Developing a Sustainable Digital Transformation Roadmap for SMEs: Integrating Digital Maturity and Strategic Alignment

Abstract

Digital transformation (DT) is crucial for SMEs to streamline operational efficiency, foster innovation, and meet upcoming challenges. Integrating sustainability into this process not only enhances a company’s reputation but also attracts customers and investors who value environmental responsibility. Despite this opportunity, many SMEs operate without clear plans and strategies. The literature review identified a lack of roadmaps that integrate sustainability into the digital transformation process for SMEs. Thus, this paper aims to propose a sustainable digital transformation roadmap for SMEs that evaluates their digital maturity and facilitates gradual implementation in alignment with their strategic objectives. A systematic literature review using the Methodi Ordinatio defined six key dimensions of digital transformation. Consequently, the SDT-SMEs Roadmap was developed, drawing on ISO/IEC 33000 standards to offer well-defined processes for enhancing digital competencies. The roadmap features three organizational planning levels—strategic, tactical, and operational—and includes a maturity model that evaluates 75 processes across six dimensions: Digital Technologies, Customer Focus, Organizational Culture, Organizational Governance, People, and Sustainability. Validation through a case study confirmed the roadmap’s effectiveness in addressing real-world challenges and guiding SMEs through the digitization process. The SDT-SMEs Roadmap provides a comprehensive and integrated approach, ensuring continuous adaptation and improvement in sustainable digital transformation efforts. This roadmap addresses a significant gap in the literature and presents a practical, strategic, and adaptable pathway for SMEs embarking on their digital transformation journeys.

1. Introduction

Digital transformation (DT) is essential for organizations to remain competitive, offering benefits such as improved collaboration, reduced delivery times, and increased production flexibility [1]. DT involves the use of technology to modify how businesses operate, create value for customers, and adapt to the digital age [2].

A sustainable perspective in every step of digital transformation ensures a robust, innovative, and efficient business model that simultaneously improves environmental and social well-being. Digitalization, through automation, data analytics, and artificial intelligence (AI) tools, helps companies streamline processes and optimize workflows in a structured manner, potentially reducing costs without compromising sustainable approaches focused on minimizing environmental impact and promoting social equity. This holistic approach allows companies to meet the demands of more conscious consumers and stricter regulators, opening new markets and strengthening their reputation. By combining digital transformation with sustainability, companies can create sustainable value, ensuring both short-term economic success and long-term viability and responsibility [3].

George et al. [4] define digital sustainability as “the organizational activities that seek to advance the sustainable development goals through the creative use of technologies that create, utilize, transmit, or source electronic data.” According to Guandalini [5], digital sustainability can unify the two strategic objectives of sustainability and digital transformation to drive positive societal and environmental changes.

Some authors argue that there is an optimistic view regarding the opportunities that digitalization offers for sustainability, but if not controlled or underestimated, it can negatively affect the sustainable development of an organization [6,7,8,9]. On the other hand, the study by Zhang and Jin [10] asserts that digital transformation can significantly improve corporate sustainability, with positive corporate governance and empowered individuals playing a crucial role. Other authors also suggest that digitization positively impacts sustainability, cost reduction, revenue growth, and financial performance [11,12,13,14].

Research linking digital transformation with SMEs began around 2016. For example, Chen et al. [15] explored how DT can affect the performance of SMEs. It was only in 2019 that publications related to sustainability in digital transformation in SMEs began to appear. The COVID-19 pandemic has sped up this process and shown the necessity for SMEs to adopt both sustainability and digital technologies, driving additional research on the topic [16].

The importance of sustainable digital transformation (SDT) for SMEs lies in its potential to enhance operational efficiency, drive innovation, and prepare organizations to adapt to rapid technological changes. Studies indicate that SMEs need to actively engage in SDT to remain competitive [5]. However, beyond financial constraints, a significant barrier to digital transformation is the lack of detailed and straightforward roadmaps. Most organizations do not have a clear strategy, vision, and planning for digital transformation and organizational sustainability [17,18,19,20,21].

The literature presents several roadmaps for Industry 4.0 [22,23,24,25,26,27,28], which focus on transferring Industry 4.0 concepts from research to practice. However, specific digital transformation roadmaps tailored to SMEs are much less common. Only seven studies in the literature propose digital transformation roadmaps specifically for SMEs [29,30,31,32,33,34,35], and five studies propose digital transformation roadmaps integrated with sustainability [36,37,38,39,40]. Although significant attention has been paid to incorporating sustainability into digitalization, the literature review found no specifically developed roadmaps for implementing sustainable digital transformation in SMEs.

Sagala et al. [41] establish that there are several essential factors to consider when preparing a digital transformation roadmap for SMEs. First, the current digital maturity of the SME should be assessed, which serves as a foundation for developing a strategy that takes into account its specific constraints and competencies. Second, the organization’s strategic objectives should be clearly defined to ensure that digital initiatives align with the overall business goals. The authors recommend implementing gradual and incremental improvements in digitalization to help SMEs adapt without overburdening their resources.

Although some digital transformation roadmaps in the literature incorporate maturity models, such as those by Gökalp and Martinez [42] and Haryanti et al. [43], these models are not specifically tailored for SMEs and do not include sustainability. For example, Gökalp and Martinez [42] presented a preliminary maturity model aimed at leveraging digitalization in manufacturing, and Haryanti et al. [43] introduced the DX-SAMM (Self-Assessment Maturity Model), which offers a comprehensive guide for improving digital maturity levels in organizations.

Based on the literature review, a clear research gap has been identified: the lack of SDT roadmaps specifically designed for SMEs that (1) assess their current level of digital maturity, (2) support the gradual and incremental implementation of digital transformation, and (3) align with their strategic objectives.

Consequently, we address the following research questions (RQ).

RQ1: How can a sustainable digital transformation roadmap be developed for SMEs that assess their digital maturity?

RQ2: How can this roadmap enable the gradual implementation of sustainable digital transformation aligned with the strategic objectives of SMEs?

In this regard, this paper aims to propose a sustainable digital transformation roadmap for SMEs that evaluates their digital maturity and facilitates gradual implementation in alignment with their strategic objectives.

