DocAve Governance Automation...

365
Administrator Guide DocAve ® Governance Automation 2 Service Pack 1 Issued March 2018

Transcript of DocAve Governance Automation...

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Administrator Guide

DocAve®

Governance Automation 2

Service Pack 1

Issued March 2018

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Table of Contents

What’s New in this Guide ........................................................................................................................... 12

About DocAve Governance Automation ..................................................................................................... 13

Submitting Documentation Feedback to AvePoint .................................................................................... 14

Understanding Governance Automation Terminology .............................................................................. 15

Supported Languages .................................................................................................................................. 16

Before You Begin ......................................................................................................................................... 17

Governance Automation Installation ...................................................................................................... 17

Getting Started ........................................................................................................................................ 17

Working with SharePoint ........................................................................................................................ 17

Working with Office 365 Groups ............................................................................................................ 17

Additional Configurations ....................................................................................................................... 18

Updating Previous Versions of Governance Automation ........................................................................... 19

Updating Your Governance Automation Instance .................................................................................. 19

Updating Governance Automation via DocAve Update Manager ...................................................... 19

Updating Governance Automation via AvePoint Update Manager ................................................... 20

Performing Additional Governance Automation Updates...................................................................... 24

Updating the Governance Automation Policy Bar Solution ............................................................... 24

Updating the Governance Automation Request Access Solution for SharePoint 2013 ..................... 25

Uninstalling and Re-enabling the Governance Automation SharePoint Workflow Integration

Solution ............................................................................................................................................... 26

Planning Your Governance Automation Installation .................................................................................. 27

Where should I install the Governance Automation Manager? ............................................................. 27

How many DocAve/Governance Automation servers do I need? .......................................................... 27

Which DocAve modules are required for Governance Automation? ..................................................... 28

What about SQL Server? ......................................................................................................................... 28

Enterprise-level Installation Recommendations ......................................................................................... 29

Installing Governance Automation on a Windows Network Load Balancing Cluster ............................. 31

Configuring Windows Network Load Balancing Cluster ..................................................................... 31

Installing Governance Automation on the Network Load Balancing Cluster ..................................... 33

Installing Governance Automation for High Availability ......................................................................... 33

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Configuring Windows Failover Clustering ........................................................................................... 34

Adding Servers to the Created Failover Cluster .................................................................................. 35

Configuring High Availability for Governance Automation ................................................................ 36

Installation Requirements ........................................................................................................................... 38

Minimum Server (Hardware) Requirements .......................................................................................... 38

DocAve 6 and Governance Automation Services on Same Server ..................................................... 38

Dedicated, Single-Instance SQL Server ............................................................................................... 38

Server Requirements for DocAve Agents ........................................................................................... 38

Supported Software ................................................................................................................................ 39

Required Permissions for Governance Automation Service Accounts ................................................... 40

Required Services on DocAve 6/Governance Automation Server .......................................................... 42

Adding Governance Automation to Your Anti-Virus Exclusion List ........................................................ 43

Ports Used by Governance Automation ................................................................................................. 43

Installation of Governance Automation ..................................................................................................... 44

Updating Your DocAve Version ............................................................................................................... 44

Installing Governance Automation ......................................................................................................... 44

Installing DocAve Update for Governance Automation ..................................................................... 45

Installing Governance Automation via the Installation Wizard .......................................................... 45

Unattended Installation .......................................................................................................................... 50

Generating the Answer File ................................................................................................................ 50

Importing the GovernanceAutomationUnattendedInstallation.dll File ............................................. 54

Installation Commands ....................................................................................................................... 54

Optional Governance Automation Installations ......................................................................................... 57

Installing the DocAve Governance Automation Web Part ..................................................................... 57

Deploying the DocAve Governance Automation Web Part Solution .................................................. 57

Inserting the Web Part into a SharePoint Site .................................................................................... 59

Installing the Governance Automation App for SharePoint 2013/SharePoint 2016 On-Premises ........ 61

Governance Automation App Pre-Installation Checklist .................................................................... 61

Required Permissions.......................................................................................................................... 61

Preparing the Environment to Host Apps ........................................................................................... 62

Running the App Package Installation Wizard .................................................................................... 65

Adding the Governance Automation App to a SharePoint Site .......................................................... 66

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Inserting Governance Automation App Part ...................................................................................... 67

Installing the Governance Automation App for SharePoint Online ........................................................ 68

Required Permissions.......................................................................................................................... 68

Preparing the Governance Automation App Package ........................................................................ 69

Uploading the Governance Automation App to App Catalog ............................................................. 70

Registering the Governance Automation App .................................................................................... 70

Building a Domain Mapping for Automatic Login ............................................................................... 71

Adding the Governance Automation App to a SharePoint Online Site .............................................. 72

Inserting Governance Automation App Parts ..................................................................................... 73

Deploying the Governance Automation Policy Bar Solution .................................................................. 73

Post-installation Procedures ....................................................................................................................... 75

Allowing Full Control Permission to the DocAve Private Key ................................................................. 75

Enabling the Service Account to Listen to the Governance Automation Workflow Service Port .......... 75

Changing the Certificate in IIS Manager ................................................................................................. 76

Applying User-Defined Certificates ......................................................................................................... 77

Applying a Governance Automation License .......................................................................................... 78

Logging into Governance Automation for the First Time ....................................................................... 78

Configuring Authentication Types .......................................................................................................... 78

Configuring AD Authentication ........................................................................................................... 78

Configuring ADFS Authentication ....................................................................................................... 79

Setting Windows Authentication as the Default Login Method ......................................................... 85

Configuring Azure AD Authentication ................................................................................................. 86

Configuring E-mail Notification Settings ................................................................................................. 86

Registering SharePoint Online Admin Centers/Site Collections ............................................................. 86

Turning off the Validation of SharePoint Online Users ........................................................................... 87

Configuring Language, Time Zone, Date/Time Format, and Office 365 Account Settings ..................... 87

Getting Started with Governance Automation ........................................................................................... 89

Configuring Account Manager ................................................................................................................ 89

Managing Governance Automation Groups ....................................................................................... 89

Managing Administrator Accounts ..................................................................................................... 90

Managing Business Users .................................................................................................................... 91

Creating New User Groups ................................................................................................................. 91

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Adding or Removing Users .................................................................................................................. 92

Synchronizing Authentication Configuration Changes to Governance Automation .......................... 92

Enabling a User Profile Service ............................................................................................................... 92

Retrieving User Information from a Custom Database ...................................................................... 93

Configuring Approval Process ................................................................................................................. 94

Creating or Editing Approval Processes .............................................................................................. 95

Building Customized Approval Processes ......................................................................................... 104

Configuring Policies ............................................................................................................................... 105

Creating or Editing Site Collection Policies ....................................................................................... 107

Creating or Editing Content Database Policies ................................................................................. 129

Creating or Editing Office 365 Group Policies ................................................................................... 131

Configuring Classic Mode Services ........................................................................................................ 135

Common Service Settings ................................................................................................................. 137

Create Site Collection Service ........................................................................................................... 144

Create Site Service ............................................................................................................................ 157

Create Library/List Service ................................................................................................................ 166

Create Office 365 Group Service ....................................................................................................... 171

Deploy Patterns Service .................................................................................................................... 175

Site Collection Lifecycle Management Service ................................................................................. 180

Site Lifecycle Management Service .................................................................................................. 184

Office 365 Group Lifecycle Management Service ............................................................................. 186

Change Site Collection Contact or Administrator Service ................................................................. 187

Change Site Contact Service ............................................................................................................. 189

