A plain-language glossary.

A

Age verification

Checking that a customer meets the minimum legal age before selling an age-restricted product, usually by inspecting government-issued identification. Jurisdiction-specific. The minimum age, the accepted forms of ID, and any scanning or record-keeping rules depend on the product and the jurisdiction.

Assignment

Transferring a lease, or rights under a contract, from one party to another. Many commercial leases restrict assignment without landlord consent, and a sale of the business can count as an assignment. Whether it does depends on the lease wording, which is a question for counsel.

B

Buffer zone

Jurisdiction-specific. A minimum distance required between a licensed premises and certain other places, often called sensitive uses. The distance, how it is measured, and which places count vary by state, province, and municipality.

C

Certificate of occupancy

Jurisdiction-specific. A document issued by a local building authority confirming that a building or space may be used for a stated purpose. Names, triggers, and requirements vary; a change of use or a renovation can require a new one.

Change of ownership

Jurisdiction-specific. A change in who owns or controls a licensed business. Many licensing authorities require notice or approval before or after such a change, and some treat it as a new application. What counts and what must be filed depend on the jurisdiction and license type. See the change of ownership checklist.

Compliance calendar

A single dated schedule of renewals, reports, inspections, training, and other recurring obligations, with an owner and a start-by date for each. In SPL deliverables it is the main working tool of ongoing management. See the compliance calendar template.

Conditional use permit

Jurisdiction-specific. A local land-use approval that allows a use a zoning district does not permit by right, usually with conditions attached. Names vary, for example special use permit, and the process often includes a public hearing.

Corrective action

A dated, owned step taken to fix a problem that has been found, such as an inspection finding or a gap in records. A corrective action is closed only after verification. See the corrective action log.

Critical date

A date in a lease or contract that triggers a right or obligation if it passes, such as a renewal notice deadline, an option period, a rent change, or an insurance certificate due date. In SPL deliverables, critical dates from a lease abstract go on the compliance calendar.

D

Discovery assessment

The first project in an SPL engagement: a review of licenses, obligations, records, procedures, and properties in scope, ending in written findings and a recommended plan. It is quoted as its own project. See How Engagements Work.

E

Engagement agreement

The signed contract between SPL and a client that sets out the scope, fee, responsibilities, confidentiality terms, and how the engagement ends. Work begins only once it is signed.

Estoppel certificate

A signed statement, usually from a tenant, confirming facts about a lease, such as the rent, the term, and whether either side is in default. Lenders and buyers often request one. Because the signer can be held to what it says, counsel should review it before signing.

Evidence record

The document that shows a task was done: a filed copy, receipt, signed log, training sign-off, or photo, stored with the date and who completed it. See How We Maintain the Work.

Exception

In SPL reporting, a task that is late, blocked, incomplete, or not supported by evidence. Each exception has an owner, a next step, and a date.

I

Internal policy

A rule a business sets for itself. It may go further than the law requires. SPL deliverables label internal policy separately from license conditions, legal requirements, and recommended practice.

L

Landlord consent

A landlord’s written permission, required by many leases before a tenant assigns the lease, sublets, changes the use, or makes alterations. The lease sets when consent is needed and on what terms.

Lead time

The time needed to finish a task before its due date, including time to gather documents, get signatures, and wait on others. The start-by date on a compliance calendar is the due date minus the lead time.

Lease abstract

A short summary of a lease’s key terms and dates, such as the parties, term, rent, permitted use, options, notice requirements, and critical dates. It is a working reference, not a replacement for the lease or a legal reading of it. See the lease review checklist.

Legal hold

An instruction, usually from counsel, to preserve records that may be relevant to an investigation, dispute, or lawsuit, even if the retention schedule would otherwise allow them to be destroyed.

License

A government authorization to carry on a regulated activity, such as selling cannabis or tobacco at retail. It is usually issued to a specific business for a specific premises, with conditions and an expiry or renewal date. In Canada the noun is usually spelled licence. See also permit.

License condition

A requirement attached to a specific license, beyond the general rules, such as limits on hours, security measures, or reporting. Conditions are found on the license itself or in the approval that issued it.

Local variation

A difference in a procedure at one location because of a local rule, license condition, or site feature. In a multi-site procedure set, each variation is recorded with its reason, the sites it affects, and its review date.

M

Management plan

The written plan agreed after the discovery assessment: the calendar, procedures, owners, reporting cadence, and scope for ongoing management. See our process.

O

Obligation register

A list of the requirements that apply to a business, with each one’s source, effective date, the sites it applies to, the responsible role, and the evidence that shows it is met. Recurring items from the register feed the compliance calendar.

Option period

The window in which a tenant may exercise a lease option, such as an option to renew or extend. Missing the window can mean losing the option, so the dates are tracked as critical dates.

P

Permit

An authorization for a specific activity, use, or piece of work, often issued locally: a business permit, building permit, or sign permit, for example. Jurisdiction-specific. The line between license and permit varies. Some jurisdictions call a state authorization a permit and a local one a license. What matters is the issuing authority, the conditions, and the renewal date.

R

Reconciliation

Comparing two records that should agree, such as physical inventory against a system count, or cash against sales, and investigating and documenting any difference. How often it is required, and what must be reported, depends on the jurisdiction and license type.

Regulatory change log

A record of changes in laws, regulations, or official guidance that may affect a business, with the source, effective date, what it may affect, questions for counsel, and the follow-up taken.

Renewal window

The period in which a license, permit, or lease option can or must be renewed. Jurisdiction-specific. Some license renewals must be filed a set time before expiry, and late filing can mean fees or a lapse.

Retail store authorization (Ontario)

Jurisdiction-specific. In Ontario, the Alcohol and Gaming Commission of Ontario (AGCO) issues a retail operator licence to the operator, a retail store authorization for each store, and a retail manager licence to store managers. A store generally needs all three, with a limited exception for the manager licence. See the AGCO licences and authorizations page.

Retention schedule

A list of record types showing how long each is kept, where, who can access it, and how it is disposed of. Minimum periods come from laws, license conditions, and contracts, and vary by jurisdiction, so the source for each period should be recorded.

Root cause

The underlying reason a problem happened, as opposed to its symptom. A missed renewal is the symptom; the date living in one person’s inbox may be the root cause. Corrective actions aim at the root cause so the problem does not recur.

S

Sensitive use

Jurisdiction-specific. A place, such as a school, day care, park, or youth center, that a jurisdiction protects with a buffer zone around licensed premises. Which places count depends on the jurisdiction.

SNDA

A subordination, non-disturbance, and attornment agreement between a tenant, a landlord, and the landlord’s lender. In general, the tenant accepts that the lease ranks behind the loan, the lender agrees not to disturb the tenant if it takes over the property, and the tenant agrees to recognize the new owner. Counsel should review one before signing.

SOP (standard operating procedure)

A written, step-by-step procedure for a routine task, with its purpose, who does what, and the record kept. SOPs let different people do the work the same way. See the SOP template.

T

Track-and-trace

Jurisdiction-specific. A system, often required by a regulator, that records a regulated product’s movement from production to sale. Which system is used, what must be entered, and how quickly are set by each jurisdiction.

U

Undercover buy inspection

Jurisdiction-specific. An enforcement check in which a person working with an agency, often an underage decoy, tries to buy an age-restricted product to test whether staff check identification. Also called a compliance check or decoy operation. Whether and how these are used varies.

V

Verification

Confirming, with evidence, that a corrective action or task actually worked, for example by checking that a rebuilt training log is complete a month later. A task is not closed until it is verified.