This paper is organized as follows to address the research question: Section 2 presents the research methodology used to develop the roadmap. The proposed roadmap, called the SDT-SMEs Roadmap, is presented in Section 3. The implementation of this roadmap is described in Section 4. Results and discussions are reported in Section 5, and the conclusions are detailed in Section 6.

2. Methodology

The methodology used for this research was divided into three main stages: Systematic Literature Review (SLR), Roadmap Development, and Roadmap Validation.

2.1. Systematic Literature Review (SLR)

For this study, a literature review was conducted following the protocols established by Pagani et al. [44,45]. The steps included the following: (i) selecting bibliographic databases; (ii) establishing keywords and keyword combinations; (iii) defining search criteria in the databases; (iv) executing searches; (v) removing duplicate articles; (vi) defining and applying exclusion criteria for articles irrelevant to the proposed topic; (vii) assessing articles through the calculation and analysis of InOrdinatio values; and (viii) performing a full reading of the selected articles.

Considering the research objectives, two groups of keyword combinations were structured: Group 1 aimed to identify how digital transformation incorporating sustainability occurs in SMEs; Group 2 aimed to identify digital transformation roadmaps for SMEs and/or sustainable digital transformation roadmaps found in the literature. Keyword combinations and search criteria were defined in the Scopus and Web of Science databases, using two requirements: (i) Keywords in Abstract-Title-AND-Keywords, and (ii) All Years. The search syntax and results of the final search are presented in

Table 1. Final search in databases.

Keyword Combination		Scopus	Web of Science	Total
Group 1	“Digital Transformation” AND (“SMEs” OR “Small and Medium Enterprises”) AND (“Sustainab*” OR “Sustainable Development”)	100	53	153
Group 2	“Digital Transformation” AND “Roadmap” AND (“SMEs” OR “Small and Medium Enterprises” OR “Sustainable Development” OR “Sustainab*”)	122	56	178

.

The searches were executed based on the defined keyword combinations and criteria. The articles found were collected using the Mendeley Reference Manager^® 1.19.5. to select articles directly related to the research topic, filtration procedures were applied individually for Groups 1 and 2, including the following: (i) removing duplicate articles; (ii) excluding books and conference papers; and (iii) excluding articles not related to the research topic.

For selecting the final sample of articles, step 7 of the Methodi Ordinatio [44,45] known as InOrdinatio, was applied. This phase involves qualifying and sorting the articles based on scientific relevance by evaluating the impact factor, year of publication, and number of citations for each article. This process ensured that only the most relevant studies according to these scientific criteria were included.

Table 2. Filtering procedures.

Filtering Procedures	Number of Articles
	Group 1	Group 2
Duplicate papers deleted	69	73
Exclusion by document type (conference paper; book and book chapter)	24	49
Deletion of articles outside the theme	18	44
Total articles deleted	108	166
The resulting number of articles in the portfolio	48	12

shows this exclusion process and the resulting number of articles in the final portfolio.

2.2. Roadmap Development

Based on the insights obtained from the SLR, the SDT-SMEs Roadmap was developed. This roadmap is designed to guide SMEs through different levels of digital maturity, with specific steps and goals to be achieved at each level.

The SDT-SMEs Roadmap was developed using the ISO/IEC 33000 [46] standards family as its foundation. Initially, the roadmap’s structure was developed based on ISO/IEC TR 33014 [47], which presents a structured approach incorporating three levels of improvement: strategic, tactical, and operational. Subsequently, the sustainable digital transformation processes and dimensions were identified, and definitions for the processes and maturity model were developed to determine organizational capability and maturity levels. All processes were developed based on the literature review and discussed with researchers and experts. Following review and feedback, the development of the SDT-SMEs Roadmap was completed.

2.3. Roadmap Validation

The final stage of the methodology involved validating the developed roadmap. A case study was conducted with an SME to evaluate the applicability and effectiveness of the proposed roadmap. During validation, the steps and goals of the roadmap were critically examined to understand the rationale behind specific recommendations. The aim was to refine and adjust the model based on feedback iteratively.

This validation process involved analyzing qualitative and quantitative data using tools such as interviews, questionnaires, and feedback sessions with key stakeholders connected to the SME.

The following steps were carried out during the case study.

• Planning and Preparation: The first step involved planning the data collection process, which included creating templates, developing questions for semi-structured interviews, and preparing questionnaires to be applied after the assessment to gather feedback on the applicability of the roadmap.
• Assessments and Data Collection: Step 1 of the roadmap was initiated, where digital transformation objectives were defined in collaboration with senior management. Following this, Step 2 was implemented to assess the company’s current maturity level. Data collection involved conducting semi-structured interviews (detailed in Appendix A) and gathering direct evidence, such as company documents, records, IT strategies, plans, tools in use, and collected metrics. Each process was outlined alongside its respective activities, and all participants jointly reviewed their applicability and relevance to the company. The activities were evaluated on a scale from zero (Not Achieved) to three (Fully Achieved) based on their completion and supporting evidence.
• Analysis: The interviews were transcribed, and direct evidence was reviewed to analyze the data. This analysis provided insights into the capability level of each process within the company and, consequently, the overall organizational maturity level.
• Results Validation: In the final stage, the results were shared with senior management in a dedicated session where the findings were discussed in detail. This discussion highlighted key strengths and weaknesses within the company’s digital transformation journey, and an action plan was developed to address identified gaps. Feedback from key stakeholders connected to the SME was solicited. This feedback was crucial for assessing the practical implementation of the roadmap and enhancing its relevance and effectiveness.

Statistical Analysis of the Interviews

To ensure a systematic and rigorous analysis of the conducted interviews, a content analysis approach was adopted. The interviews were structured around six main dimensions: Digital Technologies, Customer Focus, Organizational Culture, Organizational Governance, People, and Sustainability. In total, 75 questions were formulated regarding the processes associated with these dimensions, the details of which are available in Appendix A.

The coding system used to evaluate the capability level of the processes followed the ordinal scale defined in the ISO/IEC 33020 standard [48], classified as follows: (0) Not Achieved—if the achievement is between 0% and 15%; (1) Partially Achieved—if the achievement is between 16% and 50%; (2) Largely Achieved—if the achievement is between 51% and 85%; (3) Fully Achieved—if the achievement level is between 86% and 100%.

