful in transmitting the message consist of persuasive
communication, active participation and management of external information (it
should be noted that each belief included in the message should be transmitted
by each influence strategy). Persuasive communication includes the numerous
tactics for communication, such as scripted live speeches to groups, informal dis-
cussions between the change agents and change recipients, written media like
memos/letters, electronic mail, newsletters, etc. Typically, these media inform
change recipients about the change and often include dialogue about the
change. Active participation involves the change recipients in the change and
can enhance the likelihood of them embracing the change through self-discovery.
Tactics included in active participation are vicarious learning, enactive mastery
and participative problem-solving/decision-making. Vicarious learning is a
tactic that allows a change recipient to observe others embracing the change,
thus gaining confidence that if others are doing it, so can I. Enactive mastery
can include dividing the new tasks into structured segments, like tutorials, so
that embracing a change can be presented gradually. And, participative
problem-solving/decision-making can be structured so that change recipients
can become involved in identifying organizational problems and proposing
solutions to resolve the problems (like in action research projects). Active
participation is the most profound influence strategy because it incorporates self
discovery and establishes ownership in the change.
Management of external information can be valuable in bolstering the other
influence strategies in transmitting the change message. For example, clippings
from news media about external environmental threats/opportunities can be
distributed throughout the organization to reinforce why an organizational
change has been proposed. The presence of external resources (e.g. consultants)
and knowing that they are present to assist in the transformation can bolster the
readiness message. Also, referring to conclusions drawn by consultants who
conducted an organizational diagnosis can be valuable in justifying an organiz-
ational change.
310 A. Armenakis et al.
Assessment is a measurement (of the beliefs) of how ready the change recipients
are to begin the implementation process. This measurement can be conducted using
qualitative (Armenakis, Harris et al., 2007) and/or quantitative methodologies
(cf. Armenakis, Bernerth et al., 2007; Holt et al., 2007). This assessment can be
used to identify areas in an organization where change recipients are more or
less ready. If necessary, more resources can be allocated to increasing the effort
expended on one or more of the strategies and/or increasing the emphasis on
one or more of the beliefs. Some assessment of the readiness for change throughout
the organization should be conducted before beginning the implementation
process. After a decision has been made to proceed with the change, the institutio-
nalization model can be used to guide the implementation.

Institutionalization model. The institutionalization model is depicted in Figure 2.

The elements for change agent, change recipients and message are the same as in

Figure 2. Institutionalization model. Modified from Armenakis et al. (1999).

