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rotected against state encroachment
were declared to be those ‘‘which owe their existence
to the Federal Government, its National character, its Constitution,
or its laws.’’ 16 These privileges, however, had been available to
United States citizens and protected from state interference by operation
of federal supremacy even prior to the adoption of the Fourteenth
Amendment. The Slaughter-House Cases, therefore, reduced
the privileges or immunities clause to a superfluous reiteration of
a prohibition already operative against the states.
Although the Slaughter-House Cases Court expressed a reluctance
to enumerate those privileges and immunities of United
States citizens which are protected against state encroachment, it
nevertheless felt obliged to suggest some. Among those which it
then identified were the right of access to the seat of Government
and to the seaports, subtreasuries, land officers, and courts of justice
in the several States, the right to demand protection of the
Federal Government on the high seas or abroad, the right of assembly,
the privilege of habeas corpus, the right to use the navigable
waters of the United States, and rights secured by treaty. 17
In Twining v. New Jersey, 18 the Court recognized ‘‘among the
rights and privileges’’ of national citizenship the right to pass freely
from State to State, 19 the right to petition Congress for a redress
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1676 AMENDMENT 14—RIGHTS GUARANTEED
(1969). Three Justices ascribed the source to this clause in Oregon v. Mitchell, 400
U.S. 112, 285–87 (1970) (Justices Stewart and Blackmun and Chief Justice Burger,
concurring in part and dissenting in part).
20 Citing United States v. Cruikshank, 92 U.S. 542 (1876).
21 Citing Ex parte Yarbrough, 110 U.S. 651 (1884); Wiley v. Sinkler, 179 U.S.
58 (1900). Note Justice Douglas’ reliance on this clause in Oregon v. Mitchell, 400
U.S. 112, 149 (1970) (concurring in part and dissenting in part).
22 Citing United States v. Waddell, 112 U.S. 76 (1884).
23 Citing Logan v. United States, 144 U.S. 263 (1892).
24 Citing In re Quarles and Butler, 158 U.S. 532 (1895).
25 Crutcher v. Kentucky, 141 U.S. 47, 57 (1891).
26 Colgate v. Harvey, 296 U.S. 404 (1935), which was overruled five years later,
see Madden v. Kentucky, 309 U.S. 83, 93 (1940), represented the first attempt by
the Court since adoption of the Fourteenth Amendment to convert the privileges or
immunities clause into a source of protection of other than those ‘‘interests growing
out of the relationship between the citizen and the national government.’’ In Harvey,
the Court declared that the right of a citizen to engage in lawful business in
other states, such as by entering into contracts or by loaning money, was a privilege
of national citizenship, and this privilege was abridged by a state income tax law
which excluded interest received on money from loans from taxable income only if
the loan was made within the State.
27 307 U.S. 496, 510–18 (1939) (Justices Roberts and Black; Chief Justice
Hughes may or may not have concurred on this point. Id. at 532). Justices Stone
and Reed preferred to base the decision on the due process clause. Id. at 518.
28 314 U.S. 160, 177–83 (1941).
29 See also Oregon v. Mitchell, 400 U.S. 112, 149 (1970) (Justice Douglas); id.
at 285–87 (Justices Stewart and Blackmun and Chief Justice Burger).
