Amended in Assembly May 9, 2013

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,begin delete andend deleteOlsenbegin insert, and Skinnerend insert)

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.

LEGISLATIVE COUNSEL’S DIGEST

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 billbegin delete, 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.end deletebegin insert would establish minimum publication requirements for a person receiving funding, in whole or in part, in the form of a research grant from a state agency. The bill would require the grant recipient to provide for public access to any publication of a state agency-funded invention or state agency-funded technology, as specified, including ensuring that an electronic version of the final peer-reviewed manuscript is submitted to the funding agency or to an appropriate publicly accessible database approved by the agency, and is made publicly available no later than 12 months after the official date of publication.end insert

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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.

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The bill would make legislative findings in support of granting public access to state-funded research and inventions. The bill would also express the intent of the Legislature to encourage all grantees to abide by the publication requirements outlined in the California Code of Regulations for stem cell research California Institute for Regeneration Medicine grants, as specified. The bill would exempt a grantee that receives funding from an agency that has an existing publication requirement that meets or exceeds the requirements of this bill.

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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

SECTION 1.  

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

 

P3    1Chapter  2.5. State-Funded Research
2

 

3

13989.  

This act shall be known and may be cited as the
4California Taxpayer Access to Publicly Funded Research Act.

5

13989.2.  

For purposes of this chapter, begin deletethe following definitions
6shall apply:end delete

7begin delete(a)end deletebegin deleteend deletebegin delete“State end deletebegin insert“state end insertagency” shall mean an entity within the
8executive branch, including, but not limited to, all departments,
9boards, bureaus, commissions, councils, and offices. Neither the
10University of California, nor the California State University, is
11included in the definition of state agency.

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12(b) “Direct research” shall mean research resulting directly from
13grants from state agency funding for the purpose of specific
14research undertakings.

end delete
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15(c) “Policy” shall mean the public access policy established
16pursuant to Section 13989.4.

end delete
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17

13989.4.  

(a) Notwithstanding any other law, each state agency
18that provides funding in the form of a research grant to a grantee
19for direct research shall develop a public access policy that shall
20do the following:

21(1) Include a requirement that electronic versions of the author’s
22final manuscripts, or a link to an electronic version of the author’s
23final manuscript in an open access digital repository of original
24research papers that have been accepted for publication in
25peer-reviewed journals and result from research supported from
26state agency funding, be submitted to the funding state agency and
27the California State Library.

28(2) Provide free online public access to such final peer-reviewed
29manuscripts or published versions as soon as practicable, but not
30later than 12 months after publication in peer-reviewed journals.

31(3) To the extent in compliance with copyright or patent
32protection, produce an online bibliography of all research papers
33that are publicly accessible under the policy, with each entry linked
34to the corresponding free online full text. The California State
35Library shall produce and maintain the online bibliography under
36this paragraph.

37(4) Provide for the long-term preservation of, and free access
38to, published research findings in a stable digital repository
39maintained by the California State Library or in any repository
40determined by the California State Library to meet these conditions.

P4    1(5) Be developed in conjunction with any other state agencies
2that provide funding for direct research or that underwrite the cost
3of facilities, equipment, hardware, information resources,
4personnel, or otherwise fiscally support direct research.

5(6) Authorize the use of grant money for publication costs,
6which include fees charged by a publisher, including, but not
7limited to, color and page charges, or fees for digital distribution.

8(b) The policy described in subdivision (a) shall exclude all of
9the following:

10(1) Research progress reports presented at professional meetings
11or conferences.

12(2) Laboratory notes, preliminary data analyses, notes of the
13author, phone logs, or other information used to produce the final
14manuscript.

15(3) Classified research, research resulting in works that generate
16revenue or royalties for the authors, or patentable discoveries, to
17the extent necessary to comply with copyright or patent protections.

18(4) Authors who do not submit their work to a peer-reviewed
19journal or works that are rejected for publication in such journals.

