COMMUNICATION FROM THE COMMISSION TO THE COUNCIL AND THE EUROPEAN PARLIAMENT on the presentation of a proposal for a directive and two proposals for recommendations on the admission of third-country nationals to carry out scientific research in the European Community

1. General outline

1.1 Developing research to become the most competitive and dynamic knowledge economy in the world

Since its launch by the Commission in January 2000 the European Research Area has been the lynchpin of the European Union's research policy. [1] It received the backing of the Lisbon European Council in March 2000 and is the keystone of the new strategic objective the European Union has set itself for the coming decade: to become the most competitive and dynamic knowledge economy in the world. To achieve this objective it will be necessary to develop a global strategy to prepare the transition to a knowledge-based society and economy. One of the preferred instruments for achieving this goal is support for the mobility of researchers, as was underlined in a Council Resolution of 10 December 2001. In its Lisbon conclusions the European Council asked the Council and the Commission, together with the Member States where appropriate, to take the necessary "steps to remove obstacles to the mobility of researchers in Europe by 2002 and to attract and retain high-quality research talent in Europe." [2] This desire was reiterated in the Council conclusions of 26 November 2002, which called on "the Member States, in collaboration with the Commission, to strengthen the actions being undertaken to develop the European research area, in particular by: facilitating or continuing to facilitate entry and residence for researchers from third countries." This concern was also shared by the European Parliament, notably in its report of 9 May 2000 [3] and a resolution of 18 May 2000. [4]

[1] COM(2000)6, 18.1.2000.

[2] Point 13 of the conclusions.

[3] Report of 9 May 2000 on the Commission communication Towards a European Research Area (AF-0131).

[4] European Parliament Resolution of 18 May 2002 on the Commission communication Towards a European Research Area (A5-0131/2000), p.40.

1.2 Encouraging the mobility of researchers in a globalising world

The mobility of researchers is a key element in the acquisition and transfer of knowledge. The globalisation of the economy, which is more and more knowledge-based, is constantly increasing the international dimension of science. This concern was highlighted in the Commission Communication on the international dimension of the European Research Area [5] and is also at the heart of the Sixth Framework Programme of the European Community for research, technological development and demonstration activities, [6] particularly within the context of the specific programme for Structuring the European Research Area, [7] which sets out to boost mobility by encouraging European researchers to move to other parts of the world and the admission and transfer of researchers from third countries to the European Union. This new dimension to research has been characterised by a major opening-up of possibilities for third-country nationals to take part in the Sixth Framework Programme. The opening of the doors to researchers from outside the European Union has been seen as a key measure to make the Union more attractive for researchers throughout the world in future.

[5] COM(2001) 346 final, 25.6.2001.

[6] OJ L 232, 29.8.2002, p.1.

[7] OJ L 294, 29.10.2002, p.44.

1.3 700 000 researchers are needed by 2010

The Human Resources and Mobility activity that is part of the Commission's Sixth Framework Programme earmarks no less than EUR1.6 billion for support for the training, mobility and career development of researchers. [8] This is a response to the discovery that the European Union will need 700 000 additional researchers by 2010 if it is to achieve the objective set by the Barcelona European Council to devote 3% of the Member States' GDP to research and technological development by the end of the decade. [9] To satisfy this need it will be necessary to produce interlocking measures to make science attractive to young people at school, improve the career prospects for researchers in the European Union and extend the opportunities for training and mobility. As, however, the European Union is unlikely to produce this considerable number of researchers itself, it will also be necessary to take measures to attract researchers from outside the Union.

[8] OJ L 294, 29.10.2002, p.50.

[9] Commission communication Investing in research : an action plan for Europe, 30.4.2003 (COM(2003)226).

1.4 A three-fold approach

This Commission initiative is made up of a proposal for a directive and two proposals for Council recommendations. The first recommendation calls on the Member States to adopt a number of practical measures without delay, since it inevitably takes several years before a directive is in full operation and the adoption of the directive would not on its own be sufficient to meet the European Council's objectives within the time available. This recommendation will therefore make it possible to take action on a number of points in advance of transposal of the directive by calling on the Member States to implement measures which are in keeping with the directive and will make it easier to apply at a later date. This recommendation is in any case justified independently of the directive since, as well as family reunification and operational cooperation, it covers areas which are not dealt with in the proposal for a directive. A second recommendation deals with the more specific question of short-term visas to meet the particular needs of researchers who have to attend conferences or seminars in connection with their work.