30 E.g., Holden v. Hardy, 169 U.S. 366, 380 (1898) (statute limiting hours of
labor in mines); Williams v. Fears, 179 U.S. 270, 274 (1900) (statute taxing the business
of hiring persons to labor outside the State); Wilmington Mining Co. v. Fulton,
205 U.S. 60, 73 (1907) (statute requiring employment of only licensed mine managers
and examiners and imposing liability on the mine owner for failure to furnish
a reasonably safe place for workmen); Heim v. McCall, 239 U.S. 175 (1915); Crane
of grievances, 20 the right to vote for national officers, 21 the right
to enter public lands, 22 the right to be protected against violence
while in the lawful custody of a United States marshal, 23 and the
right to inform the United States authorities of violation of its
laws. 24 Earlier, in a decision not mentioned in Twining, the Court
had also acknowledged that the carrying on of interstate commerce
is ‘‘a right which every citizen of the United States is entitled to
exercise.’’ 25
In modern times, the Court has continued the minor role accorded
to the clause, only occasionally manifesting a disposition to
enlarge the restraint which it imposes upon state action. 26 In
Hague v. CIO, 27 two and perhaps three justices thought that the
freedom to use municipal streets and parks for the dissemination
of information concerning provisions of a federal statute and to assemble
peacefully therein for discussion of the advantages and opportunities
offered by such act was a privilege and immunity of a
United States citizen, and in Edwards v. California 28 four Justices
were prepared to rely on the clause. 29 In many other respects, however,
claims based on this clause have been rejected. 30
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AMENDMENT 14—RIGHTS GUARANTEED 1677
v. New York, 239 U.S. 195 (1915) (statute restricting employment on state public
works to citizens of the United States, with a preference to citizens of the State);
Missouri Pacific Ry. v. Castle, 224 U.S. 541 (1912) (statute making railroads liable
to employees for injuries caused by negligence of fellow servants and abolishing the
defense of contributory negligence); Western Union Tel. Co. v. Milling Co., 218 U.S.
406 (1910) (statute prohibiting a stipulation against liability for negligence in delivery
of interstate telegraph messages); Bradwell v. Illinois, 83 U.S. (16 Wall.) 130,
139 (1873); In re Lockwood, 154 U.S. 116 (1894) (refusal of state court to license
a woman to practice law); Kirtland v. Hotchkiss, 100 U.S. 491, 499 (1879) (law taxing
a debt owed a resident citizen by a resident of another State and secured by
mortgage of land in the debtor’s State); Bartemeyer v. Iowa, 85 U.S. (18 Wall.) 129
(1874); Mugler v. Kansas, 123 U.S. 623 (1887); Crowley v. Christensen, 137 U.S. 86,
91 (1890); Giozza v. Tiernan, 148 U.S. 657 (1893) (statutes regulating the manufacture
and sale of intoxicating liquors); In re Kemmler, 136 U.S. 436 (1890) (statute
regulating the method of capital punishment); Minor v. Happersett, 88 U.S. (21
Wall.) 162 (1875) (statute regulating the franchise to male citizens); Pope v. Williams,
193 U.S. 621 (1904) (statute requiring persons coming into a State to make
a declaration of intention to become citizens and residents thereof before being permitted
to register as voters); Ferry v. Spokane, P. & S. Ry., 258 U.S. 314 (1922)
(statute restricting dower, in case wife at time of husband’s death is a nonresident,
to lands of which he died seized); Walker v. Sauvinet, 92 U.S. 90 (1876) (statute
restricting right to jury trial in civil suits at common law); Presser v. Illinois, 116
U.S. 252, 267 (1886) (statute restricting drilling or parading in any city by any body
of men without license of the Governor); Maxwell v. Dow, 176 U.S. 581, 596, 597–
98 (1900) (provision for prosecution upon information, and for a jury (except in capital
cases) of eight persons); New York ex rel. Bryant v. Zimmerman, 278 U.S. 63,
71 (1928) (statute penalizing the becoming or remaining a member of any oathbound
association (other than benevolent orders, and the like) with knowledge that the association
has failed to file its constitution and membership lists); Palko v. Connecticut,
302 U.S. 319 (1937) (statute allowing a State to appeal in criminal cases
for errors of law and to retry the accused); Breedlove v. Suttles, 302 U.S. 277 (1937)
(statute making the payment of poll taxes a prerequisite to the right to vote); Madden
v. Kentucky, 309 U.S. 83, 92–93 (1940), (overruling Colgate v. Harvey, 296 U.S.
404, 430 (1935)) (statute whereby deposits in banks outside the State are taxed at
50¢ per $100); Snowden v. Hughes, 321 U.S. 1 (1944) (the right to become a candidate
for state office is a privilege of state citizenship, not national citizenship);
MacDougall v. Green, 335 U.S. 281 (1948) (Illinois Election Code requirement that
a petition to form and nominate candidates for a new political party be signed by
at least 200 voters from each of at least 50 of the 102 counties in the State, notwithstanding
that 52% of the voters reside in only one county and 87% in the 49 most
populous counties); New York v. O’Neill, 359 U.S. 1 (1959) (Uniform Reciprocal
State Law to secure attendance of witnesses from within or without a State in
criminal proceedings); James v. Valtierra, 402 U.S. 137 (1971) (a provision in a state
constitution to the effect that low-rent housing projects could not be developed, constructed,
or acquired by any state governmental body without the affirmative vote
of a majority of those citizens participating in a community referendum).
