A structured look at how to align IT recovery planning with compliance standards in healthcare, legal, financial, and other regulated industries.

Regulators expect more than backups

Many organizations assume that having a backup system is enough to satisfy compliance requirements. But most regulatory frameworks—including HIPAA, SOX, and GLBA—expect documented recovery strategies that account for more than just data preservation.

What regulators want to see is evidence that your organization can restore systems, continue operations, and minimize disruption. That means showing not only that you have backups, but that they’re tested, time-bound, and tied to business functions.

Key components of a compliant recovery plan

A recovery plan that satisfies regulatory scrutiny typically includes:

  • Defined recovery time objectives (RTO) and recovery point objectives (RPO) for each major system

  • A clear inventory of systems, data classifications, and dependencies

  • Assigned roles and responsibilities for recovery procedures and decision-making

  • Backup and restore testing schedules with documentation of successful outcomes

  • Plans for communication, both internally and externally, during extended outages

  • Procedures for reviewing and updating the plan on a regular basis

These elements show regulators that the plan is not theoretical. It’s operational, maintained, and connected to business impact.

Avoiding common pitfalls

Many plans fail under scrutiny because they exist only as documents—not as active strategies. Some are written once and never updated. Others omit testing or rely on assumptions that don’t reflect current systems or staffing.

A common issue is mismatched expectations. For example, a system might be labeled “critical,” but the backup cadence or RTO doesn’t reflect that designation. In a review, that inconsistency raises questions about how decisions were made—and whether recovery is truly viable.

Overreliance on cloud platforms is another concern. While cloud services often include built-in redundancy, they don’t eliminate the need for your organization to define recovery roles, test accessibility, or document processes. Compliance responsibility isn’t outsourced.

Make recovery planning part of operational discipline

Recovery planning isn’t just a compliance exercise—it’s a resilience strategy. Organizations that treat recovery as an operational discipline are better prepared for both audits and real-world disruption.

That preparation includes maintaining current documentation, testing procedures regularly, and integrating recovery considerations into IT purchasing and infrastructure decisions. When a disruption occurs, or when a regulator asks for evidence, the readiness is already built in.