Regulatory / Ombudsman Case Tracker
Build your own internal tool that logs every regulator or ombudsman case, sets the mandated milestones and deadlines, tracks the documents you owe, alerts you before statutory clocks run out, and keeps an immutable audit trail - with compliance approving every submission before it's filed.
A private, login-protected case register where every regulatory case is logged with its statutory milestones and deadlines, a live document checklist, conservative early-warning alerts, a human approval gate before any submission to the regulator, and a one-click evidence export when the case closes.
Before you start
- Free accounts: Vercel, Supabase, Resend
- A list of the regulators/ombudsmen you deal with and their standard timelines
- A sample case or two (reference number, milestones, documents owed)
- No coding experience needed - you'll paste the plan into an AI agent
The problem this kills
When a regulator or ombudsman opens a case against your company, the clock starts - and it does not stop for anyone. You owe specific documents by specific dates, you have to acknowledge, respond, and resolve inside statutory windows, and if you miss one you're not just embarrassed, you're potentially in breach. Most teams run this on a shared spreadsheet, a wall of calendar reminders, and a folder of email attachments nobody can audit later. One person goes on leave, one tab gets overwritten, one deadline slips into a weekend - and suddenly you're explaining to the regulator why a mandated milestone was missed.
This plan kills that risk. It gives you a single, locked-down place where every case lives, every deadline is tracked, every document owed is checked off, and every submission is reviewed by a human before it leaves the building - with a complete record of who did what, and when.
What you'll build
A private internal web app - just for your team - that lets you:
- Log a regulatory or ombudsman case with the regulator, reference number, and case type.
- Automatically lay out the mandated milestones and deadlines for that case type.
- Track a document checklist - what's owed, what's in, what's outstanding - with files stored securely.
- Get conservative, early deadline alerts by email so nothing ever surprises you.
- Route every submission to the regulator through a compliance approval gate before it's marked filed.
- Close a case with a full evidence export - every date, document, and decision in one package.
What's inside the Implementation Plan
The plan is a complete, paste-and-go runbook for an AI coding agent. The first thing it does is interview you about your business - which regulators you deal with, your real reference-number formats, your exact milestone names and statutory windows, your typical and peak case volumes, your approval rules, and your messiest edge cases. It reads a short tailored spec back to you for a thumbs-up, and only then starts building. You get a tool shaped around how you actually work - not a generic template you have to bend to fit.
Inside you'll find: the discovery interview, the full data model, step-by-step build instructions, and a ready-to-copy prompt at the end of every step. It also includes a "No API yet?" fallback so you can import cases from a spreadsheet and export the case register as a clean CSV - meaning you can build and use this today, even if you never connect it to another system.
The governance it includes (this is the point)
This isn't a toy. Governance is built into every layer, because in a regulated business it's the whole game:
- Login so only your team can open the tool.
- Row-level security so people only ever see their own organization's cases.
- An immutable audit trail - every milestone change, document upload, and approval is recorded with who and when, and can't be quietly edited away.
- A hard human-in-the-loop approval gate - the tool drafts and assembles, but a compliance reviewer must approve before any submission to the regulator (and before a case is closed) is committed.
- Duplicate guards keyed on the regulator reference number, so the same case can never be logged or processed twice.
Who it's for
Compliance officers and complaints managers in regulated industries - financial services, insurance, utilities, healthcare, telecoms - anyone who has to answer to a regulator or ombudsman against the clock and prove afterwards that every statutory deadline was met.
You don't need to write code. You need to know your process. The AI does the building.
You've got this - paste the first prompt and let's build it.