中小企业技术转让要面对的问题

（注：本文是译文，Original author: Dr. K. Ramanathan )

based on the work of Jagoda (2007) and Ramanathan (2007), problems faced by SMEs in planning and managing technology transfer may be classified into three categories namely, technology transfer process issues, corporate capability issues, and operating environment and NIS issues. The problems are summarized below.

基于JAGODA（2007）和Ramanathan（2007）的工作，中小企业在规划和管理技术转移方面所面临的问题可分为三类，即技术转移过程问题、企业能力问题、经营环境和NIS问题。问题总结如下。

(a) Technology Transfer Process Issues

（a）技术转让过程问题

Technology Transfer Process Issues

技术转让过程问题

Problems during the technology justification and selection stage

技术论证与选择阶段的几个问题

• Wrong selection of technology based on misjudgements when preparing a business case for a TT project

• The cost of buying, installing, operating, and maintaining the technology is too high

• The technology selected is too complex for easy understanding and assimilation of the transferee

• The technology needs considerable adaptation to suit local conditions

• Obsolescence of technology while the transfer is in progress

• 在准备TT项目的商业案例时，基于错误判断的错误选择技术

• 购买、安装、操作和维护技术的成本太高。

• 选择的技术过于复杂，难以理解和吸收受让人。

• 该技术需要相当的适应以适应当地条件。

• 在转让过程中技术过时

Problems during the planning stage

规划阶段存在的问题

• Transferor (seller) underestimates the problems in transferring the technology to a developing country setting

• Transferor does not fully understand transferee needs

• Transferee managers are not involved in the planning which is carried out only by the transferor

• Too much attention is paid to the hardware to be purchased and not enough attention is paid to skills and information acquisition

• Overestimation of the technological capabilities of the transferee by the transferor thereby leading to unrealistic expectations on how well the transferee can meet target dates

• Poor market demand forecasting by the transferee of the outputs to be produced by using the transferred technology

• The objectives of the transferor and transferee are not compatible

• • Mechanisms chosen for implementing the transfer are not appropriate

• 转让方（卖方）低估了将技术转让给发展中国家的问题。

• 转让人不完全理解受让人的需要

• 受让管理人不参与仅由转让方实施的计划。

• 对购买的硬件过于重视，对技能和信息的获取不够重视。

• 转让人对受让人技术能力的过高估计，从而导致受让人能够达到目标日期的不现实预期

• 使用转让技术产生的产出的受让方对市场需求的预测

• 转让人和受让人的目标不一致

• 选择实施转让的机制是不合适的

Problems during negotiations

谈判中的问题

• Differences in negotiation approaches and strategies

• Lack of trust between the transferor and transferee

• Goal incompatibility during negotiations

• Inability to reach agreements on pricing, product, and marketing strategies

• Both parties try to achieve results in an unrealistically short period of time

• 谈判方法和策略的差异

• 转让人与受让人之间缺乏信任

• 谈判中的目标不相容

• 无法达成价格、产品和营销策略的协议

• 双方试图在不现实的短时间内取得成果。

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• Problems during technology transfer implementation

• 技术转让实施中的问题

   

• Shortage of experienced technology transfer managers

• Lack of trust in transferor developed systems by the transferee

• Inability to achieve quality targets

• Delay in obtaining supplementary materials, needed for quick implementation, from the local environment

• High cost and poor quality of locally available materials needed to implement the technology transferred

• Inadequate tracking of the technology during implementation

• Cost overrun due to poor implementation

• 缺乏经验丰富的技术转让经理

• 缺乏对受让人开发的系统的信任

• 无法实现质量目标

• 从当地环境中延迟获得补充材料，需要快速实施

• 高成本和低质量的本地可用材料来实现技术转移

• 在实施过程中对技术的跟踪不足

• 由于执行不力导致成本超支

(b) Corporate Capability Issues

（b）公司能力问题

Problems due to inadequate skills

技能不足的问题

•  Inability of the transferee to attract the required skills due to financial and industrial restrictions

• Lack of experience of the transferee’s workforce and absence of required skills at the industry level

• Lack of training of transferee personnel

• Absence of incentive systems at the transferee firm for learning and assimilating new technologies

• Language barriers that inhibit effective communication between transferor and transferee personnel and restrict effective transmission and assimilation of relevant information

• 由于金融和工业限制，受让人不能吸引所需技能

• 缺乏受让人的工作经验和行业水平缺乏必要的技能

• 缺乏受训人员的培训

• 在学习和吸收新技术的受让企业缺乏激励机制

• 语言障碍妨碍转让人和受让人之间的有效沟通，限制相关信息的有效传播和吸收

Problems due to ineffective management

管理不善带来的问题

• Lack of visible and committed top management support for the project

• Lack of top management guidance to decide the type of the technology to be acquired, remuneration, incentives associated with the transfer, and the control of the flow of information.

• Differences in working methods and practices between the transferor and transferee managers

• Individual or organisational competition for the ownership of the technologies and the presence of the “not-invented-here” syndrome

• Failure of top management to identify transferee and transferor personnel who would work closely form project initiation through to full implementation

• 缺乏对项目的可见和承诺的高层管理支持

• 缺乏高层管理者的指导来决定所要获取的技术的类型、薪酬、与转移相关的激励以及信息流的控制。

• 转让人和受让人经理之间的工作方法和做法的差异

• 个人或组织竞争的技术所有权和“不发明这里”综合症的存在

• 最高管理层未能确认受让人和转让方人员，他们将密切参与项目启动直至全面实施

(c) Operating Environment and National Innovation System (NIS) Issues

（c）经营环境和国家创新体系（NIS）问题

• Shrinking of local markets due to adverse changes in the economic levels of the country

• Poor physical infrastructure

• Inadequate supportive institutional infrastructure to provide support in terms of finance, information, skill development, and technology brokering

• Inadequate mechanisms for intellectual property protection

• Lack of local suppliers who can deliver quality supplies and lack of policies to develop such suppliers

• High dependency on foreign suppliers and imports

• Lack of good education and training institutions to upgrade skills

• Ineffective legislation and incentives such as tax holidays, tariff adjustments, and industry parks to promote technology transfer

• Bureaucratic delays at various levels of government in obtaining approvals and clearances for finalizing technology transfer agreements

• Ineffective and sometimes excessive government intervention and regulation

• Foreign exchange restrictions

• Inability of new ventures to compete with former monopolies, often owned by government

• Uncertain tax environments

• 由于国家经济水平的不利变化缩小了当地市场

• 糟糕的物理基础设施

• 缺乏支持性的机构基础设施，以在金融、信息、技能发展和技术经纪方面提供支持

• 知识产权保护机制不足

• 缺乏本地供应商，他们可以提供优质的供应品和缺乏开发这些供应商的政策

• 高度依赖外国供应商和进口

• 缺乏良好的教育培训机构提升技能

• 无效的立法和激励措施，如节假日、关税调整和工业园区，以促进技术转让

• 各级政府在获得批准和清除技术转让协议方面的官僚延迟

• 无效和有时过度的政府干预和管制

• 外汇限制

• 新企业不能与以前的垄断企业竞争，通常由政府所有

• 不确定的税收环境

These problems continue to affect SMEs and even large firms in many developing nations. While a SME may not be able to handle problems related to the operating environment and the NIS, it should nevertheless guard against these while working with the relevant Business Associations and Chambers of Commerce to lobby governments to rectify these.

这些问题继续影响着许多发展中国家的中小企业甚至大型企业。虽然中小企业可能无法处理与经营环境和NIS有关的问题，但应在与相关行业协会和商会合作的同时，防范这些问题，游说政府纠正这些问题。