Uplevel Policies And Procedures Compendium

1. How We Communicate

1.1 Approved Channels

Uplevel uses specific platforms for specific purposes; the platform mix for your engagement is described in the applicable Program Addendum or Done-For-You Service Engagement. Representative defaults:

Email and text messaging are not substantive support channels. Uplevel may use email for administrative purposes (engagement letters, invoices, calendar invitations, policy updates, notices). Uplevel may transition between platforms over time on reasonable notice; transitions are not by themselves a reduction in value or a breach (per Master Agreement § 8.3).

1.2 Response Windows

Standard response within one (1) business day; strategic escalations that require research or coordination, up to two (2) business days. Document-review turnaround is set in the applicable Program Addendum or Done-For-You Service Engagement. Outside response windows, you should not expect immediate response; genuinely time-sensitive matters use the Red Zone protocol in Section 5 (where your engagement offers Red Zone access). Response windows are measured in U.S. business days, excluding weekends and U.S. federal holidays.

2. Document Handling And Data Security

2.1 TaxDome Required For Sensitive Documents

All of your sensitive documents transmitted to or stored with Uplevel must be uploaded to TaxDome. Sensitive documents include federal, state, and local tax returns and supporting schedules; W-2s, 1099s, K-1s, and comparable tax documents; trust, estate, and beneficiary documents; entity formation, governance, and ownership documents; financial statements; bank and brokerage statements; insurance policy declarations and beneficiary designations; identification documents; valuations, appraisals, and comparable financial-position documents; and any other document you reasonably believe is sensitive. Sensitive documents transmitted through any channel other than TaxDome may be deleted, disregarded, or returned to you for re-upload.

2.2 Your Discipline

You are responsible for submitting complete and accurate information when requested, meeting documentation deadlines, updating Uplevel promptly when material facts or circumstances change, and maintaining your own copies of all submitted documents (Uplevel is not your document custodian of record). Delays or inaccuracies do not entitle you to refunds, extensions, substitutions, or transfers beyond what the applicable Program Addendum, Done-For-You Service Engagement, or Investment Guide expressly provides.

2.3 Data Security Posture

Uplevel maintains operational data-security practices appropriate to the Company's size, business model, and the categories of information handled, including access controls, encryption in transit and at rest where supported by the platform, role-based Team-Member access, credential hygiene, and the platform-specific protections built into approved vendors.

If you engage Your Books By Design, LLC for tax preparation, bookkeeping, or Fractional CFO services, that entity maintains its own Written Information Security Program (the "WISP") conforming to Internal Revenue Service Publication 4557, Internal Revenue Service Publication 5708, and the Federal Trade Commission Safeguards Rule (16 C.F.R. Part 314). If you engage investment advisory services through Edward Collins or David Lambert as IARs of LPL Financial LLC's corporate Registered Investment Adviser (under the Collins Lambert, LLC name), LPL Financial's Regulation S-P framework and data-handling policies apply.

Detail of Uplevel's information practices, the categories of information collected, the recipients, and your privacy-law rights are in the UBD Unified Privacy Notice (UBD-AGR-0009), refreshed annually. AI-tool use detail is in the AI Use Disclosure and Consent Addendum (UBD-AGR-0010), refreshed as material vendor terms change.

3. Artificial Intelligence Use … Operational Policies

3.1 Approved Tools And Tiering

The default approved AI tool for Uplevel Team Member work involving your content is Claude for Work / Claude Teams under Anthropic, PBC's Commercial Terms, which by their terms do not train Anthropic's models on customer inputs. The current full set of approved AI tools and the approved tier of each is set out in the AI Use Addendum and refreshed as vendor terms change. Consumer-tier AI products, any non-approved enterprise tool, and "shadow" use of any AI product on a Team Member's personal account or device for work involving your information are prohibited. Every Team Member attests at onboarding and annually to use only approved AI tools at the approved tier.

3.2 Human Review

All AI output that touches your work product is reviewed by a human Team Member before delivery to you. The Company does not deliver autonomous AI output to you and does not use autonomous AI to make recommendations or decisions on your behalf.