Source: Modified from: Armenakis, A., Harris, S., & Field, H. (1999). Making change permanent:
A model for institutionalizing change. In W. Pasmore & R. Woodman (eds.). Research in Organiz-
ational Change and Development, volume XII, pp. 97 –128 (Greenwich, CT: JAI Press).
 Culture Assessment and Transformation 311
the readiness model. The main difference between the two models is that the insti-
tutionalization model is used to plan and guide the change implementation.
Whereas the readiness strategies are intended to get change recipients to embrace
the idea of the change, the seven institutionalization strategies are intended to
reinforce each belief comprising the change message transmitted in the readiness
program during the implementation process.
One conceptualization of commitment includes compliance, identification and
internalization levels of commitment (Kelman, 1958; Becker, 1992). Compliance
commitment is achieved when change recipients are rewarded for adoption or
when change recipients adopt the change in order to avoid punishment. Identifi-
cation commitment is the level of commitment that describes that change recipi-
ents will adopt an organizational change because they want to identify with the
organization. When change recipients internalize the values of the organizational
change, they have experienced internalization commitment.
The adoption process, like any change, should be considered temporary. That is,
initially change recipients may experimentally embrace the change, but sub-
sequently may reject it. Thus, by reinforcing the change message using the seven
strategies, the adoption process can be extended, thereby building momentum
until the change is institutionalized. Bandura (1986) stated that initially change
recipients may have to be encouraged to adopt the change by offering extrinsic
rewards, thus motivating them to continue the adoption process. Thus, adoption
may first be a function of compliance commitment. At some point, after a period
benefiting from the rewards, the change recipient may internalize the values of
the change – thus it can be described as institutionalized.
The institutionalization strategy that offers the most leverage during the adoption
process is the human resource management practices comprising the tactics of
selection, performance appraisal, compensation and training/development. Each
tactic is valuable in transmitting the change message to change recipients. Change
agents should consider how change recipients will make sense of their actions. For
example, selection consists of hiring, terminating, promoting, demoting and transfer-
ring employees. With each of these actions, change recipients will naturally relate an
action to the change message and establish how that action confirms that: (1) the
change was necessary (i.e. discrepancy), (2) the action taken was appropriate, (3)
they (the change recipients) are capable of fitting into the new organization, (4) the
global and local change agents support the change, and (5) it is personally beneficial.
Without serious thought about connecting the actions taken to the change message
there is a strong likelihood change recipients will engage in incorrect sense-
making. Similarly, during performance appraisal feedback sessions, change
recipients should be provided positive or negative feedback about their performance,
relating this feedback with the change message. Compensation programmes should
be designed to reward change recipients for achievements consistent with the
organizational change, establishing a connection with the change message; and,
training/development should be designed to enhance the skill level of change
recipients so that they can perform their new jobs, also reinforcing the change
message.
Persuasive communication can be used to reinforce the change by delivering
scripted speeches about the successes/failures experienced during the adoption
312 A. Armenakis et al.
period. Spontaneous informal dialogue can also be helpful in addressing questions
from change recipients or in providing immediate feedback about an important
matter regarding the change. Incorporating internal (e.g. performance improve-
ments) and external (e.g. gains/losses in market share) information can reinforce
the change message.
Symbolism, such as rites and ceremonies, can be organized to celebrate suc-
cesses and to provide expressive meanings to important actions and gestures by
change agents. Oftentimes in organizational transformations change recipients
need to be told and reminded that they must say goodbye to the past (cf.
Bridges, 1991). One way to do this might be to enact a funeral skit so that
change recipients can experience closure and think about new beginnings. Essen-
tially, the expression is this is the new way we manage now.
Diffusion practices, such as organized sessions to transfer new procedures
related to the change to other units/departments can be helpful in spreading the
change throughout the organization. These sessions produce dialogue among
change recipients to learn the talk, walk the talk and sustain the talk and walk
(Ashkenas and Jick, 1992).
Formalization activities are the activities implemented to support or enhance
the organizational transformation. When organizations implement new business
strategies, other activities, like revisions of a mission statement, changes in an
organizational structure and implementing downsizing, may accompany such
initiatives.
As described in the readiness model, active participation consists of tactics that
allow change recipients to be involved in organizational activities, namely, enactive
mastery, vicarious learning and participative problem-solving/decision-making.
Oftentimes, a change programme may consist of several parts implemented sequen-
tially so that taken together the parts comprise the whole. Adopting a series of
sequential parts may not only be easier for change recipients to accomplish, but
each part can serve to confirm that the change is indeed progressing, minimizing
the potential for denial. Participation in group meetings/gatherings to discuss the
organizational change will provide change recipients with the opportunity to
observe how colleagues are reacting to the change. Such meetings could also
serve as opportunities to propose actions to facilitate the adoption or to resolve
issues that impede the adoption process.
Management of internal and external information can take many forms. Provid-
ing internal evidence that an organization is more productive or profitable reas-
sures change recipients that the organizational change is indeed having its
intended effect. Sponsoring external resources, like experts, to share supportive
opinions can also reinforce the organizational change, thus building momentum
towards institutionalization.
Assessment in the institutionalization model consists of the extent to which the
change recipients have incorporated the values and behaviours associated with
the transformation. Typically, this consists of assessing affective, cognitive, and
behavioural reactions to the transformation such as change recipients’ beliefs
(cf. Armenakis, Bernerth et al., 2007) and organizational change commitment
(Herscovitch and Meyer, 2002). Additionally, changes in organizational perform-
ance criteria could be included.
 Culture Assessment and Transformation 313
The Present Study
In this study, we contribute to the organizational culture literature in three impor-
tant ways. First, we develop an Organizational Ethical Practices Audit (OEPA) to
identify the formal and informal organizational practices of a 102-year-old
successful family business called the Pursell Family Corporation (PFC).
Second, utilizing the OEPA specifically designed for this study, we analysed
the accounts of selected informants to assess and describe the culture of PFC
applying Schein’s (2004) cultural elements’ framework. From this analysis, we
conclude that PFC’s organizational culture was indeed ethical and in fact, the
culture was found to be Christian, i.e. the company was managed according to
Christian principles. Third, using the change process models of Armenakis and
colleagues, we explain how PFC’s organizational decision-makers acted to
transform and institutionalize the Christian culture. Our intent is to use our case
analysis to explain to practitioners and researchers how a culture can be assessed,
and if desired, how an organizational culture can be transformed.

Method
Considering that organizational culture is a complex phenomenon, a qualitative
approach was implemented because it allows for an in-depth analysis and under-
standing of concepts. We utilized both primary and secondary data in conducting
this research.

The Organizational Ethical Practices Audit

In the first stage, we developed an audit to diagnose an organization’s manage-
ment practices. The OEPA was derived from two sources (1) the application
reports of US organizations that were recognized with the prestigious Baldrige
National Quality Program Award (National Institute of Standards and Technol-
ogy, 2008) for excellence; and (2) our experience as management professors,
organizational science researchers and organizational consultants. We first
reviewed the reports of the 70 award recipients for the period 1988– 2006.
Twenty-eight of these organizations included sections on management practices
related to their ethical and legal compliance and on the outcomes of those
practices. Information presented in these sections, considered by us to be best
practices, was carefully analysed and compiled into different ethics-related
themes such as training related, formal code related, and so forth. This analysis
provided us with a matrix consisting of 135 major formal ethical practices
adopted by 28 Baldrige award recipients (see Table 1).
Next, based on the categories of major ethical practices that emerged from the
analysis of the Baldrige award summaries, and also on our own professional
experiences, an interview schedule containing 28 open-ended questions was
developed (see Figure 3). Although the categories included in Table 1 are
broad, we emphasize that the practices we used to prepare Figure 3 were used
by a broad array of organizations.
314 A. Armenakis et al.
Table 1. Frequencies of practices identified in Baldrige summaries and related Organizational
Ethical Practices Audit questions

