Adoption Roadmap
Phased implementation guidance for deploying the FSI Agent Governance Framework.
Overview
This roadmap provides a structured approach to implementing AI agent governance. Organizations should adapt timelines and priorities based on their specific regulatory obligations, existing infrastructure, and agent deployment plans.
Start with the Readiness Assessment
Before beginning Phase 0, run the Governance Readiness Assessment to evaluate your current posture across all 71 controls. The assessment produces a personalized scorecard, gap analysis, and remediation roadmap tailored to your institution type, governance zones, and adoption phase.
Implementation Phases
| Phase | Timeline | Focus | Key Outcomes |
|---|---|---|---|
| Phase 0 | 0-60 days | Foundation | Governance structure, core controls, Zone 1-2 enabled |
| Phase 1 | 2-6 months | Production Readiness | SoD, reporting, Zone 3 governance, first agents |
| Phase 2 | 6-12 months | Advanced Governance | Runtime protection, adversarial testing, steady-state |
Phase 0: Foundation (0-60 days)
Objectives
- Establish governance structure and accountability
- Deploy minimum viable controls for initial agent usage
- Enable Zone 1 and Zone 2 environments
- Complete baseline training for key stakeholders
Core Controls to Implement
| Control | Name | Priority | Owner |
|---|---|---|---|
| 1.1 | Restrict Agent Publishing by Authorization | Critical | Power Platform Admin |
| 1.5 | Data Loss Prevention (DLP) and Sensitivity Labels | Critical | Purview Admin |
| 2.1 | Managed Environments | Critical | Power Platform Admin |
| 2.3 | Change Management and Release Planning | High | AI Governance Lead |
| 3.1 | Agent Inventory and Metadata Management | Critical | AI Governance Lead |
| 4.1 | SharePoint IAG and Restricted Content Discovery | High | SharePoint Admin |
Week-by-Week Activities
Weeks 1-2: Governance Structure
- Identify AI Governance Lead and assign accountability
- Draft governance committee charter (Zone 3 preparation)
- Review existing IT policies for AI agent implications
- Conduct initial regulatory mapping review
- Identify Power Platform Admin and SharePoint Admin leads
Weeks 3-4: Core Technical Controls
- Configure Managed Environments for Zone 2 (Control 2.1)
- Implement baseline DLP policies (Control 1.5)
- Enable default environment routing (Control 2.15)
- Restrict agent publishing to authorized users (Control 1.1)
- Configure audit logging baseline (Control 1.7)
Weeks 5-6: Environment Setup
- Create Zone 1 personal developer environment group
- Create Zone 2 team collaboration environment group
- Configure environment group rules for sharing
- Enable sensitivity labels for agent content
- Document environment architecture
Automation Option
Use Environment Lifecycle Management from FSI-AgentGov-Solutions to automate environment provisioning with built-in zone classification.
Weeks 7-8: Operational Readiness
- Establish agent inventory process (Control 3.1)
- Create change management workflow (Control 2.3)
- Document SharePoint sites approved for agent grounding (Control 4.1)
- Complete baseline training for Power Platform Admin
- Conduct first governance review meeting
Automation Option
Deploy Message Center Monitor to track Microsoft platform changes affecting agent governance. This supports Control 2.3 (Change Management) and Control 2.10 (Patch Management).
Phase 0 Success Criteria
- AI Governance Lead appointed with clear accountability
- Zone 1 and Zone 2 environments configured with DLP policies
- Agent publishing restricted to authorized users
- Agent inventory process documented and operational
- Baseline audit logging enabled
- Key stakeholders trained on governance requirements
Phase 0 Deliverables
| Deliverable | Owner | Due |
|---|---|---|
| Governance committee charter | AI Governance Lead | Week 2 |
| Environment architecture document | Power Platform Admin | Week 4 |
| DLP policy documentation | Purview Admin | Week 4 |
| Agent inventory process | AI Governance Lead | Week 6 |
| Training completion records | Training Lead | Week 8 |
Phase 1: Production Readiness (2-6 months)
Objectives
- Implement segregation of duties and access controls
- Enable comprehensive reporting and monitoring
- Establish Zone 3 governance structure
- Deploy first production agents with full governance
Controls to Implement
| Control | Name | Priority | Owner |
|---|---|---|---|
| 1.7 | Comprehensive Audit Logging and Compliance | Critical | Purview Admin |
| 1.9 | Data Retention and Deletion Policies | Critical | Purview Admin |
| 1.11 | Conditional Access and Phishing-Resistant MFA | High | Entra Admin |
| 2.5 | Testing Validation and Quality Assurance | High | QA Lead |
| 2.8 | Access Control and Segregation of Duties | Critical | AI Governance Lead |
| 2.12 | Supervision and Oversight (FINRA 3110) | Critical | Compliance Officer |
| 3.2 | Usage Analytics and Activity Monitoring | High | AI Governance Lead |
| 3.3 | Compliance and Regulatory Reporting | High | Compliance Officer |
| 3.7 | PPAC Security Posture Assessment | High | Power Platform Admin |
| 4.2 | Site Access Reviews and Certification | High | SharePoint Admin |
Month-by-Month Activities
Month 2: Access and Segregation
- Implement segregation of duties controls (Control 2.8)
- Configure role-based access for PPAC (Control 1.18)
- Enable conditional access policies for Zone 3 (Control 1.11)
- Document approval workflows for Zone 2-3 agents
- Conduct access review for existing admin roles
Month 3: Reporting and Monitoring
- Configure usage analytics dashboard (Control 3.2)
- Implement compliance reporting process (Control 3.3)
- Enable PPAC security posture monitoring (Control 3.7)
- Set up orphaned agent detection (Control 3.6)
- Create executive reporting templates
Month 4: Zone 3 Governance
- Establish governance committee with regular meetings
- Document Zone 3 approval workflow
- Configure 10-year retention for Zone 3 environments (Control 1.9)
- Implement supervision controls (Control 2.12)
- Create Zone 3 agent deployment checklist
Automation Option
Use Pipeline Governance Cleanup to transition from personal to centralized ALM pipelines before enforcing Zone 3 deployment standards.
