# Control 3.11: Centralized Agent Inventory Enforcement

**Control ID:** 3.11<br>
**Pillar:** Reporting<br>
**Regulatory Reference:** FINRA 4511, FINRA RN 24-09, FINRA 3110, SEC 17a-4, SOX 404, OCC Bulletin 2026-13 (formerly OCC 2011-12), Fed SR 26-2 (formerly SR 11-7)<br>
**Last UI Verified:** April 2026<br>
**Governance Levels:** Baseline / Recommended / Regulated<br>

---

## Objective

Establish enforcement mechanisms for centralized agent inventory completeness through automated detection, mandatory registration, and remediation of unmanaged or orphaned agents. This control builds on foundational agent inventory (Control 3.1) by adding proactive enforcement to help ensure every agent in the tenant is tracked, managed, and compliant with governance requirements.

!!! info "Agent Inventory Feature Status (April 2026)"
    Power Platform Inventory in PPAC (which surfaces Microsoft Copilot Studio agents alongside apps, flows, environments, and environment groups) reached **General Availability on February 9, 2026** (MC1223778). Inventory data refreshes approximately every 15 minutes and supports filtering, sorting, column customization, and Excel export. The **Power Platform for Admins V2** connector lets Power Automate flows query the same inventory data without a custom API. Microsoft Agent 365 (the unified agent control plane) reaches GA on **May 1, 2026** with fine-grained RBAC for both human admins and agents. Microsoft Entra Agent ID reached general availability in April 2026 ([Entra Agent ID — What's new](https://learn.microsoft.com/en-us/entra/agent-id/whats-new-agent-id)); verify per-tenant availability in the Entra portal.

    **Feature Status Tracking:**

    | Capability | Status (Apr 2026) | Implementation Approach |
    |------------|-------------------|-------------------------|
    | Power Platform Inventory (PPAC) | **GA** (Feb 9, 2026) | Primary discovery interface; ~15-minute refresh |
    | Power Platform for Admins V2 connector | GA | Workflow-driven inventory queries in Power Automate |
    | Microsoft Agent 365 control plane | GA May 1, 2026 (Agent 365 / M365 E7 SKU) | Unified discovery, lifecycle, RBAC, policy enforcement |
    | Entra Agent ID | **GA** (April 2026) | Per-agent identity for Conditional Access and audit |
    | Ownership Transfer | GA | Standard PPAC capability |
    | Copilot Studio Kit | Preview | Inventory monitoring accelerator and adaptive-card alerts |
    | Unmanaged Agent Blocking (native) | Roadmap | Use DLP + Security Roles as compensating control today |

    Monitor [Microsoft 365 Roadmap](https://www.microsoft.com/en-us/microsoft-365/roadmap) and the Message Center for ongoing enhancements to inventory enforcement.

---

## Why This Matters for FSI

- **FINRA 4511 / FINRA RN 24-09:** Books and records requirements necessitate a complete and accurate inventory of all systems and tools used in securities activities. Unmanaged agents create gaps in audit trails and supervisory records
- **SEC 17a-4:** Records-retention obligations apply to communications and decisions produced by AI agents; the firm must be able to enumerate every agent that touches in-scope records and demonstrate retention coverage
- **SOX 404:** IT general controls over financial reporting systems require a documented inventory of all applications with financial-data access. Orphaned or untracked agents undermine control-effectiveness assessments
- **OCC Bulletin 2026-13 (formerly OCC 2011-12):** Model Risk Management guidance requires inventory and ongoing monitoring of all automated decision-making systems. AI agents that influence credit, pricing, or customer outcomes can qualify as models requiring governance oversight
- **Fed SR 26-2 (formerly SR 11-7):** Supervisory guidance on model risk management calls for a comprehensive model inventory with ownership, purpose, and risk ratings. Unmanaged agents introduce unquantified operational risk

Centralized inventory enforcement helps support regulatory examination readiness by demonstrating that the organization maintains visibility into AI agent deployments and actively remediates inventory gaps. The control does not by itself satisfy any single regulation; it contributes to a broader books-and-records and model-inventory program.

---

!!! info "No companion solution by design"
    Not all controls have a companion solution in [FSI-AgentGov-Solutions](https://github.com/judeper/FSI-AgentGov-Solutions); solution mapping is selective by design. This control is operated via native Microsoft admin surfaces and verified by the framework's assessment-engine collectors. See the [Solutions Index](../../reference/solutions-index.md#coverage-scope) for the catalog and coverage scope.