Content Move Service ....................................................................................................................... 190

Change Site Collection Settings Service ............................................................................................ 199

Change Site Metadata Service .......................................................................................................... 200

Change Library/List Settings Service ................................................................................................. 202

Change Office 365 Group Settings Service ....................................................................................... 203

Grant Permissions Service ................................................................................................................ 205

Change Permissions Service .............................................................................................................. 208

Clone or Transfer User Permission Service ....................................................................................... 210

Manage Permissions Service ............................................................................................................. 213

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Custom Service .................................................................................................................................. 218

Configuring Dynamic Mode Services .................................................................................................... 221

Additional Governance Automation Configurations ................................................................................ 227

Importing Existing Objects .................................................................................................................... 227

Creating an Export Plan ..................................................................................................................... 227

Modifying the Scan Result File .......................................................................................................... 228

Importing the Configured Scan Result File ....................................................................................... 231

Configuring Metadata ........................................................................................................................... 232

Searching and Filtering Metadata ..................................................................................................... 232

Creating or Editing Metadata ............................................................................................................ 232

Deleting Metadata ............................................................................................................................ 237

Configuring Questionnaires .................................................................................................................. 237

Displaying and Searching Questionnaires ......................................................................................... 237

Creating or Editing Questionnaires ................................................................................................... 237

Activating, Deactivating, Copying, and Deleting Questionnaires ..................................................... 240

Configuring E-mail Templates ............................................................................................................... 240

Searching and Filtering E-mail Templates ......................................................................................... 241

Creating or Editing E-mail Templates ................................................................................................ 241

Deleting E-mail Templates ................................................................................................................ 242

Configuring Execution Schedules .......................................................................................................... 242

Displaying and Searching Execution Schedules ................................................................................ 242

Creating or Editing Execution Schedules .......................................................................................... 242

Deleting Execution Schedules ........................................................................................................... 243

Configuring Request Access Settings .................................................................................................... 243

Preparing SharePoint ........................................................................................................................ 243

Configuring Request Access Settings ................................................................................................ 245

Restarting IIS (for SharePoint 2010 Only) ......................................................................................... 246

Exporting and Importing Configuration Data........................................................................................ 246

Exporting Configuration Data ........................................................................................................... 246

Importing Configuration Data ........................................................................................................... 247

Configuring SharePoint Workflow Integration Settings........................................................................ 248

Starting Microsoft SharePoint Foundation Sandboxed Code Service ............................................... 248

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Displaying and Searching SharePoint Workflow Integration Profiles ............................................... 248

Creating or Editing SharePoint Workflow Integration Profiles ......................................................... 249

Deleting SharePoint Workflow Integration Profiles ......................................................................... 249

Creating SharePoint Workflows ........................................................................................................ 249

Hiding or Revealing Sections to Business Users .................................................................................... 255

Configuring Export Locations ................................................................................................................ 255

Searching Report Export Locations ................................................................................................... 255

Creating or Editing Export Locations ................................................................................................. 255

Deleting Export Locations ................................................................................................................. 256

Configuring SharePoint Permission Levels ............................................................................................ 256

Displaying and Searching Permission Levels ..................................................................................... 256

Creating or Editing Permission Levels ............................................................................................... 256

Deleting Permission Levels ............................................................................................................... 257

Configuring Administrator Notifications ............................................................................................... 257

Configuring the Timer Service ............................................................................................................... 258

Configuring System General Settings .................................................................................................... 260

Configuring Category Management ...................................................................................................... 260

Displaying and Searching Categories ................................................................................................ 260

Creating or Editing Categories .......................................................................................................... 261

Deleting Categories ........................................................................................................................... 261

Configuring Recertification Profiles ...................................................................................................... 261

Displaying and Searching Recertification Profiles ............................................................................. 261

Creating or Editing Recertification Profiles ....................................................................................... 261

Deleting Recertification Profiles ....................................................................................................... 267

Configuring Text Validation Rules ......................................................................................................... 267

Displaying and Searching Text Validation Rules ............................................................................... 267

Creating or Editing Text Validation Rules ......................................................................................... 267

Deleting Text Validation Rules .......................................................................................................... 268

Configuring Governance Automation Terminologies ........................................................................... 268

Configuring Custom Filter on My Sites ................................................................................................. 269

Configuring Active Directory Profiles .................................................................................................... 270

Displaying and Searching Active Directory Profiles .......................................................................... 270

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Creating or Editing Active Directory Profiles .................................................................................... 270

Deleting Active Directory Profiles ..................................................................................................... 271

Configuring Site Information Card ........................................................................................................ 271

Creating Azure Active Directory Applications ....................................................................................... 272

Via the Governance Automation Configuration Tool ....................................................................... 272

Via Azure Portal................................................................................................................................. 273

Configuring App Profiles ....................................................................................................................... 278

Creating App Profiles ........................................................................................................................ 278

Re-authorize an App ......................................................................................................................... 279

Deleting an App Profile ..................................................................................................................... 279

Modifying Governance Automation Configuration Settings after Installation ......................................... 280

Re-registering Governance Automation after Uninstalling DocAve ..................................................... 280

Monitoring and Reporting ........................................................................................................................ 281

Monitoring All Requests........................................................................................................................ 281

Monitoring All Tasks.............................................................................................................................. 282

Approving or Rejecting Requests ...................................................................................................... 282

Reassigning Tasks .............................................................................................................................. 283

Managing Automatic Site Collection Lifecycle Management Tasks ................................................. 284

Managing Automatic Office 365 Group Lifecycle Management Tasks ............................................. 285

Managing Clone or Transfer User Permissions and Manual Archive Tasks ...................................... 286

Managing Change Permissions Tasks ............................................................................................... 287

Managing Quota Threshold Tasks ..................................................................................................... 290

Managing Content Database Policy Threshold Warning Task .......................................................... 290

Managing Election Tasks ................................................................................................................... 291

Managing Error Tasks ........................................................................................................................ 291

Monitoring All Recertification Assignments ......................................................................................... 291

Permission Recertification Tasks ...................................................................................................... 292

Metadata Recertification Tasks ........................................................................................................ 294

Ownership Recertification Tasks ....................................................................................................... 295

Audit Reports ........................................................................................................................................ 295

User Activity Report .......................................................................................................................... 296

Service Request Report ..................................................................................................................... 297

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Approval Process Report ................................................................................................................... 298

Administration Reports ......................................................................................................................... 299

Site Collection Report ....................................................................................................................... 299

Site Report ........................................................................................................................................ 305

Content Database Report ................................................................................................................. 307

Office 365 Group Report ................................................................................................................... 308

Dashboard ............................................................................................................................................. 310

Creating a Chart ................................................................................................................................ 310

Editing a Chart ................................................................................................................................... 311

Refreshing Charts .............................................................................................................................. 311

Generating a Chart ............................................................................................................................ 311

Deleting a Chart ................................................................................................................................ 311

Public Site Collection Directory ............................................................................................................. 311

Managing Public Site Collection Directory Report ............................................................................ 312

Filtering Public Site Collection Directory Report ............................................................................... 312

Exporting Public Site Collection Directory Report ............................................................................ 313

My Sites ................................................................................................................................................. 313

Managing My Sites Reports .............................................................................................................. 313

Filtering My Sites Reports ................................................................................................................. 314

Exporting My Sites Reports ............................................................................................................... 314

Starting a Request for a Site Collection or Site ................................................................................. 314

Working with Requests and To-Do Lists ................................................................................................... 316

Starting a Request ................................................................................................................................. 316