20(5) State-funded research grants entered into pursuant to a
21contract prior to the effective date of this chapter where the terms
22and conditions of that contract prohibit the public dissemination
23of the research or are otherwise in conflict with the provisions of
24this chapter.

25(6) Any data, including supplemental data, that has the potential
26to reveal a person’s identity.

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27

begin insert13989.4.end insert  

The Legislature finds and declares the following:

28(a) The state is home to many of the world’s top research
29universities, national laboratories, and leading-edge
30high-technology companies that generate significant intellectual
31property.

32(b) It is in the interest of the state to ensure that the results of
33state-funded research are promptly developed and protected and
34to ensure free public Internet access to the results, where
35appropriate.

36(c) The expansion of innovation with the investment of taxpayer
37dollars in the form of publicly funded grants could generate public
38benefit, including, but not limited to, reinvestment in research,
39 development of new innovations, and jobs created from these types
40of research.

P5    1(d) It is the intent of the Legislature that any grantee who
2receives funding in the form of a research grant from a state agency
3abide by the publication requirements outlined in subdivisions (a)
4to (d), inclusive, of Section 100303 of Title 17 of the California
5Code of Regulations, as amended on March 21, 2013, and in effect
6on July 1, 2013.

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7

13989.6.  

(a) Not later than December 1, annually, each state
8agency shall submit a report on the state agency’s policy to the
9Governor, the Senate Committee on Rules, and the Speaker of the
10Assembly.

11(b) The report shall include, but not be limited to, all of the
12following:

13(1) A statement of the effectiveness of the policy in providing
14the public with free online access to papers on research funded by
15the state agency.

16(2) A list of papers published in peer-reviewed journals that
17report on research funded by the state agency.

18(3) A corresponding list of papers made available by the state
19agency as a result of this act.

20(c) (1) A report to the Legislature pursuant to this section shall
21be submitted in compliance with Section 9795.

22(2) This section shall become inoperative on January 1, 2018,
23pursuant to Section 10231.5.

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24

begin insert13989.6.end insert  

(a) Any grantee that receives funding, in whole or
25in part, in the form of a research grant from a state agency shall
26provide for free public access to any publication of a state
27agency-funded invention or state agency-funded technology, as
28provided in this section.

29(b) For any manuscript that is peer reviewed and accepted for
30publication in a scientific journal, the grantee shall ensure that
31an electronic version of the final peer-reviewed manuscript is
32submitted to the funding agency or to an appropriate publicly
33accessible database approved by the agency, including, but not
34limited to, the California Digital Library, PubMed Central, or the
35California Digital Open Source Library, to be made publicly
36available no later than 12 months after the official date of
37publication. Manuscripts submitted to the California Digital Open
38Source Library shall be exempt from the requirements in
39subdivision (b) of Section 66408 of the Education Code. The
40grantee shall make reasonable efforts to comply with this
P6    1requirement through submission of the manuscript to an approved
2publicly accessible database, including notifying the funding
3agency of submission. If the grantee is unable to submit the
4manuscript to an approved publicly accessible database, the
5grantee may comply by providing the manuscript to the funding
6agency, no later than 12 months after the official date of
7publication. In lieu of the final peer-reviewed manuscript, the
8grantee may submit the final published article.

9(c) For publications other than those described in subdivision
10(b), including meeting abstracts, the grantee shall comply by
11providing the manuscript to the funding agency no later than 12
12months after the official date of publication.

13(d) Grantees are responsible for ensuring that any publishing
14or copyright agreements concerning submitted articles fully comply
15with this section.

16(e) Grantees are authorized to use grant money for publication
17costs, including fees charged by a publisher for color and page
18charges, or fees for digital distribution.

19(f) This chapter shall not apply to a grantee that receives funding
20from a state agency or funding agency that has an existing
21publication requirement that meets or exceeds the requirements
22of this section, on or before the effective date of this chapter.

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