Organizational Practices Audit

Practice Frequency1 Question

Formal ethics-related documents, e.g. mission

statement, code of ethics 39 4&5
HRM practices – ethics related 73 6, 7, 8, 9, & 10
Environmental issues 45 11 & 12
Safety and welfare issues 32 11 & 12
Regulatory compliance 79 11 & 12
Stakeholder inputs, e.g. customers, strategic alliance
partners 67 13, 14, 15, & 26
Ethics committee, conferences 41 17
Charity specific and/or community involvement 113 17 & 18
Leadership 25 19, 20, 23, 24, & 25
Culture 24 19, 20, 23, 24, & 25
Benchmarking 26 13
1
Frequencies represent the number of times the practice was described in the 28 Baldridge Award summaries

Qualitative Method
Interviews. In the second stage of this research, primary data were collected
through in-depth, structured interviews using the 28 open-ended questions com-
prising the OEPA (see Figure 3) with nine individuals who had formal relation-
ships with PFC. Interview narratives and stories have been used to describe
important events, particularly as they relate to an organization’s existence
(Strauss and Corbin, 1990). Narratives and stories allow individuals to draw on
memory, representing post hoc sense-making (Gioia and Chittipeddi, 1991),
which may be critical to understanding organizational culture and the process
followed in transforming a culture. Thus, our informants were encouraged to
narrate their personal experiences and perceptions, along with any stories
related to ethics that they had heard and remembered.

Organizational context. The interviewees were from a family-owned fertilizer

company founded in 1904; (more details about company history can be found
in Canyon Communications, 2001). In 1964, under the leadership of the CEO,
the company began growing and adding fertilizers for the domestic consumer
and professional (i.e. nursery and golf course) markets to the company’s agricul-
tural brands. Through an aggressive research and development programme, the
company developed slow-release technology (ideal for broadcasting fertilizers,
insecticides and pesticides) and patented several products including the most
technologically advanced controlled-release product, under the registered trade
name POLYON. The company, which employed approximately 150 workers,
was sold in 2006 to a multinational agricultural products company. During the
period 1983–2006, the company’s sales increased 50 fold. Because of the official
name changes from 1904 to 2006, we refer to it simply as the Pursell Family
Corporation (PFC).
 Culture Assessment and Transformation 315

Figure 3. The organizational ethical practices audit.

Respondents. A total of nine individuals were interviewed during 2008. The inter-
viewees were selected on the basis of judgement and theoretical sampling (Strauss
and Corbin, 1990). Most of the interviewees witnessed the cultural transform-
ations at PFC over several years. Seven were in top positions within PFC, includ-
ing the CEO, cultural leader and global change agent and six cultural carriers
directly involved as local change agents. The two other individuals were the
PFC chaplain, who also served as a cultural carrier, and a CEO in a company
with which PFC had a strategic alliance.
316 A. Armenakis et al.
Procedure and analysis. Seven face-to-face and two telephone interviews were
conducted. Initially, the interviewees were asked open-ended questions regarding
their job descriptions and tenure with PFC. Then, specific questions regarding
PFC’s management practices were asked (Figure 3). All of the interviews were
digitally recorded and transcribed verbatim resulting in 277 double-spaced
pages of typescript. The transcribed data were systematically content analysed
following the standard procedures involved in qualitative methodology (Strauss
and Corbin, 1990). The analysis was conducted in two phases. First, the data
were coded into emergent themes. Second, where appropriate, we re-coded some
categories to fit Schein’s (2004) cultural elements: artefacts, espoused beliefs and
values, and underlying assumptions. During the coding three researchers discussed
each unitized response and achieved 100% agreement.

Findings
Artefacts
Theft investigation. From its founding in 1904, PFC was considered to be ethical
and profitable. A defining moment in the company’s history occurred in 1970. The
CEO suspected that bags of fertilizer were being stolen, so an investigation agency
was hired. Agents, placed throughout the plants as new employees, discovered that
a theft ring existed. The fertilizer was being sold illegally by some truck drivers to
a distributor who, in turn, apparently sold them to retailers. Upon disclosure,
the drivers involved were prosecuted and some recompense was made by the
distributor. However, some drivers, who had worked with the company for
many years, and who were involved in a minor way, were given a second
chance with the company.
This story, labelled an artefact in Schein’s (2004) framework, demonstrated that
the CEO was an astute business manager who would investigate inventory shrink-
age and perhaps other performance exceptions using undercover agents, if necces-
sary. Furthermore, the investigation demonstrated that the CEO expected
everyone to be honest in executing their job functions. It was also obvious that
he had a sense of forgiveness of those who played minor roles in this theft ring.