Viewing My Requests ............................................................................................................................ 317

Submitted Requests .......................................................................................................................... 317

Saved Requests ................................................................................................................................. 318

Viewing My To-Do List .......................................................................................................................... 319

Viewing My Tasks .............................................................................................................................. 319

Viewing My Recertification Report ................................................................................................... 320

Changing Branding Elements in Governance Automation ....................................................................... 321

Changing the Title Style ........................................................................................................................ 323

Changing the Logo and Logo URL .......................................................................................................... 325

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Changing the Title Bar Color ................................................................................................................. 327

Changing the Navigation Bar Color ....................................................................................................... 327

Changing the Table Style ....................................................................................................................... 329

Changing the System Name Image on Login Page ................................................................................ 331

Changing the System Logo Image on Login Page .................................................................................. 332

Changing the About Background Image ............................................................................................... 334

Changing the Governance Automation App Logo ................................................................................ 336

Changing the Site Information Card Logo ............................................................................................. 336

Integration with Governance Automation Mobile App ............................................................................ 337

Enabling Governance Automation QR Code ......................................................................................... 337

Enabling Task Link Redirection .............................................................................................................. 337

Switching Farms for Disaster Recovery ..................................................................................................... 339

Configuring the Farm Name and Farm ID ............................................................................................. 339

Getting the Farm Name and Farm ID of the Production Farm ......................................................... 339

Modifying the Farm Name and Farm ID in the Disaster Recovery Farm .......................................... 339

Generating the Mapping Files ............................................................................................................... 340

Switching the Farm ............................................................................................................................... 340

Governance Automation Web API SDK ..................................................................................................... 342

Appendix A: Supported Variable Roles ..................................................................................................... 343

Appendix B: Configuring a Filter Policy ..................................................................................................... 346

Configuring Filter Policy to Use DocAve Granular Backup .................................................................... 346

Configuring Filter Policy to Use Audit Controller in DocAve Report Center ......................................... 346

Configuring Filter Policy to Use Deactivated Account Cleaner in DocAve Administrator .................... 347

Appendix C: Configuring DocAve 6 Archiver Profiles ................................................................................ 349

Appendix D: Configuring DocAve Deployment Manager Plans ................................................................ 352

Creating a Deployment Mapping .......................................................................................................... 352

Creating a Deployment Plan ................................................................................................................. 354

Appendix E: Configuring a Policy Enforcer Profile .................................................................................... 355

Configuring a Source Collection Policy.................................................................................................. 355

Creating a Policy Enforcer Profile ......................................................................................................... 356

Appendix F: Configuring a Usage Pattern Alerting Plan ............................................................................ 357

Appendix G: Building the Communication between Governance Automation and K2 Workflow ........... 359

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Appendix H: Web API for K2 Workflow Integration.................................................................................. 361

Appendix I: Dynamic Mode Service Sections ............................................................................................ 362

Notices and Copyright Information .......................................................................................................... 365

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What’s New in this Guide

• Added the Before You Begin section.

• Added the Configuring Azure AD Authentication section.

• Added the Creating Azure Active Directory Applications section.

• Added the Configuring App Profiles section.

• Added the Creating or Editing Office 365 Group Policies section.

• Added the Create Office 365 Group Service section.

• Added the Office 365 Group Lifecycle Management Service section.

• Added the Change Office 365 Group Settings Service section.

• Added the Office 365 Group Report section.

• Renamed the Import Existing Site Collections and Sites feature to Import Existing Objects, and added information about import existing Office 365 groups in the Importing Existing Objects section.

• Updated the Monitoring All Tasks section to include information about tasks generated from the services related to Office 365 groups.

• Updated Appendix A: Supported Variable Roles to include the following roles: $Primary Group Contact, $Secondary Group Contact, $Office 365 Group Owners, and $Office 365 Group Metadata ("Metadata Name").

• Added information about supporting Windows Server 2016.

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About DocAve Governance Automation

Traditionally, administrators create SharePoint objects or manage their data in SharePoint manually by

following a series of requirements. The number of human interactions that occur in business processes

can inhibit speed and the quality of decisions.

Governance Automation provides ways to create and govern your SharePoint 2010/SharePoint

2013/SharePoint 2016/SharePoint Online objects and Office 365 groups automatically by submitting rich

and customizable predefined service requests, which can trigger corresponding approval processes and

policies to accomplish the processes. This automation results in more speed, overall effectiveness of the

interactions and often a reduction in errors.

This documentation is for administrators to leverage Governance Automation for the automated, end-

to-end service and information management; if you are a business user of Governance Automation,

refer to the DocAve Governance Automation User Guide for Business Users.

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Submitting Documentation Feedback to AvePoint

AvePoint encourages customers to provide feedback regarding our product documentation. Click the

following URL to access the Submit Your Feedback form on our Web site:

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Understanding Governance Automation Terminology

If you are new to Governance Automation, it may be helpful to review the Key Terms list to familiarize

yourself with terms such as “service”, “policy”, and “approval process”, which will be used throughout

this user guide.

Once you have familiarized yourself with Governance Automation terminology, it is important to

understand how the different features and functionalities work together. This knowledge is essential to

properly configure the software for your organization.

In Governance Automation, administrators can set up services that perform SharePoint or DocAve

operations. These services can be made available to only the relevant purposes so that they can be

customized to be most effective for each purpose. A Service may have a policy associated with it so that

if your organization has specific rules on certain SharePoint operations, you can ensure that all services

with the same associated policy will be compliant to your organization’s standards. Services will also

have at least one approval process configured so that when a user submits a request for a specific

service, the appropriate parties (such as the user’s manager) are notified and can provide the necessary

approval. Once the service request has been fully approved, Governance Automation performs the

SharePoint and/or DocAve processes according to the customized settings configured for that service.

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Supported Languages

The table below lists the languages that are supported in Governance Automation Web site, Governance

Automation Web Part, and Governance Automation App/app parts.

Governance Automation Web Site

Governance Automation Web Part

Governance Automation App/App Parts (Title and Description)

Governance Automation App/App Parts (Context)

English Supported Supported Supported Supported

Japanese Supported Supported Supported Supported

French Supported Supported Supported Supported

German Supported Supported Supported Supported

Chinese (Simplified)

Supported Supported Unsupported Supported

Spanish Supported Supported Unsupported Supported

Korean Supported Supported Unsupported Supported

Polish Supported Supported Unsupported Supported

Portuguese Supported Supported Unsupported Supported

Russian Supported Supported Unsupported Supported

Turkish Supported Supported Unsupported Supported

Dutch Supported Supported Unsupported Supported

Italian Supported Supported Unsupported Supported

Hindi Supported Supported Unsupported Supported

Note the following:

• Governance Automation Web Site – The display language of Governance Automation Web site will be the one selected in Governance Automation personal settings.

• Governance Automation Web Part – The display language of Governance Automation Web Part will be the one selected in Governance Automation personal settings.

• Governance Automation App/App Parts (Title and Description) – The display language of Governance Automation App/app parts (title and description) depends on the display language of the SharePoint site. If the display language is none of the four supported languages, it will be displayed as English.

• Governance Automation App/App Parts (Context) – The display language of Governance Automation App/app parts (context) depends on the display language of the SharePoint site. If the display language is none of the fourteen languages listed in the table above, it will be displayed as the language selected in Governance Automation personal settings.

• Except for English, Japanese, French, and German, other languages are translated by Bing. For more information, see the Supported Languages section.

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Before You Begin

Prior to installing and using Governance Automation, refer to the sections below for an overview.