The analysis of the interviews was carried out as follows: each interview was recorded and transcribed. To facilitate qualitative analysis, NVivo 14 software was used. The interviews were conducted with four managers selected based on their strategic positions and experience, ensuring a comprehensive representation of perspectives within the organization.

The responses were coded according to the previously mentioned system. After coding, the means of the capability levels assigned to each process were calculated based on the managers’ responses. To ensure the validity and reliability of the analysis, data triangulation was utilized, comparing the responses from the four managers and integrating information from company documents. The results of the analysis were organized into tables, presenting the frequencies of the codes and their respective interpretations. The results are presented and discussed in Section 4.

3. The SDT-SMEs Roadmap

The SDT-SMEs Roadmap aims to provide well-defined and formalized processes that will guide SMEs in implementing sustainable digitalization. The roadmap seeks to address the gaps identified in the current literature by offering a structured guide to sustainable digital transformation for organizations. This will be achieved through an assessment of the organization’s existing capability and maturity levels, resulting in continuous transformation and ongoing evolution.

The structure of the SDT-SMEs Roadmap is based on ISO/IEC TR 33014 [47], which presents a structured approach incorporating three levels: strategic, tactical, and operational. ISO/IEC TR 33014 provides informative guidelines on how to use process assessment within a comprehensive framework for continuous improvement. It also offers guidance on developing and maintaining the competencies needed to ensure the success of these improvements [47].

Figure 1 illustrates the SDT-SMEs Roadmap. The details are as follows:

Step 1—Strategic Level: Define Vision and Objectives

Initially, a clear vision of what sustainable digital transformation means for the SME must be established. This vision should align with the company’s strategic objectives, such as increasing efficiency, improving customer experience, or expanding into new markets. Based on this vision, specific and measurable objectives are defined (e.g., process digitization, adoption of new technologies, or development of digital skills within the team). Subsequently, the motivation for digital transformation (e.g., competitiveness, innovation, efficiency) is established, guiding the organization in the desired direction.

Step 2—Tactical Level: Plan the Implementation

At the tactical level, an assessment of the existing processes within the organization is conducted to identify areas needing improvement. This assessment utilizes a maturity model grounded in the ISO/IEC 33000 standards (see Section 3.2).

The evaluation is carried out by an assessment team that follows ISO/IEC 33002 [48] for process assessment procedures, including data collection and validation techniques. The team collects data through semi-structured interviews with process owners and by examining work products such as documents, tools, and emails. After data collection, the team analyzes the data to determine current capability levels, strengths and weaknesses of sustainable digital transformation processes, and the organization’s digital maturity level. Section 3.2 provides a detailed description of the SDT-SMEs Roadmap Maturity Model.

Based on the capability assessment, opportunities for improvement are identified and prioritized, allowing the creation of an action plan in the assessment report. The organization then develops an action plan that includes work packages, assigned responsibilities, and timelines, considering its specific conditions [42].

Step 3—Operational Level: Execute and Monitor the Transformation

This stage involves the implementation of the action plan, validation, and sustainability of improvements and is a long-term process. The results from process evaluations are used to guide continuous improvement decisions, ensuring that each step is based on concrete data and the current state of the company.

The SDT-SMEs Roadmap not only guides SMEs through the digitization process but also ensures their capacity for continuous adaptation and improvement. It serves as a strategic, tactical, and operational guide, ensuring that all aspects of sustainable digital transformation are addressed in an integrated and efficient manner.

The SDT-SMEs Roadmap is grounded in the ISO/IEC 33000 [46] standards family. For the tactical level, which aims to identify the current digital maturity level of the company, we utilize a maturity model supported by the process reference model (PRM), which will be detailed in the next subsection.

3.1. Process Reference Model (PRM)

Processes consist of a set of connected or interactive activities that turn inputs into outputs, driving the organization’s digital transformation efforts. [42]. The literature review identified the main dimensions of sustainable digital transformation for SMEs: Digital Technologies, Customer Focus, Organizational Culture, Organizational Governance, People, and Sustainability.

• Digital Technologies: This dimension focuses on how technology drives digital transformation. Digitalization refers to the application of digital technologies to modify a business model, creating new opportunities for revenue generation and value creation. It involves enhancing an organization’s efficiency, effectiveness, and agility through these technologies. This is achieved by integrating technologies and processes across manufacturing and the supply chain, enabling decentralized decision-making and autonomous production with minimal human intervention. Notably, the adoption of advanced technologies like artificial intelligence (AI), machine learning, and blockchain is crucial for increasing company value and performance [49,50,51].
• Customer Focus: Digital transformation improves customer experience by offering user-friendly designs and boosting service reliability, which strengthens customer loyalty. Digital platforms play a pivotal role in the digital transformation of SMEs, facilitating communication and collaboration with clients and suppliers. They also enable companies to explore new markets and experiment with different business models. High-speed networks allow SMEs and entrepreneurs to connect with suppliers and customers, access real-time information on market conditions both locally and globally, and monitor consumer demand. This connectivity allows for rapid responses to market changes and supply chain disruptions. Personalized and engaging digital experiences, combined with data analytics and targeted automation, further enhance customer satisfaction and loyalty. Manufacturing companies must remain agile, flexible, and innovative to keep pace with changing market dynamics, as customer needs have become more diverse and products more complex and intelligent [52,53,54].
• Organizational Culture: The internal dynamics of an organization, along with collaborative networks, form the foundation of its structure. A lack of a strong digital culture can lead to the failure of any digital transformation initiative. Leadership plays a vital role in cultivating this culture by setting an example and fostering an environment that embraces change, which is essential for fostering innovation. Digitalization is reshaping how SMEs operate, disrupting traditional methods of delivering value to customers through new channels and altering business operations. Investing in resources and promoting continuous innovation is crucial for staying competitive in the fast-evolving digital landscape [55,56,57].
• Organizational Governance: Research underscores the importance of effective governance structures in ensuring the success of digital transformation strategies. Governance frameworks that support strategic decision-making and resource allocation, particularly to evolving digital capabilities like innovation, are essential for digital transformation success in SMEs. Additionally, companies with well-defined digital strategies often exhibit stronger governance practices, as supported by emerging literature. This suggests that certain Governance, Accountability, and Compliance (GAC) variables within SMEs positively impact performance when technology is embraced. Effective governance is critical for aligning digital transformation initiatives with strategic goals and operational efficiency [57,58,59,60].
• People: Human capital is a key component of digital transformation. The flexibility and innovative capacity of employees are essential to enhancing organizational capabilities. Promoting knowledge sharing, employee training, and effective communication mechanisms for continuous improvement are necessary. These factors prepare an organization for successful digital transformation, fostering organizational agility, a leadership team that understands the strategic implications of technology, and more empowered employees who actively contribute to the transformation. Additionally, gender diversity within teams appears to play an important role in stimulating creativity and innovation [11,61,62,63].
• Sustainability: Sustainability is a fundamental pillar of sustainable digital transformation, as it integrates technological advancements with practices that promote environmental, social, and economic responsibility. The intersection between sustainability and digital transformation is driven by emerging technologies that enhance the competitive advantage of companies, not only by improving operational efficiency but also by aligning business operations with sustainability goals. SMEs, in particular, are leveraging Industry 4.0 technologies, such as the Internet of Things (IoT) and additive manufacturing, to reduce environmental impacts, improve economic performance, and promote social responsibility practices. The adoption of digital tools facilitates innovation, customization, and process optimization, enabling SMEs to achieve their sustainability objectives more effectively, while also meeting the demands of a market that is increasingly conscious and regulated by environmental and social standards. Thus, sustainability plays a role in digital transformation by guiding business strategies towards more responsible and resilient growth, which respects ecological boundaries and promotes social well-being [64,65,66].