Conversion announcement. In 1976, the CEO, influenced by his experience at a

Bible study, began the process of a conversion to a Christian life. Shortly there-
after, the CEO employed the Bible study leader as chaplain of PFC. Soon after-
ward, another defining moment occurred: the CEO called all of the employees
together and announced that, from that day forward, the company would be
managed by Christian principles. During our interview he declared, ‘I felt that
I should dedicate our 72-year-old fertilizer business to the Lord,’ admitting, ‘I
felt like I might be going to ruin our old business by mixing religion with business,
but it was very positive with most of our people. It was scary because I had never
heard of anyone dedicating their company to the Lord. What did it mean?’ For
years afterward, employees described the announcement and subsequent
changes using terms like bravery, significant, and excellent re-direction.
 Culture Assessment and Transformation 317
Shortly after the announcement, three other defining moments occurred. One
was the institution of voluntary monthly devotionals led by the chaplain. In
addition, the chaplain made himself available to all employees for private informal
conversations. The CEO commented that he would not force anyone to attend a
devotional. In fact, one member of the TMT stated he never attended any devo-
tional and never felt pressured to do so. The CEO felt it was important that if
anyone attended a devotional, it was because he/she wanted to be part of it.
Another defining moment was the distribution of Bibles to all employees. The
CEO gave all employees Bibles as a symbol that he would indeed manage the
company by Christian principles. The third was the exclusion of alcohol from
all company-sponsored events. Subsequently, a newly employed sales manager
hosted a reception for customers at a nearby golf course, in which alcohol was
served. When the reimbursement for the bill was submitted to accounts payable,
the CEO’s approval was required. The reimbursement was approved, but the
CEO privately met with the sales manager and informed him that he had violated
a company rule and that serving alcohol should never have been allowed. The
manner in which the violation was handled was discussed among employees as
being patient, kind and fatherly, with the employee who submitted the bill
feeling guilty for letting him down.

Espoused Beliefs/Values
In our interviews with the members of the TMT, we were told the most important
decision criterion applied was the Golden Rule (i.e. do unto others as you would
have them do unto you), that is, do what was right. Whether in group meetings
discussing business matters or individual managers making decisions this criterion
was the rule. This was applied in establishing relations to all stakeholders – cus-
tomers, employees, competitors, suppliers, society. The management practices
described below reflected this belief/value.

Management Practices
In 1983, the CEO contacted a university-operated management assistance centre
to conduct an organizational diagnosis of PFC and to assist in the formulation
of a systematic growth plan (Armenakis and Burdg, 1986). This project followed
the steps of action research and involved numerous managers (i.e. more than the
TMT) over several weeks. Interviews were conducted, analysed and fed back to
the participants in team-building sessions. In addition to providing these managers
with group process skills, a management action plan involving them was
developed which not only formalized, in a company document, the operations
and practices needed to achieve growth, but also formalized and documented
the Christian principles that would be the basis for achieving the growth objec-
tives. For example, the mission statement included the following wording: ‘. . .
The company fully recognizes its obligations and responsibilities to God, its
employees and society through the equitable treatment and honest conduct of
its affairs and functions with the highest degree of integrity within its competitive
318 A. Armenakis et al.
environment.’ One company objective related to this mission statement was that
the company would allocate at least 10% of its profits to charities.
Another outcome of the management action plan was to increase the degree to
which the operations were professionally managed. This resulted in, among other
things: (1) an integrated management information system, (2) increased attention
to cost consciousness, (3) improved financial planning, (4) a research project to
determine customer profiles, and (5) an expansion of product lines. Consequently,
the company grew dramatically.
The information summarized below describes the management practices that
were influenced by the culture. The practices fit two categories: (1) human
resource management practices and (2) stakeholder relations.

Human Resource Management Practices

Personnel selection. PFC managers assessed job applicants in terms of compe-
tence, job/organizational fit character. The selection procedure included intensive
interviews with six or seven managers. During the last interview, usually with the
COO, the time would be devoted to conducting a realistic job preview. He would
describe the company as a small family-owned company in which each employee
was responsible for a variety of related activities. All of the other interviewers also
assessed cultural fit of the applicant. In most cases, the applicants fit the culture.
The few who were hired but did not fit the culture ultimately left PFC.

Performance appraisal. PFC managers performed no scheduled formalized

employee performance appraisals. Whenever someone did something unaccepta-
ble, the issue was discussed immediately. One example of this was the feedback
the CEO gave to the sales manager about providing alcohol at the customer recep-
tion. And, anytime someone did something that was worthy of praise, it was
acknowledged immediately.