## Control Description

While Control 3.1 establishes the foundational agent inventory and metadata structure, Control 3.11 enforces inventory completeness through automated discovery, mandatory registration, and systematic remediation of unmanaged agents. This control transforms the inventory from a passive repository into an active governance enforcement mechanism.

**Key Enforcement Mechanisms:**

| Mechanism | Description | Implementation |
|-----------|-------------|----------------|
| **Automated Discovery** | Continuous scanning for agents across all environments, Copilot Studio, Microsoft 365, and integrated apps | Power Platform Inventory in PPAC (GA) + Power Platform for Admins V2 connector for workflow queries |
| **Registration Requirements** | Mandatory metadata submission before agent publication or sharing | Pre-publication checklist + approval gates |
| **Completeness Monitoring** | Real-time alerts for agents with incomplete metadata or missing ownership | Power Automate flows + Teams notifications |
| **Orphaned Agent Detection** | Scheduled detection of agents with departed owners or inactive projects | PowerShell scripts + ownership validation |
| **Remediation Workflows** | Structured processes for resolving inventory gaps, assigning ownership, and decommissioning abandoned agents | Change management integration |

### Power Platform Inventory in PPAC (GA February 2026)

The unified Power Platform Inventory page in PPAC provides tenant-wide visibility into agents, apps, flows, environments, and environment groups, with filtering, sorting, customizable columns, and Excel export. Inventory data refreshes approximately every 15 minutes. Access requires a tenant-wide admin role (Power Platform Admin or Dynamics 365 Admin); read-only or fine-grained scoping is not yet available.

**Inventory Attributes Tracked:**

| Attribute | Description | Governance Value |
|-----------|-------------|------------------|
| **Agent Name** | Display name and internal identifier | Identification and tracking |
| **Creation Date** | When the agent was first created | Age analysis and lifecycle tracking |
| **Owner** | Primary responsible individual | Accountability and ownership validation |
| **Environment** | Power Platform environment or M365 context | Zone classification and access control verification |
| **Authentication Method** | Service principal, managed identity, or user delegation | Security posture assessment |
| **Feature Usage** | Connectors, generative actions, tools enabled | Risk profiling and compliance validation |
| **Last Modified Date** | Most recent configuration change | Activity monitoring and staleness detection |
| **Sharing Status** | Private, team, or organizational | Distribution scope and exposure assessment |

### Agent 365 Control Plane Integration

Microsoft's Agent 365 control plane provides a unified interface for agent discovery, lifecycle management, observability, and policy enforcement across the Microsoft ecosystem:

- **Discovery:** Automatic detection of agents across Copilot Studio, Microsoft 365 Copilot, Declarative Agents, and Microsoft Foundry
- **Lifecycle:** Unified management for creation, approval, publication, monitoring, and retirement
- **Observability:** Cross-platform usage analytics, performance metrics, and compliance status
- **Policy Enforcement:** Centralized policy application ensuring agents meet organizational governance standards before deployment

Organizations should prepare for Agent 365 GA by establishing inventory enforcement processes aligned with the unified control plane model.

### Copilot Studio Kit: Agent Inventory Monitoring

The Copilot Studio Kit (Preview) provides pre-built monitoring capabilities for agent inventory governance:

- **Inventory Synchronization:** Automated refresh of agent metadata from Power Platform environments
- **Completeness Validation:** Detection of agents missing required metadata fields (owner, description, zone classification, risk rating)
- **Ownership Verification:** Validation that assigned owners are active users in Entra ID
- **Alert Generation:** Teams notifications for inventory gaps, orphaned agents, or overdue metadata updates
- **Dashboard Visualization:** Power BI dashboard showing inventory completeness metrics and remediation status

Organizations implementing Control 3.11 should evaluate the Copilot Studio Kit as an accelerator for enforcement automation.

### PL-900 Power Platform Fundamentals Certification

Microsoft's PL-900 certification (Microsoft Certified: Power Platform Fundamentals) covers foundational Power Platform concepts including governance, security, and administration. Organizations should encourage Power Platform Admins and AI Governance Leads to complete PL-900 training to build platform governance competency.