Governance Automation Installation

Refer to the sections below:

• Planning Your Governance Automation Installation

• Enterprise-level Installation Recommendations

• Installation Requirements

• Installation of Governance Automation

• Optional Governance Automation Installations

• Post-installation Procedures

Getting Started

Refer to the sections below:

• Configuring Account Manager

• Enabling a User Profile Service

Working with SharePoint

To achieve provisioning, lifecycle management, content management, setting management, and

security management for SharePoint, follow the steps below in order. Click the link to jump to the

corresponding section.

1. Configuring Approval Process

2. Creating or Editing Site Collection Policies

3. Configuring Classic Mode Services or Configuring Dynamic Mode Services

Working with Office 365 Groups

To achieve provisioning, lifecycle management, and setting management for Office 365 groups, follow

the steps below in order. Click the link to jump to the corresponding section.

1. Creating Azure Active Directory Applications

2. Configuring App Profiles

3. Configuring Approval Process

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4. Creating or Editing Office 365 Group Policies

5. Configure services:

• Create Office 365 Group Service

• Office 365 Group Lifecycle Management Service

• Change Office 365 Group Settings Service

Additional Configurations

Refer to the sections below:

• Additional Governance Automation Configurations

• Modifying Governance Automation Configuration Settings after Installation

• Monitoring and Reporting

• Working with Requests and To-Do Lists

• Changing Branding Elements in Governance Automation

• Integration with Governance Automation Mobile App

• Switching Farms for Disaster Recovery

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Updating Previous Versions of Governance Automation

Governance Automation Service Pack 2 is the minimum version required to directly update to

Governance Automation 2 Service Pack 1. If your version of Governance Automation is not Governance

Automation 2, you must perform direct updates, from your current version to next version, until your

Governance Automation is Governance Automation 2. If you require assistance with updating

Governance Automation, contact AvePoint Technical Support at: [email protected].

Before you update to Governance Automation 2 Service Pack 1, be sure that you have followed the

instructions in Updating Your DocAve Version.

After updating DocAve, proceed with the Governance Automation update procedure described below.

*Note: Once you update your Governance Automation to Governance Automation 2 Service Pack 1,

Governance Automation will terminate pending tasks in Service Pack 4 or in earlier versions. AvePoint

strongly recommends that you inform the business users to complete those pending tasks before you

perform the update.

Updating Your Governance Automation Instance

This procedure assumes that you have met the conditions described in Updating Your DocAve Version

and that you have already downloaded the DocAve_Governance_Automation_2.1_UpgradePackage.zip

file. Extract the DocAve_Governance_Automation_2.1_UpgradePackage.zip file. You will see the

following ZIP files in the DocAve_Governance_Automation_2.1_UpgradePackage folder:

• DocAve_Governance_Automation_2.1_Update_Manager.zip

• DocAve_Governance_Automation_2.1_Upgrade_Tool.zip

Complete the following steps to update your Governance Automation instance.

1. Extract the DocAve_Governance_Automation_2.1_Upgrade_Tool.zip file or the DocAve_Governance_Automation_2.1_Update_Manager.zip file.

2. Go to the DocAve Control Panel > Update Manager, and install the DocAve_Update_for_Governance_Automation_2.1.zip update that is located in the extracted folder. This update ensures proper communication between DocAve and Governance Automation. For more information about how to install this update, refer to Installing DocAve Update for Governance Automation.

3. Updating Governance Automation via DocAve Update Manager or Updating Governance Automation via AvePoint Update Manager.

Updating Governance Automation via DocAve Update Manager

This section explains how to update Governance Automation via DocAve Control Panel > Update

Manager. Complete the following steps:

1. Log into DocAve 6 Manager, and navigate to DocAve Control Panel > Update Manager.

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2. On the Manage Updates interface, click Browse. Find and load the DocAve_Governance_Automation_2.1.zip file into DocAve Manager.

3. Select the update and click Install on the ribbon.

4. In the Server Selection window, click the Governance Automation tab, and then select the Governance Automation servers that you are about to update.

5. Click Install. After the installation completes, the Update Manager interface appears. A message appears indicating that the installation was successful.

6. To verify that the update was applied successfully, navigate to Control Panel > Update Manager > View History and check the Version and Date columns of the newly installed update.

Updating Governance Automation via AvePoint Update Manager

This section explains how to update Governance Automation using the AvePoint Update Manager tool.

To use this tool, run the tool on the Governance Automation server. The user running this tool must be a

member of the local Administrators group on the Governance Automation server.

*Note: During the update process, the Governance Automation application pool will be restarted. While

the application pool restarts, access to the Governance Automation Web site will be interrupted.

Launching the AvePoint Update Manager

The AvePoint Update Manager tool is included in your Governance Automation update package. Follow

the steps below to launch this tool:

1. In the DocAve_Governance_Automation_2.1_UpgradePackage folder, extract the DocAve_Governance_Automation_2.1_Upgrade_Tool.zip file.

2. In the DocAve_Governance_Automation_2.1_Upgrade_Tool folder, double-click the RunUpgrade.bat file to start the AvePoint Update Manager. The Requirement Pre-Scan interface for updating Governance Automation appears, and the Requirement Pre-Scan starts automatically. For details on the Requirement Pre-Scan, refer to Running the Requirement Pre-Scan.

Running the Requirement Pre-Scan

In the Requirement Pre-Scan interface, the AvePoint Update Manager automatically scans your

environment to ensure the following requirements are met:

• Net.TCP Port Sharing Service is running – This requirement ensures that the Net.TCP Port Service is running. This service ensures that communication between the CommonPatchInstaller.exe and the AvePoint Update Manager occurs, so that the update process will be executed.

• Checking if the Governance Automation services are installed on this server – This requirement ensures that the Governance Automation Web site, Governance Automation Timer Service, and Governance Automation Workflow Service are installed on the Governance Automation server.

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• Checking if the adapter file for Governance Automation Web site is installed – This requirement ensures that Governance Automation Web site adapter is installed on the current server. The AvePoint Update Manager uses this adapter to retrieve information from Governance Automation Web site.

You cannot advance to the next step if any of the requirements have a Status of Failed. If any of the

requirements have a Failed status, update your environment and then click Retry Scan to scan your

environment again.

Once all of the requirements have the Passed status, click Continue to access the Configure Service

Connection interface. Proceed to the next section in this guide.

Configuring Service Connection Settings

In the Configure Service Connections interface, configure the following settings for the communication

between the AvePoint Update Manager and the Governance Automation server:

1. Local Host – The local host is automatically displayed in the text box. If you have multiple Governance Automation instances installed in different domains. Enter the IP address of the current server.

2. Service Host – Not applicable to Governance Automation. Use the default value.

3. Service Port – The port of your Governance Automation. The default value is 15000.

4. Click Continue to go to the Governance Automation tab. Proceed to the next section in this guide.

Installing a Governance Automation Update

The Upgrade interface provides a wizard for installing a Governance Automation update on the

Governance Automation server. To install a Governance Automation update, complete the following

steps:

1. Click the Upgrade tile or click the Upgrade tab on the ribbon to access the wizard.

2. In the Patch Selection interface, you will import the update and select the update for updating Governance Automation.

a. Click Import Patch. The Open window appears.

b. Select the DocAve_Governance_Automation_2.1.zip update that is located in the

DocAve_Governance_Automation_2.1_Upgrade_Tool folder, and click Open. The

AvePoint Update Manager will import the selected update to the Patch Storage

Location configured in the Update Settings interface. After the selected update is

successfully imported, you can view the detailed information of the imported update in

the viewing pane, including the patch name, type, version, size, and last installation

time.

o To view the product versions that can be updated via installing an update, select the update and click Supported Versions on the ribbon. A window appears, listing the supported product versions of the selected update.