These dimensions are crucial for guiding companies through the sustainable digital transformation process, promoting innovation, efficiency, and quality. As a result of the literature research, 75 sustainable digital transformation processes were defined, and categorized within these six dimensions. These processes are established in line with the criteria set by ISO/IEC 33004 [67], which requires a process definition to include the process name, purpose, expected outcomes, essential practices, and associated work products.

The proposed model’s dimensions were broken down into key factors, each grouping the processes relevant to their respective factor and dimension. The processes within each dimension and key factor are described in

Table 3. Processes of digital technologies.

Key Factor	Ref	Process
Digital Infrastructure and Readiness	TD0	Use Basic Technologies
	TD1	Manage Social Media Platforms
	TD2	Implement IT Infrastructure
	TD3	Manage Information Systems
	TD4	Ensure Connectivity
	TD5	Guarantee Interoperability
	TD6	Integrate Digital Technology
	TD7	Facilitate Industrial System Integration
	TD8	Unify Horizontal and Vertical Software Integration
Digital and Advanced Technologies	TA0	Utilize Cloud Computing
	TA1	Apply Artificial Intelligence (AI)
	TA2	Utilize Data Analytics
	TA3	Conduct Simulations
	TA4	Deploy Internet of Things (IoT)
	TA5	Implement Augmented Reality
	TA6	Secure with Cybersecurity using Blockchain
	TA7	Utilize Big Data
	TA8	Utilize Machine Learning
	TA9	Create Digital Twins

,

Table 4. Processes of customer focus.

Key Factor	Ref	Process
Digital Technologies and Platforms	CD0	Use of Digital Platforms
	CD1	Implement e-Commerce
	CD2	Provide Real-time Information
	CD3	Manage Product Traceability
Marketing and Customer Relationship	CM0	Share Information and Interact with Customers
	CM1	Develop Digital Marketing Strategies
	CM2	Promote Customer Engagement and Loyalty
	CM3	Enhance Customer Experience
	CM4	Customize Products and Services

,

Table 5. Processes of organizational culture.

Key Factor	Ref	Process
Culture and Innovation	OcC0	Foster a Culture of Innovation
	OcC1	Develop Digital Culture
	OcC2	Encourage Open Innovation
	OcC3	Promote an Adaptive Organizational Culture
	OcC4	Implement Internal Innovation Processes
Change Management and Adaptability	OcM0	Apply Change Management Practices
	OcM1	Improve Organizational Adaptability
	OcM2	Build Organizational Change Capacity Processes
Digitalization and Technology	OcD0	Digitalization Well-accepted by the Workers
	OcD1	Drive Digitalization of Processes and Services
	OcD2	Adopt E-business Strategies
	OcD3	Advance Corporate Sustainability and Digitalization
	OcD4	Implement Agile Manufacturing and Innovation

,

Table 6. Processes of organizational governance.

Key Factor	Ref	Process
Strategy	GS0	Develop Strategic Vision
	GS1	Manage Organisational Leadership
	GS2	Manage Strategies and their Financial Aspects
	GS3	Evaluate Overall Performance
	GS4	Formulate Digital Strategy
	GS5	Define Differentiating Ideas
	GS6	Define Portfolio
Innovation and Research	GI0	Invest in Innovation
	GI1	Conduct R&D (Research and Development)
Collaboration and Engagement	GC0	Establish Partnerships with Educational Institutions
	GC1	Engage Stakeholders
	GC2	Seek Government Support
	GC3	Forge Collaboration and Partnership

,

Table 7. Processes of people.

Key Factor	Ref	Process
Technical Capabilities and Skills	PT0	Develop Digital Skills for all Employees
	PT1	Enhance Information and Digital Technology Expertise
	PT2	Manage Human–AI Cooperation
Education and Continuous Development	PE0	Manage Education and Capacity Building
	PE1	Manage Sustainable Learning Management
	PE2	Promote Continuous Training
Communicationand Team Management	PC0	Ensure Support from the Top Management Team
	PC1	Develop Management Skills
	PC2	Exercise Transformational Leadership
	PC3	Encourage Employee Participation
	PC4	Ensure Effective Communication
	PC5	Manage Work Teams (inter/intra communication)

and

Table 8. Processes of sustainability.

Key Factor	Ref	Process
Resource Efficiency and Environmental Impact Reduction	SR0	Implement Green IT Practices
	SR1	Monitor Carbon Footprint
	SR2	Optimize Resource Efficiency
	SR3	Implement Digital Environmental Monitoring
	SR4	Utilize Renewable Energy Sources
Sustainable Supply Chain and Circular Economy	SS0	Adopt Sustainable Procurement
	SS1	Promote Circular Economy Practices
Sustainable Design and Reporting	SD0	Conduct Sustainability Reporting
	SD1	Sustainable Product Design

. For each process, an internal reference code (Ref.) is provided.

Table A1. Dimensions and processes of digital technologies.