---

## Key Configuration Points

- Enable Power Platform Inventory in PPAC (GA) and confirm tenant-wide admin role assignments; inventory refreshes approximately every 15 minutes
- Define mandatory metadata fields required for all agents before publication
- Implement a pre-publication checklist enforcing inventory completeness (owner, zone, risk rating, approvals)
- Configure Power Automate flows using the **Power Platform for Admins V2** connector to detect agents with missing or incomplete metadata
- Establish an ownership validation process that verifies owners are active users in Entra ID and that agents align with approved projects
- Deploy PowerShell scripts for scheduled orphaned agent detection (weekly for Zone 2/3)
- Configure Teams notifications alerting the governance team to inventory gaps and remediation requirements
- Integrate agent registration into change management and approval workflows
- Establish an agent decommissioning process for abandoned or inactive agents
- Set up quarterly inventory audit reviews validating completeness across all zones

---

## Zone-Specific Requirements

| Zone | Requirement | Rationale |
|------|-------------|-----------|
| **Zone 1** (Personal) | Quarterly inventory review; basic metadata tracked (owner, name, environment); unmanaged agent notifications sent to Power Platform Admin | Low-risk personal productivity; lighter governance |
| **Zone 2** (Team) | Monthly inventory review; complete metadata required (owner, zone, risk rating, approvals, description); orphaned agent detection and reassignment within 14 days | Team collaboration introduces shared data exposure; moderate governance |
| **Zone 3** (Enterprise) | Weekly inventory review; full metadata + compliance status + audit trail; automated orphan detection with immediate alerts; mandatory ownership assignment before publication; decommissioning process for abandoned agents within 7 days | Customer-facing and regulated operations; strictest governance |

---

## Roles & Responsibilities

| Role | Responsibility |
|------|----------------|
| Power Platform Admin | Manage Power Platform Inventory in PPAC; monitor completeness dashboards; execute orphaned agent detection scripts; maintain zone-mapping data |
| AI Administrator | Configure tenant-level Copilot/agent settings and Agent 365 control plane (when GA on May 1, 2026) |
| Entra Global Admin | Initial tenant-level discovery configuration and broad consent for inventory APIs; prefer PIM just-in-time elevation |
| Compliance Officer | Review inventory reports for regulatory audit readiness; validate completeness of agent documentation; approve exceptions for unmanaged agents |
| Security Operations | Monitor for unregistered or unmanaged agents; investigate unauthorized agent deployments; coordinate remediation with business owners |
| AI Governance Lead | Define mandatory metadata requirements; review remediation workflows; approve agent decommissioning decisions; maintain inventory audit trail |
| Agent Authors | Complete mandatory metadata before agent publication; respond to ownership validation requests; update metadata when agent purpose or scope changes |

---

## Related Controls

| Control | Relationship |
|---------|--------------|
| [3.1 - Agent Inventory and Metadata Management](3.1-agent-inventory-and-metadata-management.md) | Foundational inventory; Control 3.11 adds enforcement and remediation |
| [3.6 - Orphaned Agent Detection and Remediation](3.6-orphaned-agent-detection-and-remediation.md) | Specialized remediation process for agents with departed owners |
| [1.2 - Agent Registry and Integrated Apps Management](../pillar-1-security/1.2-agent-registry-and-integrated-apps-management.md) | Integrated Apps registry complements PPAC Agent Inventory for cross-platform visibility |
| [3.8 - Copilot Hub and Governance Dashboard](3.8-copilot-hub-and-governance-dashboard.md) | Agent Registry in M365 Admin Center provides additional visibility layer |

---

!!! tip "Automated Validation: Agent Inventory Enforcement Monitor"
    For automated detection of incomplete agent inventory records, orphaned agents, and enforcement of mandatory metadata requirements, see the **Agent Inventory Enforcement Monitor** solution.

    **Capabilities:**

    - Daily automated inventory completeness validation across all zones
    - Detection of agents with missing or invalid metadata (owner, zone, risk rating)
    - Orphaned agent identification (departed owner, inactive project, exceeds age threshold)
    - Teams adaptive card alerts with remediation workflow links
    - Dataverse-persisted enforcement history for audit trail
    - SHA-256 integrity-hashed evidence export for regulatory examination

    **Deployable Solution:** [agent-inventory-enforcement-monitor](https://github.com/judeper/FSI-AgentGov-Solutions/tree/main/agent-inventory-enforcement-monitor) provides PowerShell validation scripts, Power Automate flow definitions, Dataverse schema, and compliance reporting templates.