Compensation. The TMT based salary improvements on industry standards. So,

the top managers would get that information and try to be equitable in determining
salary improvements that fit the company’s size and geographical location. A
bonus pool was established based on the performance of the company and each
person’s contributions were discussed. Those who made significant contributions
were awarded higher bonuses than those who contributed less. There was no
incentive to reward people for ethical behaviour. The opinion among the TMT
was that ethics was simply a part of living and breathing; it was expected. A
reward for doing something ethical was viewed as symbolism for ethical behav-
iour being out of the norm.

Training. The training expenditures focused on more technical functions, like

safety training, general management, finance and R&D. No formal ethics training
programmes were offered.
 Culture Assessment and Transformation 319
Stakeholder Relations
Product. The TMT expressed a great deal of pride in explaining how POLYON is
such a safe product. POLYON resembles a bead comprised of multiple layers of
water-soluble coatings with the product to be broadcast between the layers. Thus,
it is environmentally safe (i.e. slow release minimizes pollution of ground and
surface water). Furthermore, during the production process there are limited air-
borne dust particles as in the mixing of traditional chemicals. This same attribute
increases the safety to consumers because of reduced chemical dust in traditional
products. The coatings create a barrier between worker, consumer, applicator and
the raw material that went into the products, making the technology safer for
people and the environment.

Employee safety. The company had several formal management practices in place,
based on industry best practices, related to environmental compliance, workers’
exposure to fertilizer ingredients, and operational safety procedures in the
plants. The tacit assumptions inferred from the stories were that concern for
employee safety was paramount at PFC and employees were considered an
asset. Furthermore, around the clock safety programmes and the monitoring of
atmospheric conditions during the production process were operational. Plant per-
sonnel knew that they had the authority to shut the plant down if they saw the need
to do so. One programme was instituted to assess the quality of the air in the plant.
During the production process, a chemical liquid was sprayed onto another
product. The exhaust system that was operating in the plant at that time would
have resulted in this liquid component causing atmospheric contamination. One
solution would have been to require masks to protect the operators, but masks
were considered ineffective in the long run. A safer and more environmentally
friendly solution was found and the production process was changed from spray-
ing to injection, thus eliminating the need for masks and reducing the loss of the
chemical liquid.
In addition to using industry best practices, another way the company addressed
worker safety was through drug testing. Managers were concerned that associates
who used illegal substances would be impaired while working. So, the company
conducted random blood testing from top to bottom. If the test revealed a sub-
stance that would impair the workers’ ability a programme was in place to
assist the employee.

Consumer protection and product quality. The company also made pesticides
from hazardous materials. One effective systemic pesticide contained a chemical
(in dust form) called dysystide, a legal substance, that when applied to a plant is
processed by it, making the plant poisonous, such that if an insect eats any part of
the plant the chemical kills the pest. However, PFC became concerned that custo-
mers, commercial nursery employees in particular, would absorb the dust through
their sweat, especially if applying it on a windy day. PFC voluntarily pulled the
products from the market and developed a coated product, called Precise, that is
similarly effective but without the risk.
320 A. Armenakis et al.
Strategic alliances. The company entered into two strategic alliances. One was
with a privately held international food processing and agricultural company in
the western USA. The alliance was formed in 1985, giving the company an exclu-
sive right to sell its coated products (POLYON and sulfur-coated urea). The two
criteria that made the alliance successful were the products’ effectiveness and both
companies’ reputations for being ethically managed.
The other strategic alliance was with a company in the southeast USA. This
company also had an exclusive right to sell all of the coated products in the
eastern USA beginning in 1990. The attraction to PFC was not only based on
the effectiveness of the products but also because of PFC’s ethical business
practices.

Philanthropy. The company also contributed generously by tithing (i.e. donating a

portion of its income to a charity), which was made possible in part through the
success of POLYON. Although monetary contributions were being made long
before the 1983 management action plan, which included the objective ‘To give
a tithe (10%) or more of corporate profits . . .’, the stated objective was the first
formal evidence that generosity was being directly linked by management to
the success of PFC. As part of its philanthropy a 1st Tee programme was estab-
lished, which provides the necessary support for young people to enjoy the
game of golf. Also, construction projects were underwritten to construct athletic
facilities (e.g. football and soccer fields) for the local public school system.