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o To delete an imported update, select the update and click Delete Patch on the ribbon. The update stored in the Patch Storage Location will be deleted.

c. Select the update that you are about to install.

d. Click Next.

3. In the Service Selection interface, all of the installed Governance Automation instances are displayed in the viewing pane. Select the Governance Automation instances you are about to update and click Next.

4. In the Overview interface, the selected update and Governance Automation instances are displayed. Review your selections and click Install to start the update installation.

5. In the Installation Process interface, the installation progress is displayed via the progress bar. In the viewing pane, you can view the installation progress of each Governance Automation instance.

To view the details of the installation progress of a specific Governance Automation instance,

click View Details in the Action column of the corresponding instance and view the details in the

pop-up window.

6. Click Next.

7. In the Installation Complete interface, perform one of the following operations:

• Click Finish to exit the AvePoint Update Manager.

• Click Continue Upgrade to go to the Patch Selection interface of the Upgrade wizard for updating other Governance Automation instances.

• Click Go to Governance Automation to go to the Governance Automation tab.

Viewing Update History

After you have installed or attempted to install the update to update Governance Automation, you can

view the update history of Governance Automation and the installation history of imported updates in

the View History interface.

To access View History, click the View History tile in the Governance Automation tab or click View

History on the ribbon. There are two tabs in the View History interface:

• Patch – On this tab, all of the updates you have installed or attempted to install are displayed, including the patch name, type, version, size, and last installation time of each update.

To view the installation history of an update, complete the following steps:

i. Click View History in the Action column of an update.

ii. The Installation History interface for the update appears. All of the Governance

Automation instances where this patch has been installed or attempted to

install are displayed.

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iii. To view the details of the installation progress of the update on a specific

Governance Automation instance, click View Details in the Action column.

iv. The Installation History interface for the instance appears. The details of the

installation process are displayed.

• Service – On this tab, all of the Governance Automation instances you have updated or attempted to update are displayed, including the service host, service port, current version, service type, and status of each instance.

To view the update history of a specific Governance Automation instance, complete the

following steps:

i. Click View History in the Action column of an instance.

ii. The Update Service History interface for the instance appears. All of the

updates you have installed or attempted to install on this instance are

displayed.

iii. To view the details of the installation process of a specific update, click View

Details in the Action column.

iv. The Update Service History interface for the instance appears. The details of the

installation process are displayed.

Configuring Update Settings

The Update Settings interface allows you to view and customize the general settings in the AvePoint

Update Manager.

To access Update Settings, click the settings ( ) button at the upper-right corner of the Governance

Automation tab. In the Update Settings interface, you can view the following settings:

• Patch Storage Location – The location to store the update patches imported from the local system. The default path is in the …\DocAve_Governance_Automation_2.1\DocAve_Governance_Automation_2.1\UpdateManager\PatchFolder\GovernanceAutomation directory.

• Update Port – The port used to communicate with the Governance Automation server during the update processes. The default update port is 14007.

You can use the default Update Settings, or customize these Update Settings by completing the

following steps:

1. Patch Storage Location – Select the desired location to store the update patches imported from the local system by completing the following steps:

a. Click Browse. The Browse For Folder window appears.

b. Select the desired folder and click OK.

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*Note: You must ensure the current logon user has Write permissions in the selected

folder.

2. Update Port – Enter the desired port into the Update Port text box for communicating with the Governance Automation server during the update processes and click Test to verify whether the entered port is available.

3. Click Save to save the configurations.

Performing Additional Governance Automation Updates

If you deployed Governance Automation solutions in Governance Automation 2, note the following:

• If you deployed the GAPolicyBar.wsp solution (for Site Policy Bar), you must update this solution after you update your Governance Automation instance to Governance Automation 2 Service Pack 1. For more information, refer to Updating the Governance Automation Policy Bar Solution.

• If you deployed the GARequestAccessSP2013.wsp solution (for the Request Access feature in SharePoint 2013) and you want to apply this feature to site collections with the experience version of SharePoint 2010, you must update this solution after you update your Governance Automation instance to Governance Automation 2 Service Pack 1. For more information, refer to Updating the Governance Automation Request Access Solution for SharePoint 2013.

• If you deployed the GASPWorkflowIntegration.wsp solution (for integration between Governance Automation and SharePoint workflows), follow the steps in the Uninstalling and Re-enabling the Governance Automation SharePoint Workflow Integration Solution section after you update your Governance Automation instance to Governance Automation 2 Service Pack 1.

Updating the Governance Automation Policy Bar Solution

After updating Governance Automation, you must update the GAPolicyBar.wsp solution if you deployed

the solution before the Governance Automation update.

Complete the following steps:

1. On the SharePoint Web front-end server where you deployed the GAPolicyBar.wsp solution, navigate to SharePoint 2010 Management Shell or SharePoint 2013 Management Shell. Right-click it and select Run as administrator.

2. Enter the following command:

stsadm –o upgradesolution –name "GAPolicyBar.wsp" -filename "C:\Program

Files\AvePoint\GovernanceAutomation\SharePoint Solutions\GAPolicyBar.wsp" -

immediate –allowgacdeployment

*Note: Replace C:\Program Files\AvePoint\GovernanceAutomation\SharePoint

Solutions\GAPolicyBar.wsp with the path where the solution is stored.

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3. Press Enter. You will see the message Operation completed successfully when the solution is successfully updated. Close the SharePoint Management Shell window.

Updating the Governance Automation Request Access Solution for

SharePoint 2013

After updating Governance Automation, you must update the solution GARequestAccessSP2013.wsp if

the following circumstances are true:

• You deployed the solution before the Governance Automation update.

• You want to apply the request access feature to site collections with the experience version of SharePoint 2010.

To update the solution, complete the following steps:

1. On the SharePoint Web front-end server where you deployed the solution GARequestAccessSP2013.wsp, navigate to SharePoint 2013 Management Shell. Right-click the management shell and select Run as administrator.

6. Enter the following command:

stsadm –o upgradesolution –name "GARequestAccessSP2013.wsp" -filename

"C:\Program Files\AvePoint\GovernanceAutomation\SharePoint

Solutions\GARequestAccessSP2013.wsp" -immediate –allowgacdeployment

*Note: Replace C:\Program Files\AvePoint\GovernanceAutomation\SharePoint

Solutions\GARequestAccessSP2013.wsp with the path where the solution is stored.

7. Press Enter. You will see the message Operation completed successfully when the solution is successfully updated. Close the SharePoint 2013 Management Shell window.

8. Navigate to C:\Program Files\Common Files\Microsoft Shared\Web Server Extensions\15\TEMPLATE\LAYOUTS\GA.

9. Right-click the AccessDenied.aspx file and select Copy.

10. Navigate to C:\Program Files\Common Files\Microsoft Shared\Web Server Extensions\15\TEMPLATE\LAYOUTS and paste the copied .aspx file into this directory.

11. Navigate to C:\Program Files\Common Files\Microsoft shared\Web Server Extensions\15\TEMPLATE\LAYOUTS\GA\Experience_Version10.

12. Right-click the AccessDenied.aspx file and select Copy.

13. Navigate to C:\Program Files\Common Files\Microsoft Shared\Web Server Extensions\14\TEMPLATE\LAYOUTS and paste the copied .aspx file into this directory.