Month 5: Testing and Validation
- Implement testing procedures (Control 2.5)
- Create test environment for Zone 3 agents
- Document bias testing requirements (Control 2.11)
- Conduct first model risk assessment (Control 2.6)
- Validate DLP policy effectiveness
Month 6: First Production Agents
- Deploy first Zone 3 agent with full governance
- Conduct governance committee review
- Document lessons learned
- Update procedures based on experience
- Conduct first quarterly governance review
Phase 1 Success Criteria
- Segregation of duties implemented for agent lifecycle
- Comprehensive audit logging with appropriate retention
- Governance committee operational with documented procedures
- At least one Zone 3 agent deployed with full governance
- Quarterly compliance reporting process established
- First quarterly governance review completed
Phase 1 Deliverables
| Deliverable | Owner | Due |
|---|---|---|
| Access control matrix | AI Governance Lead | Month 2 |
| Compliance reporting templates | Compliance Officer | Month 3 |
| Zone 3 approval workflow | AI Governance Lead | Month 4 |
| Testing procedures | QA Lead | Month 5 |
| First quarterly governance review | AI Governance Lead | Month 6 |
Phase 2: Advanced Governance (6-12 months)
Objectives
- Implement advanced security controls
- Enable adversarial testing program
- Integrate with Sentinel for advanced monitoring
- Achieve steady-state governance operations
Controls to Implement
| Control | Name | Priority | Owner |
|---|---|---|---|
| 1.6 | Microsoft Purview DSPM for AI | High | Purview Admin |
| 1.8 | Runtime Protection and External Threat Detection | High | Security Team |
| 1.19 | eDiscovery for Agent Interactions | High | Purview Admin |
| 1.22 | Information Barriers for AI Agents | Medium | Compliance Officer |
| 2.6 | Model Risk Management (OCC 2011-12) | Critical | CRO/Risk |
| 2.11 | Bias Testing and Fairness Assessment | High | AI Governance Lead |
| 2.16 | RAG Source Integrity Validation | High | AI Governance Lead |
| 2.20 | Adversarial Testing and Red Team Framework | High | Security Team |
| 3.9 | Microsoft Sentinel Integration | High | Security Team |
| 3.10 | Hallucination Feedback Loop | Medium | AI Governance Lead |
Quarterly Activities
Quarter 3 (Months 7-9): Advanced Security
- Deploy runtime protection for Zone 3 agents (Control 1.8)
- Configure DSPM for AI monitoring (Control 1.6)
- Implement eDiscovery procedures (Control 1.19)
- Enable information barriers if required (Control 1.22)
- Conduct security assessment of agent infrastructure
Automation Option
Deploy Deny Event Correlation Report to aggregate block events from Purview Audit, DLP, and Application Insights into a unified compliance view.