3.3 Voice And Video Meeting AI Tooling

Uplevel may use AI-assisted transcription, recording, summarization, and analysis tools on voice and video meetings. The meeting platform itself (for example, Zoom) provides notice when a recording or transcription is active. Recordings, transcripts, and AI-generated summaries are your Confidential Information stored in approved Uplevel systems.

3.4 Cross-References

For tax preparation engagements with Your Books By Design, LLC, the standalone Internal Revenue Code Section 7216 consents govern AI-vendor handling of "tax return information." For investment advisory work conducted through the IARs of LPL Financial's corporate RIA (under the Collins Lambert, LLC name), LPL Financial's AI framework governs, not this Section or the AI Use Addendum. Your own use of AI is addressed in Master Agreement § 5.3.

4. Meetings, Cohort Calls, And Attendance

4.1 Scheduling, Attendance, And Recordings

Scheduled sessions are booked through approved scheduling links or your assigned Strategist; cohort-wide programming is announced through the relevant Skool or Slack channel. Missed scheduled sessions are forfeited; same-day cancellations are forfeited; group sessions are not substituted with private sessions. Where reasonable, you should provide at least twenty-four (24) hours notice of any cancellation. Session recordings may be made available through Skool or the cohort community platform; recordings are not guaranteed and may be omitted where confidentiality, technology limits, or facilitator preference would make recording impractical.

4.2 Live-Session Participation Priority

Where a session offers limited interaction time (hot seats, deep-dive Q&A, office-hours intake), participation priority is allocated based on factors that include your current Program enrollment and tier; your preparation; your progress on prior milestones; the relevance of your question to the session topic; and the operational mechanics defined in the applicable Program Addendum. Hot seats are not guaranteed.

Program-specific cohort architecture, recurring touchpoints, and Edward-touchpoint detail are set out in the applicable Program Addendum.

5. Red Zone (Urgent Strategic Support)

A Red Zone issue is a time-sensitive strategic matter where Uplevel input is meaningfully required within a short window and where waiting for the next standard touchpoint would prejudice your outcome (for example, a live transaction decision with a closing date, a regulatory or tax notice with a short response deadline, or a strategic decision that materially affects your wealth architecture and cannot wait). Red Zone is not for general questions, emotional urgency unsupported by an external deadline, your own missed personal deadlines, or your outside-adviser delays. Per-engagement eligibility, request channel, response time, and the Team Member who responds are defined in the applicable Program Addendum. Red Zone access does not replace proper planning, does not extend the Program term, and does not entitle you to refunds if a matter resolves in a way you do not prefer.

6. Community Standards And Conduct

You are expected to communicate respectfully and in good faith, engage substantively, maintain confidentiality of other Members' information and of discussions held inside the community (per Master Agreement § 10.3), respect Team Members' role boundaries, and take ownership of implementation and follow-through.

The following conduct is prohibited and may result in suspension, restriction, or removal from one or more communities, or termination of your participation, without refund: harassment, hostility, verbal abuse, intimidation, or threats; disruption of sessions or community environments; unapproved solicitation, pitching, or marketing of products, services, or programs to other Members; recruiting Team Members in violation of Master Agreement § 12.2; sharing screenshots, recordings, transcripts, or personally identifying information of other Members in violation of Master Agreement § 10.3; using any AI tool to ingest community communications or other Members' content without prior consent of all parties involved; misrepresenting Uplevel guidance, content, or methodology to third parties; and any conduct the Company reasonably determines is materially inconsistent with the safety, wellbeing, or integrity of the Uplevel community.

The Uplevel University Skool community is also governed by the University Community Code of Conduct (UBD-AGR-0024) when delivered, which provides community-specific operational rules.

7. Implementation And Decision Responsibility

Uplevel provides strategy, education, frameworks, methodologies, sequencing, coaching, consulting, implementation guidance and assistance, and coordination support with your licensed professionals as authorized. You remain responsible for your final decisions; engaging your own licensed professionals for advice that is reserved to licensed professionals; filings, signatures, and compliance steps; your own execution, follow-through, and documentation; and the consequences of your actions or inactions. Uplevel does not override your outside advisers and does not assume responsibility for the actions or inactions of you or your advisers.