31 332 U.S. 633, 640 (1948).
In Oyama v. California, 31 the Court, in a single sentence,
agreed with the contention of a native-born youth that a state
Alien Land Law, which resulted in the forfeiture of property purchased
in his name with funds advanced by his parent, a Japanese
alien ineligible for citizenship and precluded from owning land, deprived
him ‘‘of his privileges as an American citizen.’’ The right to
acquire and retain property had previously not been set forth in
any of the enumerations as one of the privileges protected against
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1678 AMENDMENT 14—RIGHTS GUARANTEED
32 Civil Rights Act of 1866, ch. 31, 14 Stat. 27, now 42 U.S.C. § 1982, as amended.
33 See The Right to Travel, infra.
34 Saenz v. Roe, 526 U.S. 489 (1999).
35 526 U.S. at 525 (Thomas, J., dissenting).
36 The right of United States citizens to choose their state of residence is specifically
protected by the first sentence of the 14th Amendment ‘‘All persons born or
naturalized in the United States, and subject to the jurisdiction thereof, are citizens
of the United States and of the State wherein they reside. . . .’’
state abridgment, although a federal statute enacted prior to the
proposal and ratification of the Fourteenth Amendment did confer
on all citizens the same rights to purchase and hold real property
as white citizens enjoyed. 32
In a doctrinal shift of uncertain significance, the Court will apparently
evaluate challenges to durational residency requirements,
previously considered as violations of the right to travel derived
from the Equal Protection Clause, 33 as a potential violation of the
Privileges or Immunities Clause. Thus, where a California law restricted
the level of welfare benefits available to Californians who
have been residents for less than a year to the level of benefits
available in the State of their prior residence, the Court found a
violation of the right of newly-arrived citizens to be treated the
same as other state citizens. 34 Despite suggestions that this opinion
will open the door to ‘‘guaranteed equal access to all public benefits,’’
35 it seems more likely that the Court is protecting the privilege
of being treated immediately as a full citizen of the state one
chooses for permanent residence. 36
DUE PROCESS OF LAW
Generally
Due process under the Fourteenth Amendment can be broken
down into two categories—procedural due process and substantive
due process. Procedural due process, based on principles of ‘‘fundamental
fairness,’’ addresses which legal procedures are required to
be followed in state proceedings. Relevant issues, as discussed in
detail below, include notice, opportunity for hearing, confrontation
and cross-examination, discovery, basis of decision, and availability
of counsel. Substantive due process, while also based on principles
of ‘‘fundamental fairness,’’ is used to evaluate whether a law can
fairly be applied by states at all, regardless of the procedure followed.
Substantive due process has generally dealt with specific
subject areas, such as liberty of contract or privacy, and over time
has alternately emphasized the importance of economic and noneconomic
matters. In theory, the issues of procedural and substantive
due process are closely related. In reality, substantive due
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AMENDMENT 14—RIGHTS GUARANTEED 1679
37 The Privileges or Immunities Clause, more so than the Due Process Clause,
appears at first glance to speak directly to the issue of state intrusions on substantive
rights and privileges— ‘‘No State shall make or enforce any law which shall
abridge the privileges or immunities of citizens of the United States . . . .’’. See
AKHIL REED AMAR, THE BILL OF RIGHTS 163-180 (1998). As discussed earlier, however,
the Court limited the effectiveness of that clause soon after the ratification of
the 14th Amendment. See Privileges or Immunities, supra. Instead, the Due Process
Clause, though selective incorporation, has become the basis for the Court to recognize
important substantive rights against the states.
38 See Bill of Rights, Fourteenth Amendment, supra.
39 See Graham, The ‘Conspiracy Theory’ of the Fourteenth Amendment, 47 YALE
L. J. 371 (1938).
40 Munn v. Illinois, 94 U.S. 113 (1877). In a case arising under the Fifth Amendment,
decided almost at the same time, the Court explicitly declared the United
States ‘‘equally with the States . . . are prohibited from depriving persons or corporations
of property without due process of law.’’ Sinking Fund Cases, 99 U.S. 700,
718–19 (1879).
process has had greater political import, as significant portions of
a state legislature’s substantive jurisdiction can be restricted by its
application.