Dimension	Process	Papers
Digital Technologies	Use Basic Technologies	[56]
	Manage Social Media Platforms	[56]
	Implement IT infrastructure	[70]
	Manage Information Systems	[70]
	Ensure Connectivity	[56]
	Guarantee Interoperability	[33,71]
	Integrate Digital Technology	[56,70]
	Facilitate Industrial System Integration	[72]
	Unify Horizontal and Vertical Software Integration	[73]
	Utilize Cloud Computing	[73,74,75]
	Apply Artificial Intelligence (AI)	[12,74,75]
	Utilize Data Analytics	[52,73]
	Conduct Simulations	[73]
	Deploy Internet of Things (IoT)	[12,74,75,76]
	Implement Augmented Reality	[51]
	Secure with Cybersecurity using Blockchain	[73,75]
	Utilize Big Data	[52,73]
	Utilize Machine Learning	[12]
	Adopt Additive Manufacturing	[73,75]
	Create Digital Twins	[73]
	Develop Cyber-Physical Systems (CPS)	[76]
	Implement Autonomous Robots	[74,75]
Customer Focus	Use of Digital Platforms	[11]
	Implement e-Commerce	[49,56]
	Provide Real-time Information	[56,77]
	Manage Product Iraceability	[56]
	Share Information and Interact with Customers	[12]
	Develop Digital Marketing Strategies	[70,78]
	Promote Customer Engagement and Loyalty	[41]
	Enhance Customer Experience	[49,70,79]
	Customize Products and Services	[49,52]
Organizational Culture	Foster a Culture of Innovation	[70]
	Develop Digital Culture	[12,49]
	Encourage Open Innovation	[80]
	Promote an Adaptive Organizational Culture	[77]
	Implement Internal Innovation Processes	[80]
	Apply Change Management Practices	[49,79]
	Improve Organizational Adaptability	[70]
	Build Organizational Change Capacity Processes	[79]
	Digitalization Well-accepted by the Workers	[77]
	Drive Digitalization of Processes and Services	[77]
	Adopt E-business Strategies	[81]
	Advance Corporate Sustainability and Digitalization	[49]
	Implement Agile Manufacturing and Innovation	[49]
Organizational Governance	Develop Strategic Vision	[16,49]
	Manage Organisational Leadership	[70,77]
	Manage Strategies and Their Financial Aspects	[49]
	Evaluate Overall Performance	[49]
	Formulate Digital Strategy	[50]
	Define Differentiating Ideas	[50]
	Define Portfolio	[50]
	Invest in Innovation	[49]
	Conduct R&D (Research and Development)	[70,79]
	Engage Stakeholders	[70,79,82]
	Seek Government Support	[11,83]
	Forge Collaboration and Partnership	[11]
	Establish University-Industry Partnerships	[84]
People	Develop Digital Skills for all Employees	[16,49,50,56,70,82]
	Enhance Information and Digital Technology Expertise	[16,50]
	Manage Human–AI Cooperation	[73]
	Promote Continuous Training	[16,49,56,79]
	Manage Education and Capacity Building	[11,81]
	Manage Sustainable Learning Management	[49]
	Ensure Effective Communication	[85,86]
	Manage Work Teams (inter/intra communication)	[70]
	Develop Management Skills	[85]
	Encourage Employee Participation	[82]
	Ensure Support from the Top Management Team	[16,86]
	Exercise Transformational Leadership	[16,70,77]
Sustainability	Implement Green IT Practices	[86]
	Monitor Carbon Footprint	[86]
	Optimize Resource Efficiency	[87]
	Implement Digital Environmental Monitoring	[87]
	Utilize Renewable Energy Sources	[88,89]
	Adopt Sustainable Procurement	[36,37]
	Promote Circular Economy Practices	[36,37,90]
	Conduct Sustainability Reporting	[86]
	Sustainable Product Design	[89,90]

(Appendix B) shows the references for each process.

3.2. The SDT-SMEs Maturity Model

Organizational maturity is assessed based on the maturity of its processes, reflecting how well these processes are improved. The capability level of processes determines the different maturity levels an organization can achieve [46].

This stage of the roadmap aims to provide organizations with a precise understanding of their current capabilities, identifying strengths and areas for improvement.

The SDT-SMEs Maturity Model is based on the ISO/IEC 33000 standards and was specifically designed for SMEs, offering a simplified and adaptable evaluation tailored to their circumstances. According to the standard, the maturity level of an organization is measured by the capability levels of its processes. Therefore, the maturity model will be presented in two parts: Section 3.2.1 and Section 3.2.2.

3.2.1. Process Capability Levels

First, it is necessary to identify the capability level of each process, which involves understanding and evaluating the extent to which processes meet the requirements outlined in the process reference model.

The ordinal scale of six points for assessing process capability levels, as defined in ISO/IEC 33020 [48], has levels [68].

Table 9. Capability levels.

Capability Levels	Description
Level 0 (incomplete)	The process is either not implemented or not utilized effectively, with little to no evidence of a systematic approach to achieving its objectives.
Level 1 (performed)	The process is functioning as intended with basic execution, but it may lack formal planning and control.
Level 2 (managed)	The process is now implemented in a managed way, including planning, monitoring, and adjustments as needed.
Level 3 (established)	The managed process is now implemented with a defined approach that ensures consistency, follows established practices and standards, and effectively achieves its intended outcomes.

provides a summary of the proposed levels.

To determine the capability that has been simplified in this model to include only the first four capability levels of a process, it is necessary to observe and evaluate evidence that the process outcomes have been achieved. According to ISO/IEC 33020, capability measurement is based on a set of process attributes [48].

The ordinal scale used to assess the process capability level follows the four levels defined in ISO/IEC 33020:

(0)

Not Achieved—if the achievement is between 0% and 15%;

(1)

Partially Achieved—if the achievement is between 16% and 50%;

(2)

Largely Achieved—if the achievement is between 51% and 85%;

(3)

Fully Achieved—if the achievement level is between 86% and 100%.

3.2.2. Organizational Maturity Level

The organizational maturity level reflects the degree to which a company consistently implements sustainable digital transformation (SDT) processes to achieve its desired level of maturity. This assessment is based on the capability levels attained across a defined set of processes.