Discussion
We propose that our case adds value to the topic of assessment and transformation
of organizational culture in two ways. First, this case describes how organizational
culture can be qualitatively assessed. Admittedly, we focused on developing a
methodology to assess the extent to which an organizational culture is ethical.
We were stimulated to do this, in part, because of the current attention in the
popular practitioner media on the role of organizational cultures in influencing
the unethical behaviour of employees. However, our methodology is not necess-
arily limited to determining the extent to which an organizational culture is ethical
or based on Christian (or religious) principles. With some minor modifications,
our OEPA could be used to assess any culture that can be labelled according to
the various typologies of organizational culture. We collected interview data
using our audit and our findings revealed PFC was managed according to Christian
principles.
The second way our case adds value is in describing the strategies (i.e. change
process) that can be used to transform an organizational culture (i.e. change
content). Thus, from our case, an organizational decision-maker, who aspires to
change the culture of an organization, can understand the magnitude of the task
and the numerous influence strategies that are appropriate for the transformation
before embarking on cultural change. We elaborate on the assessment and trans-
formation of organizational culture below.
 Culture Assessment and Transformation 321
Cultural Assessment
Our assessment instrument (OEPA) was systematically developed from content
analysing the best practices for ethical and legal compliance of those organizations
recognized with the prestigious Baldrige National Quality Program Award for the
period 1988 to 2006. Our methodology was purely qualitative and our description
of the culture was based on the recollections of the interviewees, which in some
cases spanned 30 years. Thus, the events we described were compressed into a
concise account of how the organizational culture evolved over this period.
However, this fact in no way discredits the value of this case to practitioners and
researchers. Organizational culture takes time to form and cannot be quickly trans-
formed. The artefacts we described were planned by the CEO (i.e. cultural leader)
as sense-giving actions (Gioia and Chittipeddi, 1991). The employees of the
business engaged in sense-making and naturally exchanged opinions and obser-
vations among themselves daily. The espoused beliefs/values were not privately
developed in group meetings but were openly discussed in formal, as well as, infor-
mal situations. Thus, the culture formed and was transformed over time.
Based on our experiences as management professors, researchers and consult-
ants, we expected to find that this company’s human resource management prac-
tices would be similar to those we identified in developing the OEPA, which
promoted ethical behaviour. Our analysis, however, revealed an operation that
was quite different from our expectations. What we found was that PFC supported
wholeheartedly the stakeholder theory of management, which is based on the
belief that organizations should positively contribute to the welfare of those
groups that have a stake in the organization (cf. Parmer et al., 2010; Schwartz
and Carroll, 2003). An organization’s culture determines the extent to which
this contribution is satisfied through the enactment of the formal and informal
practices of decision-makers. The minimal contribution an organization makes
to it stakeholders is achieved when it satisfies its economic (i.e. profitability)
and legal (i.e. complies with codified law) responsibilities. As reported, PFC
was financially successful and legally compliant. However, an organization can
enhance its positive stakeholder contribution by satisfying its moral and philan-
thropic responsibilities. Our description of the company’s attention to stakeholder
relations was evidence of its moral and philanthropic responsibilities. Obviously,
PFC’s organizational culture (i.e. its artefacts and espoused beliefs /values)
without the important human resource management practices of scheduled per-
formance appraisals, compensation and training, was responsible. Thus, our
case description confirms the conclusions of organizational scientists regarding
the impact of culture on organizational behaviour (cf. Schein, 2004).

Cultural Transformation
The readiness and institutionalization models we describe here consist of the rel-
evant factors useful in the transformation process. Because of the uniqueness of
each organization, some strategies in each model may not be appropriate. There-
fore, a change agent can use those which are appropriate for the specific situation.
Below, we summarize five requirements that we gleaned from our research in this
322 A. Armenakis et al.
company. We integrate the relevant parts of each model into the accounts reported
to us during our data collection.

Requirement # 1: Cultural Leader

The foundation of culture is a cultural leader who is able to articulate the beliefs
and values, and who plays a major role in orchestrating the artefacts that will
describe the culture. CEOs/presidents have even greater importance within
smaller organizations due to their visibility. However, in order to be effective in
transforming an organizational culture, the leader must be perceived as credible
by organizational members. Kouzes and Posner (1993) describe four attributes
of credibility that leaders must earn from their constituents. That is, followers
determine whether or not a leader has credibility by judging the four attributes
of: (1) honesty, (2) competence, (3) inspiration, and (4) vision. Although we
acknowledge that the behaviours that reflect each of these attributes are not
mutually exclusive, we discuss them separately.
In the present case, honesty was obvious when the CEO made the decision to
withdraw the systemic pesticide, dysystide, a legal substance, and discontinue dis-
tributing it because of its potential (yet unproven) adverse effects. Another inci-
dent that reflected honesty which we described was when he contracted with
the investigation agency to investigate the possibility that products were being
stolen from the company. Not only did this demonstrate that the CEO intended
to conduct business affairs honestly, but it also communicated to the employees
that he expected them to be equally honest in performing their jobs.
Vision (during change), which can be described as establishing the change
content and planning the process to implement the organizational change, was evi-
denced by the CEO’s decision to have the organizational analysis conducted. He
was determined to improve the performance of the company and felt that this
analysis and the process consultation strategy employed would yield the benefits
he felt were needed. He knew how to manage a small family enterprise, and under-
stood the consequences of working with hazardous chemicals and the need for
technological development in the industry. The CEO’s determination and invest-
ment of time and money to develop the layered coating process resulted in the
most safe and technologically advanced controlled-release product for the appli-
cation of fertilizer, pesticides and herbicides. He was driven by the desire to
invent and efficiently produce an excellent product that addressed the company’s
economic, legal, moral and philanthropic responsibilities.
One point worthy of discussion is the CEO’s statement that he did not know what
was meant by managing according to Christian principles. An interesting question
for a change agent is how much detail about an organizational change should be
known when a transformation is conceived and initiated? While the content may
be determined and a process crafted, many details cannot be anticipated. We
propose that, as an organizational change unfolds over time, the principals involved
react to aspects of the change that require modifications to existing policies,
procedures, rules, etc., that comprise organizational practices, that then require
the principals to react further, which likely will require additional modifications.
Following this logic, the dynamics of an organizational change can be described
 Culture Assessment and Transformation 323
as following a sequence of change – reaction –change – reaction. . . . Thus, for a
change as fundamental as cultural change, it is unrealistic to expect the change
agent and other principals to know the detailed dynamics of what will unfold.
Competence, which is a synonym for the expertise one has for performing a job,
was demonstrated by the CEO’s cultural change knowledge and determination in
following through with the cultural change. In addition, his technological compe-
tence was evidenced by his development of the sophisticated product, POLYON.
Understandably, a major factor in the success of the company was the most soph-
isticated product on the market for broadcasting fertilizers, pesticides and
herbicides.
The last attribute is inspiration. Leaders who motivate followers to perform in-
role tasks (e.g. job performance) as well as extra-role tasks (e.g. organizational
citizenship behaviours) are considered to be inspirational. Two adjectives the
interviewees used to describe the conversion announcement and its follow
through in practice were bravery and significant. Thus, this CEO inspired employ-
ees to embrace the culture.
Credible leadership is believed to generate stronger organizational internaliz-
ation among employees, creating a stronger organizational commitment
(Kouzes and Posner, 1993). While a basic requirement for cultural change is a
credible cultural leader, this is only one factor. In order to diffuse the culture
throughout the organization, cultural carriers are necessary.