While the extent of the rights protected by substantive due
process may be controversial, its theoretical basis is firmly established
and forms the basis for much of modern constitutional case
law. Passage of the Reconstruction Amendments (13th, 14th and
15th) gave the federal courts the authority to intervene when a
state threatened fundamental rights of its citizens, 37 and one of the
most important doctrines flowing from this is the application of the
Bill of Rights to the states through the due process clause. 38
Through the process of ‘‘selective incorporation,’’ most of the provisions
of the first eight Amendments such as free speech, freedom
of religion, and protection against unreasonable searches and seizures
are applied against the states as they are against the federal
government. Though application of these rights against the states
is no longer controversial, the incorporation of other substantive
rights, as is discussed in detail below, has been.
Definitions
‘‘Person’’.—The due process clause provides that no States
shall deprive any ‘‘person’’ of ‘‘life, liberty or property’’ without due
process of law. A historical controversy has been waged concerning
whether the framers of the Fourteenth Amendment intended the
word ‘‘person’’ to mean only natural persons, or whether the word
was substituted for the word ‘‘citizen’’ with a view to protecting corporations
from oppressive state legislation. 39 As early as the 1877
Granger Cases 40 the Supreme Court upheld various regulatory
state laws without raising any question as to whether a corporation
could advance due process claims. Further, there is no doubt that
a corporation may not be deprived of its property without due proc-
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1680 AMENDMENT 14—RIGHTS GUARANTEED
41 Smyth v. Ames, 169 U.S. 466, 522, 526 (1898); Kentucky Co. v. Paramount
Exch., 262 U.S. 544, 550 (1923); Liggett Co. v. Baldridge, 278 U.S. 105 (1928).
42 As to the natural persons protected by the due process clause, these include
all human beings regardless of race, color, or citizenship. Yick Wo v. Hopkins, 118
U.S. 356 (1886); Terrace v. Thompson, 263 U.S. 197, 216 (1923). See Hellenic Lines
v. Rhodetis, 398 U.S. 306, 309 (1970).
43 Northwestern Life Ins. Co. v. Riggs, 203 U.S. 243, 255 (1906); Western Turf
Ass’n v. Greenberg, 204 U.S. 359, 363 (1907); Pierce v. Society of Sisters, 268 U.S.
510, 535 (1925). Earlier, in Northern Securities Co. v. United States, 193 U.S. 197,
362 (1904), a case interpreting the federal antitrust law, Justice Brewer, in a concurring
opinion, had declared that ‘‘a corporation . . . is not endowed with the inalienable
rights of a natural person.’’
44 Grosjean v. American Press Co., 297 U.S. 233, 244 (1936) (‘‘a corporation is
a ‘person’ within the meaning of the equal protection and due process of law
clauses’’). In First Nat’l Bank of Boston v. Bellotti, 435 U.S. 765 (1978), faced with
the validity of state restraints upon expression by corporations, the Court did not
determine that corporations have First Amendment liberty rights—and other constitutional
rights—but decided instead that expression was protected, irrespective of
the speaker, because of the interests of the listeners. See id. at 778 n.14 (reserving
question). But see id. at 809, 822 (Justices White and Rehnquist dissenting) (corporations
as creatures of the state have the rights state gives them).
45 Pennie v. Reis, 132 U.S. 464 (1889); Taylor and Marshall v. Beckham (No. 1),
178 U.S. 548 (1900); Tyler v. Judges of Court of Registration, 179 U.S. 405, 410
(1900); Straus v. Foxworth, 231 U.S. 162 (1913); Columbus & G. Ry. v. Miller, 283
U.S. 96 (1931).
46 City of Pawhuska v. Pawhuska Oil Co., 250 U.S. 394 (1919); City of Trenton
v. New Jersey, 262 U.S. 182 (1923); Williams v. Mayor of Baltimore, 289 U.S. 36
(1933). But see Madison School Dist. v. WERC, 429 U.S. 167, 175 n. 7 (1976) (reserving
question whether municipal corporation as an employer has a First Amendment
right assertable against State).