Capability level measures the effectiveness of executing specific processes, evaluating whether appropriate practices and tools are employed to achieve desired outcomes. In contrast, the organizational maturity level provides a comprehensive assessment of the overall state of development regarding the consistent implementation of these processes and practices. It considers the integration of various processes into a systematic approach to sustainable digital transformation.

In summary, while capability level focuses on the effectiveness of individual processes, organizational maturity level encompasses the overall effectiveness of the company in integrating these capabilities to achieve strategic objectives.

In addition to evaluating overall organizational maturity, this model allows for the assessment of maturity within each SDT dimension. This dimensional evaluation helps SMEs identify both their strengths and areas for improvement, enabling them to concentrate their enhancement efforts accordingly.

It is important to recognize that successful digital transformations occur incrementally. The maturity levels are cumulative; each level includes the attributes of the component object model that support all its preceding levels. Similar to the maturity model proposed by [68] (to simplify its application in SMEs), this model will consist of five maturity levels, ranging from Level 0 to Level 4.

• Level 0: There is no SDT initiative.
• Level 1: Initial—The sustainable digital transformation process has started [42]. The organization is implementing basic processes. The SDT vision is established, and the roadmap for the transition strategy has been developed but not yet fully implemented. Fundamental processes such as using basic technologies and social media platform management are in development. Customer communication and interaction begin to take place via digital platforms, with an emphasis on information sharing and customer engagement. Additionally, this level focuses on fostering a culture of innovation and increasing employee acceptance of digitalization.
• Level 2: Managed—Sustainable digital transformation management occurs at this stage, when a connection between the physical and digital worlds, is created [42]. Core processes are initiated, such as implementing IT infrastructure, managing information systems, ensuring connectivity, and utilizing cloud computing. Digital marketing strategies and customer engagement plans are developed, alongside promoting digital culture and innovation. The organization also manages its digital strategies at this level.
• Level 3: Defined—Sustainable digital transformation is well-established within the company at this level. More advanced processes are developed, including the integration of digital technologies, the use of AI, data analytics, e-commerce, and customer experience enhancement. Organizational culture adapts through change management practices and e-business strategies. Partnerships with educational institutions are established, while there is greater involvement from stakeholders, support from top management, and increased employee participation.
• Level 4: Digital Oriented—Advanced processes are developed to unify software, perform simulations, and implement technologies. Security is strengthened using blockchain, while Big Data and machine learning provide real-time insights and manage traceability. Internal innovation is promoted, organizational change capability is strengthened, and the digitalization of processes and services progresses. Investment in innovation, government support, partnerships, and collaboration are encouraged, while digital expertise and capacity-building are enhanced under transformational leadership. Corporate sustainability and digitalization are advanced, and agile manufacturing practices and innovation are adopted. Research and development (R&D) is intensified, managing cooperation between humans and AI, while sustainable learning management is promoted.

Figure 2 shows the processes required to be achieved at each maturity level, based on the defined dimensions.

Figure 3 depicts the link between the organizational maturity level and the capability level of processes. To determine an organization’s maturity level, it is important to assess the capability level of each process individually.

To achieve Organizational Maturity Level 1 (Initial), processes including TD0, TD1, CD0, CM0, OC0, OD0, GS0, GS1, PC0, PC1, SR0, and SS0 must be at Capability Level 1 (Performed).

For Organizational Maturity Level 2 (Managed), processes TD2, TD3, TD4, TA0, TA9, CM1, CM2, OC1, OC2, GS2, GS3, GS4, GS5, PT0, PE0, PC2, SR1, SR2, and SS1, along with the previously assessed processes, need to reach Capability Level 2 (Managed).

At Organizational Maturity Level 3 (Defined), processes TD5, TD6, TA1, TA2, CD1, CM3, OC3, OM0, OM1, OD2, GS6, GC0, GC1, PC3, PC4, SR3, and SD0, in addition to the processes assessed in earlier stages, must attain Capability Level 3 (Established).

Finally, to progress to Organizational Maturity Level 4 (Digital Oriented), processes TD7, TD8, TA3, TA4, TA5, TA6, TA7, TA8, CD2, CD3, CM 4, OC4, OM2, OD1, OD3, OD4, GI0, GI1, GC2, GC3, PT1, PT2, PE1, PE2, PC5, SR4, and SD1 must also be at Capability Level 3 (Established), with all previously assessed processes maintaining Capability Level 3.

When evaluating maturity by dimension, the conditions previously mentioned must also be met. An organization can be at a certain level of overall organizational maturity while one or more dimensions may be at a different maturity level.

Evaluating maturity by dimension offers a notable advantage for SMEs, as they often lack the resources or capabilities to reach high levels of quality and innovation across all organizational processes. This distinctive approach allows SMEs to promptly recognize their strengths and pinpoint areas that need improvement [68].

This approach allows SMEs to concentrate on specific aspects of their digital transformation that can be enhanced, offering a more focused pathway to improvement in areas where they may have limited capacity for rapid digital transformation.

4. Validation of the SDT-SMEs Roadmap—A Case Study

To validate the proposed SDT-SMEs Roadmap, a case study was conducted to determine the practical applicability and effectiveness of the roadmap in addressing real-world challenges faced by SMEs. The case study was implemented in a furniture manufacturing company with 47 employees, located in southern Brazil (Ponta Grossa, PR). This company operates in three primary sectors: custom-made furniture manufacturing, ready-to-deliver furniture sales, and sales of upholstery materials.

This company is classified as a small business according to Brazilian standards. Small and medium enterprises (SMEs) in Brazil are primarily classified based on their annual revenue and, in some cases, by the number of employees. The categories include Microenterprises, which have an annual revenue of up to R$ 360,000.00 and can generally employ up to nine people, depending on the activity. Small Businesses, on the other hand, have an annual revenue ranging from R$ 360,000.01 to R$ 4,800,000.00 and can have up to 49 employees. Medium-sized companies are generally considered to have an annual revenue between R$ 4.8 million and R$ 300 million, with the number of employees varying between 50 and 99. SMEs play a crucial role in the Brazilian economy, representing the majority of businesses and significantly contributing to job creation [69].

Four key personnel were interviewed: the HR manager, the manufacturing manager, the sales manager, and the IT specialist. The total duration of the interviews was approximately four hours. For confidentiality purposes, the company is referred to as “Company X” throughout this study.