Requirement # 2: Cultural Carriers

Cultural carriers are the formal and informal leaders throughout the organization
who are required to reinforce the thoughts and actions of the cultural leader. This
reinforcement is typically referred to as walking the talk and sends messages to
other organizational members regarding the correct ways to behave. Senior
level managers must assume the responsibility to develop and maintain a given
culture. In their formal roles, they are the most influential in creating and maintain-
ing culture by serving as role models. Treviño, Brown and Hartman (2003)
contend that top management strongly influences ethical practices, both intention-
ally and unintentionally. They serve as agents of change through the sense-giving
and sense-making processes (cf. Gioia, and Chittipeddi, 1991). They are not only
responsible for providing the employees with mission, values, goals, artefacts and
stories in their role as sense-givers, but they also have to engage in sense-making
themselves to understand the impact of changes and how the employees perceive
the transformation.

Requirement # 3: Cultural Framework

An organizational culture guides members in what to perceive, think, and feel
about issues facing the organization, and how to make decisions. Decision-
making is embedded within every aspect of an organization, ranging from
long-term strategy formulation by the TMT to day-to-day decision-making by
operational level employees. Within most decisions there is an ethical component
that reflects the organization’s culture.
324 A. Armenakis et al.
From the interview narratives, we identified specific practices that were classi-
fied as artefacts and espoused beliefs and values. However, Schein (2004) states
that unconscious underlying assumptions can be identified through in-depth
discussions with groups of employees. Thus, a group facilitator can point out
the artefacts and espoused beliefs/values, and then challenge the employees to
express their congruent underlying assumptions.
The artefacts that we identified (e.g. the conversion announcement and devo-
tionals) and the espoused beliefs/values (e.g. managing by the Golden Rule)
were clearly Christian. We inferred from these the underlying assumptions (e.g.
the Bible is the source for organizational guidance). These three elements were
unique to this organization, but any organization’s culture can be described
using these three elements. And, an unethical culture can be transformed to an
ethical culture by changing these three elements.