47 Coleman v. Miller, 307 U.S. 433, 441, 442, 443, 445 (1939); Boynton v. Hutchinson
Gas Co., 291 U.S. 656 (1934); South Carolina Hwy. Dept. v. Barnwell Bros.,
ess of law. 41 While various decisions have held that the ‘‘liberty’’
guaranteed by the Fourteenth Amendment is the liberty of natural,
42 not artificial, persons, 43 nevertheless, in 1936, a newspaper
corporation successfully objected that a state law deprived it of liberty
of the press. 44
A separate question is the ability of a government official to invoke
the due process clause to protect the interests of his office. Ordinarily,
the mere official interest of a public officer, such as the
interest in enforcing a law, has not been deemed adequate to enable
him to challenge the constitutionality of a law under the Fourteenth
Amendment. 45 Similarly, municipal corporations have no
standing ‘‘to invoke the provisions of the Fourteenth Amendment
in opposition to the will of their creator,’’ the State. 46 However,
state officers are acknowledged to have an interest, despite their
not having sustained any ‘‘private damage,’’ in resisting an ‘‘endeavor
to prevent the enforcement of laws in relation to which they
have official duties,’’ and, accordingly, may apply to federal courts
for the ‘‘review of decisions of state courts declaring state statutes
which [they] seek to enforce to be repugnant to the’’ Fourteenth
Amendment. 47
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AMENDMENT 14—RIGHTS GUARANTEED 1681
303 U.S. 177 (1938). The converse is not true, however, and the interest of a state
official in vindicating the Constitution gives him no legal standing to attack the constitutionality
of a state statute in order to avoid compliance with it. Smith v. Indiana,
191 U.S. 138 (1903); Braxton County Court v. West Virginia, 208 U.S. 192
(1908); Marshall v. Dye, 231 U.S. 250 (1913); Stewart v. Kansas City, 239 U.S. 14
(1915). See also Coleman v. Miller, 307 U.S. 433, 437–46 (1939).
48 This power is not confined to the suppression of what is offensive, disorderly,
or unsanitary. Long ago Chief Justice Marshall described the police power as ‘‘that
immense mass of legislation, which embraces every thing within the territory of a
State, not surrendered to the general government.’’ Gibbons v. Ogden, 22 U.S. (9
Wheat.) 1, 202 (1824). See California Reduction Co. v. Sanitary Works, 199 U.S. 306,
318 (1905); Chicago B. & Q. Ry. v. Drainage Comm’rs, 200 U.S. 561, 592 (1906);
Bacon v. Walker, 204 U.S. 311 (1907); Eubank v. Richmond, 226 U.S. 137 (1912);
Schmidinger v. Chicago, 226 U.S. 578 (1913); Sligh v. Kirkwood, 237 U.S. 52, 58–
59 (1915); Nebbia v. New York, 291 U.S. 502 (1934); Nashville, C. & St. L. Ry. v.
Walters, 294 U.S. 405 (1935). See also Penn Central Transp. Co. v. City of New
York, 438 U.S. 104 (1978) (police power encompasses preservation of historic landmarks;
land-use restrictions may be enacted to enhance the quality of life by preserving
the character and aesthetic features of city); City of New Orleans v. Dukes,
427 U.S. 297 (1976); Young v. American Mini Theatres, 427 U.S. 50 (1976).
49 Hudson Water Co. v. McCarter, 209 U.S. 349 (1908); Eubank v. Richmond,
226 U.S. 137, 142 (1912); Erie R.R. v. Williams, 233 U.S. 685, 699 (1914); Sligh v.
Kirkwood, 237 U.S. 52, 58–59 (1915); Hadacheck v. Sebastian, 239 U.S. 394 (1915);
Hall v. Geiger-Jones Co., 242 U.S. 539 (1917); Panhandle Eastern Pipeline Co. v.