5. Results and Discussion

The first step in implementing the roadmap at “Company X” (Step 1—Strategic Level) involved defining the vision, objectives, and motivation for digital transformation, in collaboration with senior management. The company aims to initiate digitalization with a reasonable initial budget to attract more clients and streamline administrative processes. Accordingly, the following were established.

• Vision: To be a company with sustainability practices, it should be digitally structured to enhance process efficiency and internal value, while also improving customer service to increase market profitability. We focus on minimizing environmental impact, automating paperwork, and utilizing digital channels. This approach enables us to streamline operations and extend our reach to a global client portfolio.
• Specific and Measurable Objectives: The following objectives were set.

  o

  Automating Administrative Processes—Decrease time spent on administrative tasks by 30% in the first six months.

  o

  New Client Acquisition—Increase the number of clients from digital channels by 20% within the first year.

  o

  Enhance Customer Satisfaction—Implement a digital customer service system and look to increase satisfaction rates by 15% in the first year.

  o

  Streamline Internal Processes—Implement digitalization and automation within 12 months to minimize manual errors in internal processes.

  o

  Implement a Digital Waste Management System to reduce waste by 20% by the end of the second year.

  o

  Train 100% of employees in digital and sustainable competencies by the end of the second year.

• Motivation: The main motivation is to ensure a more efficient company that is prepared for an increasingly digital market, where automation and online presence are essential for evolution and customer acquisition. Moreover, integrating sustainability with digitalization not only makes processes more efficient and cost-effective but also enhances the firm’s brand perception, potentially attracting customers and partners who value sustainable practices.

Subsequently, Step 2 (Tactical Level) was implemented, aiming to assess the organization’s current state regarding digital transformation. After data collection and analysis of the activities performed in each process, the capability level of each process was identified, along with the organization’s overall maturity level.

Figure 4 presents the target required for the company to meet the Initial Level of organizational maturity (blue line) and the capability level found at “Company X” (orange line). All processes meet the minimum requirements to achieve the Initial Level of maturity.

In Figure 5, we can observe the same comparison for the Managed Level (blue line for the target and orange line for the capability level found). However, seven processes fell below the capability level required for the company to be classified as at the Managed Level. These processes are as follows: TA9, create digital twins; OC, develop digital culture; OC2, encourage open innovation; PT0, develop digital skills for all employees; OD0, digitalization well-accepted by the workers; SR0, implement green IT practices; and SR, monitor carbon footprint.

Therefore, it is determined that “Company X” is currently at the Initial Level of organizational maturity.

Figure 6 and Figure 7 display the Defined, and Digital Oriented maturity levels, respectively. It can be observed that to reach these levels of organizational maturity, the company still has a considerable journey ahead, with many processes significantly below the target. As the company aims for higher organizational maturity levels, the number of processes requiring a high capability level gradually increases.

“Company X” should first focus on achieving the Managed Level, and subsequently, repeat the entire roadmap cycle to reach the next level. This continuous improvement approach will help guide the company’s digital transformation journey step by step.

Another result obtained in this stage is the maturity level of each analyzed dimension. Figure 8 presents the results for the Digital Technologies dimension. For each maturity level, we have the related processes and the capability level the company achieved (0, L1, L2, and L3). Since one process (TA9) did not reach the capability level required for the company to be classified as Managed Level, this dimension remains at the Initial Level.

It is important to note the following: for the Initial Level, the process capability level must be at least L1; for the Managed Level, the process capability level must be at least L2; and for the Defined, and Digital Oriented Levels, the process capability must be at least L3.

Similarly, Figure 9 refers to the Customer Focus dimension. It is observed that the company achieved the required process capability levels for both the Initial and Managed Levels. Therefore, this dimension is classified as Managed Level. To reach the Defined Level, the capability levels of processes CM0, CM2, CD1, and CM3 need to increase to L3.

In the Organizational Culture dimension, the company is at the Initial Level (Figure 10). In the Organizational Governance dimension, the company is at the Managed Level, having achieved the required process capability levels for both the Initial and Managed Levels (Figure 11). The People dimension is also at the Initial Level, with only one process (PT0) needing to reach a higher capability level (Figure 12). Similarly, the Sustainability dimension is also at the Initial Level (Figure 13).

Therefore, the organizational maturity level of “Company X” is Initial Level, indicating that the digital transformation initiative has begun. The dimensions of Digital Technologies, Organizational Culture, People, and Sustainability are at the Initial Level, while Customer Focus and Organizational Governance are at the Managed Level.

This shows that the company is on the path to digital transformation, with only a few steps remaining to reach the next maturity level.

Based on the current state analysis, an action plan was developed to help the company achieve a higher maturity level and meet its objectives.

The action plan focuses on seven key areas: creating digital twins (TA9), developing digital culture (OC), encouraging open innovation (OC2), equipping employees with digital skills (PT0), ensuring digitalization is well-accepted by workers (OD0), implementing green IT practices (SR0), and monitoring carbon footprint (SR1). To address these areas, the plan includes implementing digital models to optimize processes, conducting workshops to foster the adoption of digital culture, forming innovation partnerships, launching continuous training programs, and developing a change management strategy with clear communication and support. Additionally, to automate administrative processes and reduce time spent, basic technologies, information management systems, and IT integration will be utilized. To attract new customers, the focus will be on social media and digital marketing. Customer satisfaction will be enhanced through digital interaction platforms. Internal processes will be facilitated using technologies such as IoT and AI to reduce errors and increase accuracy.

Following this step, Phase 3 of the roadmap will involve the implementation of the action plan and confirming and sustaining the improvements, which is a long-term process. The results of the process evaluations will guide continuous improvement decisions.

Discussion of the Proposed Roadmap

Following the implementation of the roadmap, it was observed that the proposed SDT-SMEs Roadmap was well received by the company where it was applied. The roadmap proved effective in identifying the current state of the company and providing a clear path forward for digitalization. The integration of strategic, tactical, and operational levels offers a robust and reliable foundation, ensuring a comprehensive approach to sustainable digital transformation.

A comparison between the SDT-SMEs Roadmap and the roadmaps found in the literature reveals several significant differences.

Table 10. Levels of DT dimensions and organizational planning.