8. Platform Access And Program Expiration

Access to Uplevel platforms is personal to you (and, for an entity, to the designated individual representative). Sharing credentials, distributing platform access to non-authorized third parties, or otherwise circumventing the personal-access rule is prohibited. Where you wish to extend access to a member of your own internal team (for example, in-house accountant, executive assistant, fractional CFO), you may request authorized access; authorized team access requires prior written consent from your Strategist and is subject to confidentiality protections consistent with the Master Agreement.

At the conclusion of your Program term, access to active community environments and live-collaboration artifacts is removed; you retain Materials downloaded or saved during the Program subject to the license limits in Master Agreement § 9.2. Recordings and curriculum content previously accessed via Skool may continue to be available through the Skool platform if and to the extent the platform and the Program Addendum provide.

9. Events

For Uplevel events (the Annual Summer Summit, workshops, retreats, on-site sessions, virtual summits), you follow the event rules communicated in event materials and the community standards in Section 6. Recording by attendees is not permitted unless expressly authorized in writing. Uplevel may record and use event content for your continued reference and for internal Uplevel operational and marketing purposes, subject to the Media / Testimonial / Likeness Release (UBD-AGR-0027) for any use of your likeness, voice, or testimonial in Uplevel-branded marketing.

Unless the applicable Program Addendum or Investment Guide expressly provides otherwise, you are responsible for your own travel, lodging, meals, and incidental expenses. Uplevel may modify, postpone, relocate, or convert an event in a force majeure circumstance (per Master Agreement § 18, Force Majeure); event modifications do not entitle you to a refund of fees except as the applicable Program Addendum or Investment Guide expressly provides.

10. Escalation Path

If you need support beyond standard touchpoints, the escalation path follows the Uplevel By Design Team title cascade:

1. Member Success Specialist (MSS) … first-line operational point of contact for day-to-day support.
2. Your assigned Generational Wealth Strategist … strategic owner for your integrated wealth architecture.
3. Pillar Director (Tax Reduction, Asset Protection, Wealth Accumulation, or Intentional Legacy) … domain depth for the relevant pillar.
4. Chief Operating Officer … operational and fulfillment escalation.
5. Edward Collins, Founder & Generational Wealth Creation Architect … rare; reserved for strategic-stakes, complexity, scale, or escalation matters the Team determines warrant Edward's direct involvement.

The Team is empowered to route escalation and combine touchpoints where the matter warrants. You are not required to navigate the cascade in strict order; your Member Success Specialist is the right starting point for most situations.

11. Policy Updates And Records

The Company may update this Compendium from time to time to improve clarity and operational effectiveness, reflect new approved platforms or vendors, reflect new disclosures the Company is required or chooses to make, reflect regulatory developments, or reflect operational changes. Updates will be communicated via Program platforms, in-platform notification, email, or comparable means. Continued participation after notice constitutes acceptance. Material adverse changes (changes that materially disadvantage you) require your written consent per Master Agreement § 18 (Amendments).

The Company maintains operational records of your engagement (engagement letters and signed addenda, scheduling and attendance records, written communications, deliverable copies, platform-activity records). Documents stored in TaxDome are retained per the Company's TaxDome retention configuration. Tax-preparation records held by Your Books By Design, LLC are retained per that entity's record-retention policy, which conforms to applicable Internal Revenue Service and Florida Department of Revenue requirements.

The UBD Unified Privacy Notice and the AI Use Disclosure and Consent Addendum are refreshed at least annually; material refreshes are communicated to you via in-platform notification, email, or comparable means.

12. A Final Note

These Policies exist for one reason:

To help you actually implement what you came here to build.

They are designed to protect momentum, clarity, and outcomes … and to give the Uplevel By Design Team the operating discipline that lets the Team move strategy off the page and into your actual wealth architecture.

End of Uplevel Policies and Procedures Compendium.