Highway Comm’n, 294 U.S. 613, 622 (1935). ‘‘It is settled [however] that neither the
‘contract’ clause nor the ‘due process’ clause had the effect of overriding the power
of the state to establish all regulations that are reasonably necessary to secure the
health, safety, good order, comfort, or general welfare of the community; that this
power can neither be abdicated nor bargained away, and is inalienable even by express
grant; and that all contract and property [or other vested] rights are held subject
to its fair exercise.’’ Atlantic Coast Line R.R. v. Goldsboro, 232 U.S. 548, 558
(1914).
50 Pennsylvania Coal Co. v. Mahon, 260 U.S. 393 (1922); Welch v. Swasey, 214
U.S. 91, 107 (1909). See also Penn Central Transp. Co. v. City of New York, 438
U.S. 104 (1978); Agins v. City of Tiburon, 447 U.S. 255 (1980). See also analysis of
‘‘Regulatory Takings’’ under the Fifth Amendment. Although the Fourteenth
Amendment does not contain a ‘‘takings’’ provisions such as is found in the Fifth
Amendment, the Court has held that such provision has been incorporated. Webb’s
Fabulous Pharmacies, Inc. v. Beckwith, 449 U.S. 155, 159 (1980).
51 Liggett Co. v. Baldridge , 278 U.S. 105, 111–12 (1928); Treigle v. Acme Homestead
Ass’n, 297 U.S. 189, 197 (1936).
‘‘Property’’ and Police Power.—States have an inherent ‘‘police
power’’ to promote public safety, health, morals, public convenience,
and general prosperity, 48 but the extent of the power may
vary based on the subject matter over which it is exercised. 49 If a
police power regulation goes too far, it will be recognized as a taking
of property for which compensation must be paid. 50 Thus, the
means employed to affect its exercise can be neither arbitrary nor
oppressive but must bear a real and substantial relation to an end
which is public, specifically, the public health, safety, or morals, or
some other aspect of the general welfare. 51
An ulterior public advantage, however, may justify a comparatively
insignificant taking of private property for what seems to be
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1682 AMENDMENT 14—RIGHTS GUARANTEED
52 Noble State Bank v. Haskell, 219 U.S. 104, 110 (1911) (bank may be required
to contribute to fund to guarantee the deposits of contributing banks).
53 Erie R.R. v. Williams, 233 U.S. 685, 700 (1914).
54 New Orleans Public Service v. New Orleans, 281 U.S. 682, 687 (1930).
55 Abie State Bank v. Bryan, 282 U.S. 765, 776 (1931).
56 See the tentative effort in Hampton v. Mow Sun Wong, 426 U.S. 88, 102 &
n. 23 (1976), apparently to expand upon the concept of ‘‘liberty’’ within the meaning
of the Fifth Amendment’s due process clause and necessarily therefore the Fourteenth’s.
57 See the substantial confinement of the concept in Meachum v. Fano, 427 U.S.
215 (1976); and Montanye v. Haymes, 427 U.S. 236 (1976), in which the Court applied
to its determination of what is a liberty interest the ‘‘entitlement’’ doctrine developed
in property cases, in which the interest is made to depend upon state recognition
of the interest through positive law, an approach contrary to previous due
process-liberty analysis. Cf. Morrissey v. Brewer, 408 U.S. 471, 482 (1972). For more
recent cases, see DeShaney v. Winnebago County Social Servs. Dep’t, 489 U.S. 189
(1989) (no Due Process violation for failure of state to protect an abused child from
his parent, even though abuse had been detected by social service agency); Collins
v. City of Harker Heights, 503 U.S. 115 (1992) (failure of city to warn its employees
about workplace hazards does not violate due process; the due process clause does
not impose a duty on the city to provide employees with a safe working environment);
County of Sacramento v. Lewis, 523 U.S. 833 (1998) (high-speed automobile
chase by police officer causing death through deliberate or reckless indifference to
life would not violate the Fourteenth Amendment’s guarantee of substantive due
process).
a private use. 52 Mere ‘‘cost and inconvenience (different words,
probably, for the same thing) would have to be very great before
they could become an element in the consideration of the right of
a state to exert its reserved power or its police power.’’ 53 Moreover,
it is elementary that enforcement of a law passed in the legitimate
exertion of the police power is not a taking without due process of
law, even if the cost is borne by the regulated. 54 Initial compliance
with a regulation which is valid when a
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