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Uninstalling and Re-enabling the Governance Automation SharePoint

Workflow Integration Solution

After updating Governance Automation, you must uninstall and then re-enable the

GASPWorkflowIntegration.wsp solution if you deployed the solution before the Governance

Automation update.

Updating the solution requires the original solution to be deleted first. Deleting the solution will

automatically delete the following lists work for SharePoint workflow integration: Service Request,

Request Metadata, My Site Bulk Data, Content Move Mapping, and Security Groups. If desired, you

can back up the data within these lists before performing the solution deletion.

Complete the following steps:

1. Navigate to a SharePoint Workflow integration site > Site Settings > Web Designer Galleries > Solutions.

*Note: The SharePoint Workflow integration site is the site collection or site that you defined

when Creating or Editing SharePoint Workflow Integration Profiles.

2. Select the GASPWorkflowIntegration solution and click Deactivate on the ribbon.

3. Select the GASPWorkflowIntegration solution and click Delete on the ribbon.

4. Navigate to Governance Automation Settings > SharePoint Workflow Integration Management, and create a new SharePoint workflow integration profile for the original SharePoint workflow integration site or for a new site. The new solution will be deployed to the site collection of the SharePoint workflow integration site, and the workflow related lists will be created in the SharePoint workflow integration site. For details about creating SharePoint workflow integration profiles, refer to Creating or Editing SharePoint Workflow Integration Profiles.

5. Navigate to Approval Process Management and select the approval process in which the Integrate with SharePoint Workflow option has been enabled.

6. Click Deactivate on the ribbon and click OK to deactivate the selected approval process.

7. Select the approval process and click Edit on the ribbon.

8. Navigate to Approval Process Stages > Integrate with SharePoint Workflow and select the newly created SharePoint workflow integration profile from the drop-down list.

9. Click Save and Activate on the ribbon to save and activate the approval process.

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Planning Your Governance Automation Installation

Governance Automation provides for several installation scenarios that depend upon the size of your

organization. This guide provides both minimum and recommended specifications and configurations

for small- and large-scale deployments. Before proceeding, note the following:

• To install Governance Automation, DocAve 6 (Manager and Agents) must be installed first. For more information on installing DocAve 6, refer to the DocAve 6 Installation Guide.

• Ensure that your versions of DocAve 6 and Governance Automation are compatible. Refer to the AvePoint KB article AvePoint Product Compatibility Matrix for more information.

Where should I install the Governance Automation Manager?

To minimize network calls, the Governance Automation Manager should always be installed on the

same server as the DocAve Control Service, Media Service, and if applicable, the Report Service. Note

that this may require you to increase your server (hardware) specifications, so carefully review the

information in Minimum Server (Hardware) Requirements.

How many DocAve/Governance Automation servers do I need?

Governance Automation is an end-user-facing application, so for high availability and load balancing

purposes, you should always plan for at least two DocAve/Governance Automation servers in your

production environment. For more information about how to install Governance Automation for high

availability and load balancing, refer to Installing Governance Automation on a Windows Network Load

Balancing Cluster and Installing Governance Automation for High Availability.

Note that larger Enterprise environments should plan on additional Governance Automation servers. As

a general rule, each DocAve/Governance Automation server can handle about 300 concurrent requests.

AvePoint’s recommendation is that for environments with more than 200,000 users, three (3)

DocAve/Governance Automation servers should be used.

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Which DocAve modules are required for Governance

Automation?

At a minimum, you must be running DocAve 6 Administrator to use Governance Automation.

What about SQL Server?

For all Governance Automation installations, AvePoint recommends a separate dedicated, single-

instance SQL Database. Note that SQL Server clustering is not mandatory but is recommended for high

availability purposes.

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Enterprise-level Installation Recommendations

To minimize network calls between DocAve 6 and Governance Automation, the DocAve Manager and

Governance Automation Manager should always be installed on the same server. DocAve Agents should

be installed on multiple SharePoint Web Front-end servers of a specific farm. This automatically

achieves load balancing and high availability on the Application level, which means that:

• The DocAve Agent service will automatically choose which Media services will distribute jobs according to CPU and memory utilization of the servers that have Media services installed on them (load balancing).

• The DocAve Control service will automatically choose which Agent services will execute the Governance Automation jobs according to CPU and memory utilization of the servers that have Agent services installed on them (load balancing).

• The DocAve Media service will automatically switch to a standby Media service if the primary Media service goes down (HA).

Figure 1: Diagram of load balanced DocAve and Governance Automation Managers and Agents.

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Load Balancer for AvePoint Managers(Windows Network Load Balancing Cluster)

AvePoint ManagerDocAve 6 Manager- DocAve 6 Control Service- DocAve 6 Report Service- DocAve 6 Media ServiceGovernance Automation Manager

AvePoint ManagerDocAve 6 Manager- DocAve 6 Control Service- DocAve 6 Report Service- DocAve 6 Media ServiceGovernance Automation Manager

DocAve and Governance Automation Manager with Network Load Balancing

SharePoint Web ServerDocAve 6 Agent Installed- Governance Automation Agent Type

SharePoint Web ServerDocAve 6 Agent Installed- Governance Automation Agent Type

3

SharePoint Farm with DocAve Agents

1

6

5

4

2

DocAve / Governance Automation Communication1. User interacts with GA UI through load balanced GA URL. 2. Communication is redirected from the load balancer to the GA Manager Server3. In order to perform actions, e.g. provisioning, GA Manager communicates with DA 6 Control Service4. DA6 Control Service communicates with DA6 Agent that has the GA Agent Type and performs action.5. DA6 Agent reports back to DA6 Control Service with Job status.6. DA6 Control Service reports back to GA Manager with Job status.

Figure 2: Diagram of network load balanced communications between DocAve and Governance Automation.

To achieve load balancing and HA failover on the System level (load balancing and HA failover of

clustered servers), follow the instructions listed in the sections below. Note that a Network Load

Balancing cluster provides high availability at a limited level by detecting the status of the clustered

server: if one clustered server fails, the network traffic will be immediately distributed to another server

within that cluster. However, as is the case with all user-facing applications, a Windows Failover Cluster

is also recommended in the event that all servers in a Network Load Balancing cluster go down.

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Installing Governance Automation on a Windows Network Load

Balancing Cluster

A Network Load Balancing cluster can enhance the accessibility of Governance Automation by

distributing the network traffic to the clustered servers that have Governance Automation installed on

them.

Refer to the sections below for instructions on installing Governance Automation on a Windows

Network Load Balancing cluster.

Configuring Windows Network Load Balancing Cluster

Make sure Windows Server 2008 or above is installed on the servers you are about to have in a Network

Load Balancing cluster. The following instructions show how to install and configure the Windows

Network Load Balancing cluster on Windows Server 2012.

Installing Windows Network Load Balancing Feature

Complete the following steps to install the Windows Network Load Balancing feature on Windows

Server 2012.

1. On any server that will be in the Network Load Balancing cluster, navigate to Start > Administrative Tools > Server Manager.

2. Click Add Roles and Features on the left pane to run Add Roles and Features Wizard.

3. In the Before you begin page, click Next to proceed to the next step.

4. Select Role-based or feature-based installation as the Installation Type. Click Next.

5. In the Server Selection interface, select Select a server from the server pool and then select the current server from the loaded server list.

6. Click Next to proceed to the next step. The Server Role interface appears. Click Next.

7. Select Network Load Balancing from the Feature list. In the pop-up window, click Add Feature.

8. Click Next to proceed to the next step.

In the Confirmation interface, deselect the Restart the destination server automatically if

required. checkbox, as the Network Load Balancing feature does not require a server restart.