Quarter 4 (Months 10-12): Advanced Monitoring and Testing
- Integrate with Microsoft Sentinel (Control 3.9)
- Implement adversarial testing program (Control 2.20)
- Establish hallucination feedback loop (Control 3.10)
- Conduct comprehensive bias testing (Control 2.11)
- Complete annual governance review
- Document steady-state operations procedures
Phase 2 Success Criteria
- Runtime protection deployed for all Zone 3 agents
- Sentinel integration operational with analytics rules
- Adversarial testing program established
- Model risk management framework aligned with SR 11-7
- All 71 controls assessed and appropriately implemented
- Steady-state governance operations documented
Phase 2 Deliverables
| Deliverable | Owner | Due |
|---|---|---|
| Runtime protection deployment | Security Team | Month 9 |
| Sentinel analytics rules | SOC Team | Month 10 |
| Adversarial testing program | Security Team | Month 11 |
| Annual governance assessment | AI Governance Lead | Month 12 |
| Steady-state operations guide | AI Governance Lead | Month 12 |
Control Implementation Priority Matrix
Critical Path Controls
These controls should be implemented first as they enable other governance capabilities:
| Priority | Control | Dependency | Enables |
|---|---|---|---|
| 1 | 2.1 Managed Environments | None | All Zone 2-3 controls |
| 2 | 1.1 Restrict Publishing | 2.1 | Controlled agent deployment |
| 3 | 1.5 DLP and Labels | None | Data protection |
| 4 | 3.1 Agent Inventory | 1.1 | Monitoring, reporting |
| 5 | 1.7 Audit Logging | 2.1 | Compliance, eDiscovery |
| 6 | 2.8 Access Control | None | Segregation of duties |
Regulatory Priority by Institution Type
Broker-Dealers (FINRA/SEC):
- Control 2.12 (Supervision) — FINRA 3110
- Control 1.7 (Audit Logging) — FINRA 4511, SEC 17a-4
- Control 2.11 (Bias Testing) — SR 11-7, FINRA's Annual Regulatory Oversight Report
- Control 3.3 (Compliance Reporting) — Examination readiness
Banks (OCC/Fed):
- Control 2.6 (Model Risk Management) — OCC 2011-12, SR 11-7
- Control 2.11 (Bias Testing) — Fair lending
- Control 1.7 (Audit Logging) — Records requirements
- Control 1.5 (DLP) — GLBA 501(b)
Investment Advisers (SEC):
- Control 2.12 (Supervision) — Reg BI
- Control 2.19 (AI Disclosure) — Client communication
- Control 1.7 (Audit Logging) — SEC 17a-4
- Control 3.1 (Agent Inventory) — Examination readiness
Resource Planning
Estimated Effort by Phase
| Phase | Power Platform Admin | Compliance | Security | AI Governance Lead |
|---|---|---|---|---|
| Phase 0 | 40-60 hours | 20-30 hours | 10-20 hours | 60-80 hours |
| Phase 1 | 60-80 hours | 40-60 hours | 30-40 hours | 80-100 hours |
| Phase 2 | 40-60 hours | 30-40 hours | 60-80 hours | 60-80 hours |
Ongoing Operations (Post-Implementation)
| Activity | Frequency | Estimated Effort |
|---|---|---|
| Agent inventory review | Weekly | 2-4 hours |
| Compliance monitoring | Weekly | 4-8 hours |
| Governance committee | Monthly | 4-6 hours |
| Quarterly review | Quarterly | 8-16 hours |
| Annual assessment | Annual | 40-60 hours |
Risk Factors and Mitigations
| Risk | Impact | Mitigation |
|---|---|---|
| Insufficient executive sponsorship | Delayed implementation | Obtain board-level commitment before Phase 0 |
| Resource constraints | Extended timeline | Prioritize critical path controls |
| Rapid agent proliferation | Governance gaps | Implement publishing controls early (1.1) |
| Microsoft platform changes | Playbook updates required | Monitor Microsoft announcements, budget for updates |
| Regulatory examination | Compliance gaps exposed | Prioritize controls for your regulatory profile |
Governance Review Checkpoints
| Checkpoint | Timing | Focus | Participants |
|---|---|---|---|
| Phase 0 Review | Week 8 | Foundation readiness | AI Gov Lead, PP Admin, Compliance |
| Phase 1 Midpoint | Month 4 | Zone 3 readiness | Governance Committee |
| Phase 1 Review | Month 6 | Production readiness | Governance Committee, Executive Sponsor |
| Phase 2 Midpoint | Month 9 | Advanced controls | Governance Committee |
| Annual Review | Month 12 | Full assessment | Governance Committee, Board |
Automation Solutions
The FSI-AgentGov-Solutions repository provides ready-to-deploy automation for key controls:
| Solution | Phase | Controls Supported |
|---|---|---|
| Environment Lifecycle Management | Phase 0 | 2.1, 2.2, 2.15 |
| Message Center Monitor | Phase 0 | 2.3, 2.10 |
| Pipeline Governance Cleanup | Phase 1 | 2.3 |
| Deny Event Correlation Report | Phase 2 | 1.5, 1.7, 3.4 |
For detailed solution documentation, see Solutions Integration and Solutions Index.
Next Steps
- Assess Current State — Inventory existing agents and governance capabilities
- Assign Accountability — Identify AI Governance Lead and key stakeholders
- Customize Timeline — Adapt phases based on your organization's priorities
- Secure Resources — Obtain budget and staffing commitments
- Begin Phase 0 — Start with governance structure and core controls
FSI Agent Governance Framework v1.2.51 - February 2026