	Focus on SMEs	Dimensions Approached						Levels of Organizational Planning Addressed
Paper		Digital Technologies	Customer Focus	Organizational Culture	Organizational Governance	People	Sustainability	Strategic	Tactic	Operational
SDT-SMEs Roadmap	√	√	√	√	√	√	√	√	√	√
[29]	√	√		√		√		√
[32]	√	√	√	√	√	√		√
[31]	√	√	√					√
[35]	√	√		√		√				√
[34]	√	√	√		√		√	√	√
[33]	√	√		√	√	√		√	√
[30]	√	√	√		√	√		√
[36]		√	√		√		√	√
[37]		√	√				√	√	√
[38]		√	√	√		√	√	√	√	√
[39]		√		√		√	√	√	√
[40]		√	√		√	√	√	√	√	√

presents which dimensions are covered in the roadmaps, the levels of organizational planning each roadmap addresses, and whether the focus of the roadmap is on SMEs.

It is observed that only the roadmap proposed in this study achieves a high level across all six dimensions defined as the foundation of a sustainable digital transformation for SMEs, focuses on SMEs, and addresses all three levels of organizational planning. These factors underscore the distinctive approach of the DT-SMEs Roadmap.

The literature review of roadmaps reveals a varied emphasis across the six evaluated dimensions. Generally, these roadmaps excel in the “Digital Technologies” dimension, achieving a high level of presence. The “People” dimension is also notably present, with some roadmaps recognizing the importance of skill development and employee engagement, although others address it more limitedly. Similarly, the “Customer Focus” dimension also appears in most roadmaps, highlighting the importance of customer relationships for the organization. However, the dimensions of “Organizational Governance”, “Organizational Culture”, and “Sustainability” received considerably less attention in this portfolio.

Regarding organizational planning levels, the reviewed roadmaps generally emphasize the Strategic Level but fall short of comprehensively covering the tactical and operational levels. For instance, one roadmap [31] focuses on enhancing SMEs’ collaboration capabilities through Industry 4.0 technologies, aiming for long-term growth and organizational resilience, which are characteristic of strategic planning. Although it addresses operational aspects such as implementing a data science platform, its primary focus is not on daily operations, omitting essential tactical details. Another roadmap [30] emphasizes assessing SMEs’ technological and financial maturity and integrating Industry 4.0 initiatives with long-term objectives but with limited operational guidance. In summary, most analyzed roadmaps focus on strategic planning, with tactical and operational guidance varying significantly, in contrast to the SDT-SMEs Roadmap, which balances all three levels—strategic, tactical, and operational—providing a more comprehensive view of digital transformation for SMEs.

Moreover, among the analyzed roadmaps, only one [33] includes a maturity model, but in a substantially different manner from the model proposed in this study, as it integrates a maturity model into a framework for implementing a cyber-physical system (CPS) architecture in SMEs.

Additionally, the analysis shows that roadmaps addressing the sustainability dimension do not focus on SMEs, and vice versa, except a roadmap [34] that aims to enhance the role of Digital Innovation Hubs (DIHs) in promoting environmental sustainability among small and medium-sized enterprises (SMEs). This is a different focus compared to the roadmap proposed in this study.

Therefore, the SDT-SMEs Roadmap stands out in the literature by offering a well-grounded and comprehensible approach for companies, filling gaps identified in other models, and providing a valuable resource for the sustainable digital transformation of SMEs. The detailed approach and integration of all planning levels underscore the relevance and effectiveness of the proposed roadmap, presenting a robust and adaptable solution to address the challenges of digitalization in SMEs.

6. Conclusions

This study aimed to propose a sustainable digital transformation roadmap for SMEs that assesses digital maturity and allows for the gradual implementation aligned with strategic objectives. To achieve this goal, a systematic literature review was conducted using the Methodi Ordinatio methodology.

The literature review enabled the identification of existing digital transformation roadmaps for SMEs and the definition of the six key dimensions that constitute sustainable digital transformation. Based on this, the SDT-SMEs Roadmap was developed, using the ISO/IEC 33000 standards family as its foundation. The structure of the roadmap was elaborated based on ISO/IEC TR 33014, which provides a structured approach that incorporates three levels of improvement: strategic, tactical, and operational.

At the tactical level of the roadmap, a maturity model was developed to assess the current stage of the organization in its sustainable digital transformation process, measured by the capability levels of its processes. These processes were defined according to the six dimensions identified in the literature: Digital Technologies, Customer Focus, Organizational Culture, Organizational Governance, People, and Sustainability. This maturity model allows for the evaluation of not only the overall digital maturity of the organization but also the specific maturity of each dimension. This dimensional evaluation helps SMEs identify both their strengths and areas that need improvement, enabling them to focus their enhancement efforts more effectively.

To validate the SDT-SMEs Roadmap, a case study was conducted to verify its practical applicability and effectiveness in addressing real-world challenges faced by SMEs. The case study confirmed the practical applicability of the SDT-SMEs Roadmap, demonstrating that it is effective in helping organizations assess their current digital maturity level, identify specific areas needing improvement, and implement digital transformation initiatives gradually and in strategic alignment. The capability levels provided a clear structure for evaluating maturity across the six key dimensions, which in turn facilitated a more focused approach to enhancing digital capabilities.

However, it is important to acknowledge some limitations of this study. While the roadmap proved effective in the analyzed context, implementation in other industries, regions, or types of organizations may present unique challenges that were not addressed in this study. Additionally, the developed maturity model may require adjustments to reflect the specificities of different economic sectors, such as commerce, services, and industry, which would be a valuable area for future research. Another area that deserves attention is the incorporation of emerging technologies, which could increase the roadmap’s relevance in a rapidly evolving digital landscape.

Moreover, when considering the broader impact of the SDT-SMEs Roadmap, it has the potential to influence not only the SME environment but also the general digital transformation landscape, offering a practical and strategic tool for organizations across various sectors. This roadmap, by aligning digital initiatives with strategic objectives and adapting to each organization’s unique context, positions itself as a critical asset in the ongoing pursuit of digital excellence.

In conclusion, the SDT-SMEs Roadmap addresses a significant gap in the literature and offers a practical, strategic, and flexible approach to digital transformation for SMEs. Its adaptability and alignment with organizational objectives, along with consideration of the specific needs of SMEs, make it an essential tool for addressing the challenges of digital transformation in the modern business environment.