Click Install to start installing the Network Load Balancing feature.

9. Click Close to exit this wizard when the installation process ends.

10. On the server where the Network Load Balancing feature is installed, turn off the firewall state of the DocAve and Governance Automation ports.

Complete the following steps to turn off the firewall state of these ports.

a. Navigate to Start > All Programs > Control Panel > Windows Firewall > Advanced

settings.

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b. Right-click Inbound Rule in the left pane and click New Rule. The New Inbound Rule

Wizard interface appears.

c. In the Rule Type interface, select Port as the rule type. Click Next. The Protocol and

Ports interface appears.

d. Select TCP as the protocol and Specific local ports to apply this rule to. Enter the

DocAve ports including the Control service port, the Media service port, the Media

service data port, the Report service port and the Agent port as well as the Governance

Automation port. For example, 14000, 14001, 14002, 14003, 14004, and 15000. Click

Next.

e. In the Action interface, select Allow the connection as the action to take when a

connection matches the specified condition. Click Next. The Profile interface appears.

f. Select the Domain checkbox to apply this rule to the domain profile.

g. Click Next to proceed to the next step.

h. Enter a rule name and an optional Description, if desired.

i. Click Finish to exit the wizard.

11. On the server where the Network Load Balancing feature is installed, navigate to Start > All Programs > Administrative Tools > Services. Ensure the status of the Computer Browser service is started.

*Note: Repeat the steps above to install the Network Load Balancing feature on each server in which

you will configure the Network Load Balancing.

Creating a New Network Load Balancing Cluster

Complete the following steps to create a new Network Load Balancing cluster:

1. On a server where you have installed the Network Load Balancing feature, navigate to Start > All Programs > Network Load Balancing Manager.

2. Right-click Network Load Balancing Cluster in the left pane and click New Cluster.

3. In the Host text box, enter the IP address of the current server in which you are logging and then click Connect.

4. Click Next to proceed to the next step.

5. Click Next to view the New Cluster: Cluster IP Address interface.

6. Click Add… to view the Add IP Address interface.

7. Enter your desired IP address that will be used as the cluster IP.

8. Click OK to go back to the New Cluster: Cluster IP Address interface.

9. Click Next and select Unicast as the Cluster operation mode in the Cluster Parameters interface.

10. Click Next to enter the Port Rules interface.

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11. Click Add…; the Add/Edit Port Rule window appears.

12. Select Multiple host in the Filtering mode section and click OK.

13. Click Finish in the Port Rules interface. The new Network Load Balancing cluster is now successfully created.

Connecting to the Existing Network Load Balancing Cluster

Complete the following steps to connect to the existing Network Load Balancing cluster:

1. On another server where you have installed the Network Load Balancing feature, navigate to Start > All Programs > Network Load Balancing Manager.

2. Right-click Network Load Balancing Cluster in the left pane and click Connect to Existing.

3. In the Host text box, enter the IP address that you have configured as the cluster IP when creating the Network Load Balancing cluster. Then, click Connect.

4. When the cluster is connected successfully, select the cluster and click Finish.

*Note: To configure multiple Network Load Balancing clusters, repeat the steps above on each server.

Installing Governance Automation on the Network Load Balancing Cluster

Before installing Governance Automation 2 Service Pack 1, make sure that one of the following versions

of DocAve instance is installed in your environment, and the DocAve Agent services and Manager

services are installed on servers in the Network Load Balancing cluster.

• DocAve 6 Service Pack 8 Cumulative Update 3

• DocAve 6 Service Pack 9

• DocAve 6 Service Pack 9 Cumulative Update 1

Refer to steps below to install Governance Automation on the configured Network Load Balancing

nodes.

1. Install Governance Automation on the server of one node that has DocAve Manager installed. Proceed to Installing Governance Automation for detailed instructions.

2. On the server of another node that has DocAve Manager installed, install Governance Automation. Make sure you use the same Governance Automation Configuration Database and Governance Automation Audit Database that you configured when installing Governance Automation on the first server.

3. If there are other nodes in the cluster, repeat step 2 to install Governance Automation on each server.

Installing Governance Automation for High Availability

To install Governance Automation in a failover cluster using the Windows Failover Cluster feature, see

the sections below.

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Configuring Windows Failover Clustering

Make sure Windows Server 2008 or above is installed on the servers you are about to have in a failover

cluster. The following instructions show how to install and configure the Windows Failover Cluster on

Windows Server 2012, but can also be followed for Windows Server 2008.

Installing the Windows Failover Clustering Feature

The following instructions explain how to install the Windows Failover Clustering feature on Windows

Server 2012.

1. On the server in which you will configure Failover Clustering, navigate to Start > Administrative Tools > Server Manager.

2. Click Add Roles and Features on the left pane to run Add Roles and Features Wizard.

3. In the Before you begin page, click Next to proceed to the next step.

4. Select Role-based or feature-based installation as the installation type. Click Next.

5. In the Server Selection interface, select Select a server from the server pool and then select the current server from the loaded server list.

6. Click Next to proceed to the next step. The Server Role interface appears. Click Next.

7. Select Failover Clustering from the Feature list. In the pop-up window, click Add Feature.

8. Click Next to proceed to the next step.

In the Confirmation interface, deselect the Restart the destination server automatically if

required. checkbox, as the Windows Failover Clustering feature does not require a server

restart. Click Install to start installing the Failover Clustering feature.

9. Click Close to exit this wizard when the installation process ends.

10. Repeat the steps above to install the Windows Failover Clustering feature on each server that will be a part of a Failover Clustering.

Validating the Hardware Configuration

Complete the following steps to validate whether the configuration of a selected server supports

failover:

1. On a server where you have installed the Failover Clustering feature, navigate to Start > All Programs > Failover Cluster Manager.

2. Right-click Failover Cluster Manager in the left pane and click Validate Configuration ….

3. Click Next in the Before you Begin interface to proceed to the next step. The Select Servers or a Cluster interface appears.

4. Enter the name of servers you want to have in the cluster in the Enter name field. Click Add to add the entered server in the Selected servers list.

*Note: These servers you entered must have the Failover Clustering Feature installed on them.

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5. Click Next to proceed to next step.

6. Select Run all tests (recommended) in the Testing Options interface. Click Next.

7. In the Confirmation interface, click Next to start the validation.

8. Click Finish to exit this wizard after the validation process ends.

Creating a New Windows Failover Cluster

Refer to the following instructions to create a new Windows Failover cluster:

1. On a server where you have installed the Failover Clustering feature, navigate to Start > All Programs > Failover Cluster Manager.

2. Right-click Failover Cluster Manager in the left pane and click Create Cluster….

3. In the pop-up Create Cluster Wizard, click Next in the Before you Begin interface to proceed to next step. The Select Servers interface appears.

4. In the Enter name field, enter the names of the servers that have the Failover Clustering feature installed. Click Add to add the entered servers in the Selected servers list. These servers will be added to the cluster you are about to create. Click Next to proceed to next step.

5. In the Validation Warning interface, the question Do you want to run configuration validation tests before continuing? appears.

• If you executed validation of these servers in Validate a configuration …, select No. I do not require support from Microsoft for this cluster, and therefore do not want to run the validation tests. When I click Next, continue creating the cluster.

• If you have not yet executed validation of these servers, select Yes. When I click Next, run configuration validation tests, and then return to the process of creating the cluster.

