Amended in Assembly April 23, 2013

Amended in Assembly April 1, 2013

California Legislature—2013–14 Regular Session

Assembly BillNo. 609

Introduced by Assembly Member Nestande

(Coauthors: Assembly Members Beth Gaines, Maienschein, and Olsen)

February 20, 2013

An act to add Chapter 2.5 (commencing with Section 13989) to Part 4.5 of Division 3 of Title 2 of the Government Code, relating to state government.


AB 609, as amended, Nestande. State-funded research.

Existing law authorizes the Department of General Services to carry out various powers and duties relating to assisting a state agency in the management and development of intellectual property developed by state employees or with state funding, including, among other duties, developing a database of state-owned intellectual property using specified data.

Existing law authorizes state agencies and departments to, upon request, share records and information related to intellectual property generated by state employees or with state funding with the department. Existing law also imposes certain restrictions on employees and former employees of the department with respect to divulging certain information provided by state agencies and departments regarding intellectual property.

This bill would enact the California Taxpayer Access to Publicly Funded Research Act. The bill, notwithstanding any other law, would require a state agency that provides grant funding resulting directly in research for the purpose of specific research undertakings to develop a public access policy. The bill would require the public access policy to, among other things, include a requirement that electronic versions of final manuscripts or a specified link to an electronic version of original research papers accepted for publication be submitted to the state agency and the California State Library, and to provide free online public access to those final peer-reviewed manuscripts or published versions, as specified.

This bill would, until January 1, 2018, require, not later than December 1, that each state agency submit an annual report on the state agency’s public access policy to the Governor, the Senate Committee on Rules, and the Speaker of the Assembly.

Vote: majority. Appropriation: no. Fiscal committee: yes. State-mandated local program: no.

The people of the State of California do enact as follows:

P2    1


Chapter 2.5 (commencing with Section 13989)
2is added to Part 4.5 of Division 3 of Title 2 of the Government
, to read:


5Chapter  2.5. State-Funded Research




This act shall be known and may be cited as the
8California Taxpayer Access to Publicly Funded Research Act.



For purposes of this chapter, the following definitions
10shall apply:

11(a) “State agency” shall mean an entity within the executive
12branch, including, but not limited to, all departments, boards,
13bureaus, commissions, councils, and offices.begin insert Neither the University
14of California, nor the California State University, is included in
15the definition of state agency.end insert

16(b) “Direct research” shall mean research resulting directly from
17grants from state agency funding for the purpose of specific
18research undertakings.

19(c) “Policy” shall mean the public access policy established
20pursuant to Section 13989.4.

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(a) Notwithstanding any other law, each state agency
2that provides funding in the form of a research grant to a grantee
3for direct research shall develop a public access policy that shall
4do the following:

5(1) Include a requirement that electronic versions of the author’s
6final manuscripts, or a link to an electronic version of the author’s
7final manuscript in an open access digital repository of original
8research papers that have been accepted for publication in
9peer-reviewed journals and result from research supported from
10state agency funding, be submitted to the funding state agency and
11the California State Library.

12(2) Provide free online public access to such final peer-reviewed
13manuscripts or published versions as soon as practicable, but not
14later thanbegin delete sixend deletebegin insert 12end insert months after publication in peer-reviewed journals.

15(3) To the extent in compliance with copyright or patent
16protection, produce an online bibliography of all research papers
17that are publicly accessible under the policy, with each entry linked
18to the corresponding free online full text. The California State
19Library shall produce and maintain the online bibliography under
20this paragraph.

21(4) Provide for the long-term preservation of, and free access
22to, published research findings in a stable digital repository
23maintained by the California State Library or in any repository
24determined by the California State Library to meet these conditions.

25(5) Be developed in conjunction with any other state agencies
26that provide funding for direct research or that underwrite the cost
27of facilities, equipment, hardware, information resources,
28personnel, or otherwise fiscally support direct research.

29(6) Authorize the use of grant money for publication costs,
30which include fees charged by a publisher, including, but not
31limited to, color and page charges, or fees for digital distribution.

32(b) The policy described in subdivision (a) shall exclude all of
33the following:

34(1) Research progress reports presented at professional meetings
35or conferences.

36(2) Laboratory notes, preliminary data analyses, notes of the
37author, phone logs, or other information used to produce the final

P4    1(3) Classified research, research resulting in works that generate
2revenue or royalties for the authors, or patentable discoveries, to
3the extent necessary to comply with copyright or patent protections.

4(4) Authors who do not submit their work to a peer-reviewed
5journal or works that are rejected for publication in such journals.

6(5) State-funded research grants entered into pursuant to a
7contract prior to the effective date of this chapter where the terms
8and conditions of that contract prohibit the public dissemination
9of the research or are otherwise in conflict with the provisions of
10this chapter.

11(6) Any data, including supplemental data, that has the potential
12to reveal a person’s identity.



(a) Not later than December 1, annually, each state
14agency shall submit a report on the state agency’s policy to the
15Governor, the Senate Committee on Rules, and the Speaker of the

17(b) The report shall include, but not be limited to, all of the

19(1) A statement of the effectiveness of the policy in providing
20the public with free online access to papers on research funded by
21the state agency.

22(2) A list of papers published in peer-reviewed journals that
23report on research funded by the state agency.

24(3) A corresponding list of papers made available by the state
25agency as a result of this act.

26(c) (1) A report to the Legislature pursuant to this section shall
27be submitted in compliance with Section 9795.

28(2) This section shall become inoperative on January 1, 2018,
29pursuant to Section 10231.5.