---

## Implementation Playbooks

!!! info "Step-by-Step Implementation"

    This control has detailed playbooks for implementation, automation, testing, and troubleshooting:

    - [Portal Walkthrough](../../playbooks/control-implementations/3.11/portal-walkthrough.md) — Step-by-step PPAC Agent Inventory configuration
    - [PowerShell Setup](../../playbooks/control-implementations/3.11/powershell-setup.md) — Automation scripts for inventory enforcement
    - [Verification & Testing](../../playbooks/control-implementations/3.11/verification-testing.md) — Test cases and evidence collection
    - [Troubleshooting](../../playbooks/control-implementations/3.11/troubleshooting.md) — Common issues and resolutions

---

## Verification Criteria

Confirm control effectiveness by verifying:

1. Power Platform Inventory in PPAC is accessible to designated Power Platform Admins and surfaces all agents, apps, flows, and environments (refresh interval ~15 minutes)
2. Mandatory metadata requirements are documented and communicated to all agent authors
3. Pre-publication checklist enforces inventory completeness before agent approval
4. Power Automate flows (built on Power Platform for Admins V2 connector) detect and alert on incomplete agent metadata within 24 hours
5. Ownership validation process confirms all agents have active owners (quarterly for Zone 1, monthly for Zone 2, weekly for Zone 3)
6. PowerShell scripts for orphaned agent detection execute on schedule without errors
7. Teams notifications are delivered to governance team for inventory gaps and remediation requirements
8. Change management system tracks agent registration and metadata updates with audit trail
9. Decommissioning process removes or disables abandoned agents within SLA (14 days Zone 2, 7 days Zone 3)
10. Quarterly inventory audit reports show >95% completeness across all mandatory metadata fields
11. All Zone 3 agents have complete metadata including owner, zone classification, risk rating, approvals, and compliance status
12. Unmanaged agents detected in previous period have been remediated (assigned owner or decommissioned)

---

## Additional Resources

- [Power Platform Inventory (GA, MC1223778)](https://learn.microsoft.com/en-us/power-platform/admin/power-platform-inventory)
- [Power Platform for Admins V2 connector](https://learn.microsoft.com/en-us/connectors/powerplatformforadmins/)
- [Microsoft Agent 365 overview](https://www.microsoft.com/en-us/microsoft-agent-365)
- [Microsoft Entra Agent ID](https://learn.microsoft.com/en-us/entra/agent-id/what-is-agent-id-platform)
- [Manage Copilot agents in Integrated Apps](https://learn.microsoft.com/en-us/microsoft-365/admin/manage/manage-copilot-agents-integrated-apps?view=o365-worldwide)
- [Copilot Studio Kit (governance accelerator)](https://learn.microsoft.com/en-us/microsoft-copilot-studio/guidance/kit-troubleshoot)
- [PL-900: Microsoft Power Platform Fundamentals](https://learn.microsoft.com/en-us/credentials/certifications/power-platform-fundamentals/)

### Agent Inventory Enforcement Best Practices

Organizations implementing centralized inventory enforcement should consider:

**Discovery Frequency:**

| Zone | Discovery Schedule | Rationale |
|------|-------------------|-----------|
| Zone 1 | Weekly | Personal productivity; lower governance priority |
| Zone 2 | Daily | Team collaboration; moderate risk exposure |
| Zone 3 | Daily + real-time alerts | Enterprise operations; regulatory requirements |

**Mandatory Metadata Requirements:**

- **Universal (all zones):** Owner, Agent Name, Environment, Creation Date
- **Zone 2 and above:** Zone Classification, Risk Rating, Description, Last Modified Date
- **Zone 3 only:** Approvals (date, approver), Compliance Status, Audit Trail, Decommissioning Plan

**Remediation SLAs:**

| Issue Type | Zone 1 SLA | Zone 2 SLA | Zone 3 SLA |
|------------|------------|------------|------------|
| Missing metadata | 30 days | 14 days | 7 days |
| Orphaned agent | 60 days | 30 days | 14 days |
| Unmanaged agent (never registered) | 90 days | 30 days | 7 days |
| Invalid owner (departed user) | 30 days | 14 days | 7 days |

### Implementation Caveats

!!! warning "Regulatory Compliance Considerations"
    Implementation of this control requires:

    - **Change Management Integration:** All inventory enforcement actions (ownership changes, decommissioning) must follow documented change management procedures with approval gates
    - **Data Retention Compliance:** Decommissioned agent metadata and audit trails must be retained per regulatory requirements (typically 7 years for FSI)
    - **User Privacy:** Ownership tracking and automated notifications must comply with organizational privacy policies and employment regulations
    - **Business Continuity:** Orphaned agent remediation must not disrupt critical business processes; coordinate with business owners before decommissioning

    Organizations should verify that inventory enforcement procedures align with existing IT governance frameworks and regulatory obligations.

---

*Updated: May 2026 | Version: v1.6.2 | UI Verification Status: Current*