1.5 Developing partnerships with third countries

The European Union supports the idea of admitting a large number of researchers from outside the Union. This would make it possible to greatly extend its scientific cooperation and partnership networks all over the world. This desire to encourage the admission and mobility of researchers will, however, have to take account of the need for flanking measures to prevent a new brain drain from less developed countries. In addition to the measures on short-term visa policy introduced in the recommendation in order to promote the international mobility of researchers, and the request to the Member States to ensure that their measures to encourage third-country researchers to visit and work in the EU do not undermine the fight against the brain drain from the emerging or developing countries, other measures must be studied against the background of the partnership with countries of origin mentioned in the conclusions to the Tampere Summit as necessary components of a comprehensive migration policy. In its Sixth Research Framework Programme the Community has already decided to provide reintegration grants for researchers coming from developing or transition countries, [10] and it will look into the possibility of adopting other measures to encourage the development of expatriate communities of scientific researchers working on their countries' development in the fields of science, technology and higher education. Reflection on this subject has moved on at European level with the publication on 3 December 2002 of the Commission communication on integrating migration issues in the European Union's relations with third countries, [11] which provided the basis for the Council to adopt its conclusions on the question of migration and development on 19 May 2003, asking the Commission to present a report and concrete proposals for the end of 2004.

[10] Marie Curie human resources and mobility actions.

[11] COM(2002)703.

2. Background and compatibility of the proposal with other Commission initiatives

2.1. Proposals in line with the European Research Policy

The question of further opening up research programmes to third-country nationals was examined when the European Research Area was launched. In 2000, in response to the mandate from the Lisbon European Council, the Commission set up a high-level expert group to identify obstacles to the mobility of researchers and to draw up proposals for removing such obstacles. On 20 June 2001 the Commission responded to the group's report of 4 April 2001 [12] by adopting a Communication proposing a mobility strategy for the European Research Area [13] in which it makes a number of practical suggestions, some of which relate to legal or statutory aspects and in particular the concept of creating a specific residence permit for third-country researchers. The Commission has developed close ties with Ministries of Justice or Home Affairs in the Member States in implementing this Communication. Following a questionnaire sent to the Member States and the candidate countries which revealed that, although nine of the fifteen Member States had adopted measures to facilitate the admission of third-country researchers, only two of them had introduced a specific admission procedure, additional fact-finding missions were carried out by the Commission in several Member States in the course of 2003. These measures enabled the Commission to propose a number of policy options which led to the current proposals for a directive and recommendations following discussions with experts in the Member States.

[12] http://europa.eu.int/comm/research/fp5/ pdf/finalreportmobilityhleg.pdf

[13] COM(2001)331.

2.2. Proposals to complement Community immigration policy instruments

In its Communication of 22 November 2000 on a Community immigration policy [14] the Commission clearly opts for the controlled reopening of legal immigration channels according to various parameters and depending on the categories of migrants concerned. These parameters include Member States' requirements. This approach is particularly appropriate in the case of researchers, who make up a special category of well-qualified migrants of the type which the EU most needs and will derive the most benefit from welcoming. Researchers are often required to move around frequently for professional reasons and to settle for varying periods of time in several different countries over the course of their career. They will derive general benefit from advances in Community migration policy, including the uniform short-stay visa - which allows them to move around freely within the Schengen area for a maximum of three months - and the right of residence in the other Member States granted under certain conditions by the directive on the status of long-term residents to third country nationals after they have been legally resident in the EU for five years. [15]

[14] COM(2000)757.

[15] Cf. Chapter III - Residence in the other Member States - of the Directive 2003/109 of 25 November 2003 concerning the status of third-country nationals who are long-term residents (OJ L 16, 23.01.2004, p. 44).

To meet the challenges facing the EU in the field of research, specific Community rules on the admission and mobility of third-country researchers are needed. The proposal for a Directive on the conditions of entry and residence of third-country nationals for the purpose of paid employment and self-employed economic activities also made specific provision for the adoption of Community measures especially for researchers. [16] Whether or not third-country researchers admitted to the EU can bring members of their family to join them is an essential aspect of the problem of mobility. As family reunification of third-country nationals has just been dealt with in a directive adopted by the Council on 22 September 2003, [17] this issue is not addressed in the proposal for a directive but in the first proposal for a recommendation. This initiative supplements the proposal for a Directive on the conditions of entry and residence of third country nationals for the purposes of studies, vocational training or voluntary service, [18] which covers students enrolling in a higher education establishment in the European Union to study for a doctorate. "Doctoral students", who are a special category of researcher, are therefore excluded from the scope of this proposal unless they are employed as researchers in their host organisation in another capacity (for example, if they have an employment contract to write their thesis). All third-country researchers who can be admitted to the European Union are therefore covered by legislative initiatives as promised by the Commission in response to the amendments proposed by Parliament in relation to unpaid researchers [19] in its legislative resolution of 3 June 2003 on the proposal for a Council directive on the conditions of entry and residence of third-country nationals for the purposes of studies, vocational training or voluntary service. [20]

[16] COM(2001)386 (OJ C 332, 27.11.2001, p. 248).

[17] Directive 2003/86 of 22 September 2003 on the right to family reunification (OJ L 251, 3.10.2003, p.12).

[18] COM(2002)548 (OJ C 45, 25 February 2003, p.18).

[19] An unpaid researcher will be covered by this Directive provided that he has sufficient resources to cover his living expenses and return journey in accordance with Article 5(2)(b). The same will apply to students enrolled to study for a doctorate at a higher education establishment in their country of origin who might come to the EU to do part of their research for their doctorate.

[20] EP 332.951, p.46.