Requirement # 4: Important Formal and Informal Management Practices

The most influential practices in developing and maintaining an organizational
culture have been defined as leadership, attraction-selection-attrition, socializa-
tion, reward systems, decision-making, and organizational learning (cf. Verbos
et al., 2007). The interview content supported that all of those practices were
important with the exception of a reward system.
Attraction-selection-retention is considered a powerful means of embedding an
organizational culture. PFC managers considered person-organization fit (PO fit)
to be the linchpin in maintaining PFC’s culture. This is certainly not unique to
PFC. For example, Schmall (2007) reported how important PO fit was to Chic-fil-
A. Performance feedback relied upon an informal system based on trust, and no
awards were given for exemplary ethical actions, because everyone was expected
to conduct themselves in a manner that would reflect favorably on the company.
While management theory advocates the benefits of a formal reward system that
encourages and ensures the correct behaviour, PFC did not have such a system.
As suggested in the literature, if individuals have internalized the values and
beliefs as the organizational culture, then they are likely to be intrinsically motivated
and perceive performance itself (i.e. acting ethically) as a reward (cf. Fry, 2003).
In transforming the culture, the CEO implemented several strategies that were
included in the readiness and institutionalization models. It is important to realize
that these were implemented early in the transformation period. But some contin-
ued and became permanent routine practices. First, the conversion announcement
was live in-person persuasive communication, intended to create readiness for the
cultural transformation. Admittedly, this took place in 1976 so the details of the
announcement are not known. Shortly afterward the devotionals were initiated
and continued until the company was sold. In the institutionalization model the
devotionals could be classified as diffusion practices that also provided a vicarious
learning experience for everyone to observe they were being conducted as well as
how many attended and who was attending. Accompanying the devotionals were
private counseling sessions with anyone who felt the need to converse with the
chaplain. Both the devotionals and the counseling sessions could be classified
as management of external information since they were conducted by the
 Culture Assessment and Transformation 325
chaplain. The distribution of Bibles by the CEO was a symbolic gesture to
reinforce his intentions to manage by Christian principles. And, finally discontinu-
ing the use of alcohol at company functions plus formalizing the mission statement
which stated the company’s obligation to GOD and the objective to tithe for char-
ities were formalization activities to reinforce the Christian culture. It is important
to realize that all of these influence strategies were used to transform the culture.
New employees learn the values, beliefs, attitudes, and norms necessary to
perform their organizational roles through socialization. At PFC no training
programs focused on ethical conduct. The informal interactions with other
employees, the role modeling by the cultural carriers, the supportive visits of
the chaplain, and the scheduled company devotionals provided additional oppor-
tunities for socialization.

Requirement # 5. Cultural Internalization

Cultural internalization can be described as employees internalizing the
cultural artefacts, the espoused beliefs/values, and the underlying assumptions.
It informs them as to who they are as an organization, based on their collective
thoughts, feelings, and behaviours. They speak in terms of we believe or we
think instead of I believe or I think. In order to achieve cultural internalization
the prior four requirements must be satisfied.

Directions for Future Research

Our qualitative approach provided us with very rich data, but the effort was quite
labour intensive. However, it is quite common in the scale-development process to
utilize qualitative methodology as an early step (Hinkin, 1998). Consideration is
now being given to a subsequent step, which is to formulate a convenient self-
report questionnaire that could be administered anonymously to large numbers
of organizational members in assessing the organizational practices to determine
an organization’s culture. Thus, this research effort can serve as an early step in
formulating a quantitative assessment methodology to complement those
already existing quantitative scales (cf. Kaptein, 2008).
We provided evidence from the organizational culture literature that various
cultural typologies have been identified and found to be related to an organiz-
ation’s performance. One typology we discussed was that an organizational
culture can be ethical or unethical, and described unethical cultures as those
that do not adequately address the interests of stakeholders (viz., moral and philan-
thropic responsibilities). An issue worthy of further consideration is the relation of
culture to organizational performance. We pointed out that in some instances
organizations fulfilled only one or two of the responsibilities (viz., economic
and legal) included in the stakeholder theory of management. Because these
organizations have been criticized for having unethical cultures the evidence
indicates they are/were not good corporate citizens. Thus, this fact demonstrates
the importance of relating organizational cultures to all of the responsibilities
comprising the stakeholder theory of management.
326 A. Armenakis et al.
Furthermore, the PFC culture was clearly Christian. It should be noted that there
are other businesses that have Christian organizational cultures (Schmall, 2007),
but to our knowledge no in-depth analyses have been published. Because ethics
has attracted so much attention lately, we encourage others to include assessing
ethical practices in research on organizational cultures. Moreover, we propose
that consideration be given to conceptualizing ethical cultures as comprising a
continuum of secular to religious. The religious label can include all religions
and the artefacts, espoused beliefs/values and underlying assumptions would be
consistent with the religion.

Limitations
The company we analysed was admittedly considered, a small family-owned
enterprise. We do not intend to generalize our findings (i.e. the practices and
their results) to larger companies (in fact, it may be that the practices we described
may have had the described results because PFC was a small family enterprise).
We are implying, however, that our method of assessing organizational culture
and the requirements for cultural transformation may apply to any organization,
though more applications are needed in order to confirm this.

Conclusions
For practitioners, this case study provides some guidance on how to assess and
transform organizational culture. Organizational leaders who are interested in
determining the extent to which their organization is socially responsible should
conduct a cultural audit comprised of two parts. First, by using an interview sche-
dule similar to our OEPA, data can be collected regarding the organization’s oper-
ations. Using a cultural elements’ framework, like that proposed by Schein (2004),
the operations data can be categorized into explicit artefacts and espoused beliefs/
values. Second, these data can be fedback to groups of organizational members
who would be charged with the tasks (1) to verify the accuracy of the artefacts
and espoused beliefs/values, and (2) to express the unconscious underlying
assumptions that are responsible for these artefacts and espoused beliefs/values.
From this participative analysis, if it is concluded that stakeholder interests are
not being adequately satisfied, an incremental or fundamental change in these
elements may be needed. Thus, a planned cultural transformation based on the
five requirements for culture change could be planned, implemented, monitored
and revised as necessary.

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