6. Click Next to proceed to next step.

7. Enter the name that clients will use when accessing this service and configure the IP address. Then, click Next. The Confirmation interface appears.

8. Click Next to create a cluster.

9. Click Finish to exit this wizard when the creation process ends.

Adding Servers to the Created Failover Cluster

Complete the following steps to add a new cluster node to a created cluster if you need:

1. On a server where you have created Failover Clusters, navigate to Start > All Programs > Failover Cluster Manager.

2. In Failover Cluster Manager, select your desired cluster on the left pane. Then, click Add Node… on the right pane to add a node to the selected cluster.

3. In the pop-up Add Node Wizard, click Next in the Before you Begin interface to proceed to next step. The Select Servers interface appears.

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4. In the Enter name field, enter the names of the servers that have the Failover Clustering feature installed. Click Add to add the entered servers in the Selected servers list. These entered servers will be add to the cluster you are about to create as cluster nodes.

*Note: These servers you entered must have the Failover Clustering Feature installed on them.

5. Click Next to proceed to next step.

6. In the Validation Warning interface, the question Do you want to run configuration validation tests before continuing? appears.

• If you executed validation of these servers in Validate a configuration …, select No. I do not require support from Microsoft for this cluster, and therefore do not want to run the validation tests. When I click Next, continue creating the cluster.

• If you have not yet executed validation of these servers, select Yes. When I click Next, run configuration validation tests, and then return to the process of creating the cluster.

7. Click Next to proceed to next step. The Confirmation interface appears. Click Next.

8. Click Next to start configuring the cluster.

9. Click Finish to exit this wizard when the configuration process ends.

*Note: If desired, refer to the Microsoft TechNet article Configure and Manage the Quorum in a

Windows Server 2012 Failover Cluster for the instruction and configuration of the quorum in a failover

cluster.

Configuring High Availability for Governance Automation

Complete the following steps to configure High Availability for Governance Automation installations:

1. Log into the cluster nodes you configured in the Create Cluster Wizard and install Governance Automation on them. Proceed to Installing Governance Automation for detailed instructions.

*Note: During each installation, enter the current machine’s hostname or IP address when

configuring the Governance Automation Host.

*Note: Use the same Governance Automation Configuration Database and Governance

Automation Audit Database during the installations.

2. After the installations, log into one of the cluster nodes, and navigate to Start > All Programs > Failover Cluster Manager.

3. Right-click Services and applications and select Configure a Service or Application from the drop-down list. The High Availability Wizard appears.

4. In the In the Before you begin page, click Next to proceed to the next step.

5. In the Select Service or Application interface, select the Generic Service and then click Next.

6. Select Governance Automation Timer and then click Next.

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7. In the Client Access Point interface, enter the name that clients will use when accessing this service and configure the IP address. Then, click Next.

8. Continue by keeping the default settings and finish the configurations.

9. In the Failover Cluster Manager, select the service you created above and right-click it. Select Add a resource > 4 – Generic Service.

10. Select Governance Automation Workflow and then click Next.

11. Continue by keeping the default settings and finish adding the service.

12. If Governance Automation Workflow is offline, right-click it and click Bring this resource online.

13. Modify the Global.config configuration file on each node:

a. Navigate to Governance Automation installation

directory …\AvePoint\GovernanceAutomation\Config and find the Global.config file.

b. Find the attribute WorkflowService and modify the Host value to the Client Access

Point name that is entered in the Client Access Point interface.

Figure 3: Modifying the Host value.

c. Save and close the configuration file.

14. Navigate to Start > Application Tools > Services on each node, then restart Governance Automation Timer service and Governance Automation Workflow service.

15. Navigate to Internet Information Services (IIS) Manager > Application Pools.

16. Right-click the application pool for Governance Automation and select Recycle…. The Governance Automation application pool restarts.

*Note: If there are other servers in the cluster, repeat the steps above to configure each server.

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Installation Requirements

Minimum Server (Hardware) Requirements

The following specifications are the minimum required. AvePoint recommends exceeding these values

for improved Governance Automation performance.

DocAve 6 and Governance Automation Services on Same Server

Component Minimum Specification

Number of CPU Cores 64-Bit, 4 Cores

Physical Memory 16 GB (Available)

Available Disk Space 50 GB or above

Dedicated, Single-Instance SQL Server

Component Minimum Specification

Number of CPU Cores 64-Bit, 4 Cores

Physical Memory 16 GB (Available)

Available Disk Space 60 GB or above

Server Requirements for DocAve Agents

For some operations, Governance Automation leverages DocAve Agents. To account for this additional

load, ensure that your Agent servers meet or exceed the following specifications.

Component Minimum Specification

Number of CPU Cores 64-Bit, 4 Cores

Physical Memory 4 GB (Available/dedicated for DocAve Agent)

Available Disk Space 50 GB or above

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Supported Software

Component Supported

Operating System Windows Server 2008 Windows Server 2008 R2 Windows Server 2012 Windows Server 2012 R2 Windows Server 2016 Windows 7

SharePoint Versions Microsoft SharePoint Server/Foundation 2010 (up to and including Service Pack 2) Microsoft SharePoint Server/Foundation 2013 (up to and including Service Pack 1) Microsoft SharePoint Server 2016 (up to and including Service Pack 1) *Note: The Governance Automation App is supported on Microsoft SharePoint Server/Foundation 2013 (up to and including Service Pack 1) and Microsoft SharePoint Server 2016 (up to and including Service Pack 1).

SQL Server Version Microsoft SQL Server 2008 Microsoft SQL Server 2008 R2 Microsoft SQL Server 2012 Microsoft SQL Server 2014 Microsoft SQL Server 2016

.Net Framework Version .NET Framework 4.5 or above

PowerShell Version PowerShell 2.0 or above

Web Browsers Internet Explorer 9, 10, and 11 Google Chrome (the latest version) *Note: Voluntary Product Accessibility Template (VPAT) is only supported on Internet Explorer 11.

Compatible DocAve Products

Administrator - Policy Enforcer Required for the Enable Policy Enforcer option in the Governance Automation site collection policy

Administrator - Security Search

Required for the Governance Automation Change Permissions service, Clone or Transfer User Permissions service, and Permission Recertification in the Recertification Profile

Administrator - Grant Temporary Permission

Required for the Governance Automation Grant Permissions service

Administrator - Deactivated Account Cleaner

Required for the Enable Deactivated Account Cleaner option in the Governance Automation site collection policy

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Component Supported

Content Manager Required for the Governance Automation Content Move service

Deployment Manager Required for the Governance Automation Deploy Patterns service, the Apply DocAve Deployment Plan option in the Create Site Collection service and in the Create Site service, as well as the Enable Deployment Manager option in the site collection policy

Granular Backup and Restore Required for the Enable Granular Backup option in the Governance Automation site collection policy

Report Center Required for the Enable Auditing option in the Governance Automation site collection policy

Scheduled Storage Manager Required for the Enable Scheduled Storage Manager option in the Governance Automation site collection policy

Connector Required for the Activate Connector Content Library Feature option and the Activate Connector Media Library Feature option in the Governance Automation site collection policy

Archiver Required for the Enable site collection content archival using DocAve Archiver option, the Enable archiving of entire site collection option, and the Enable site collection content archival using AvePoint RevIM option in the Governance Automation site collection policy

Vault Required for the Enable Vault for Site Collection Content option in the Governance Automation site collection policy *Note: Does not support SharePoint 2016.

File Share Navigator Required for the Activate File Share Navigator Feature option in the Governance Automation site collection policy *Note: Does not support SharePoint 2016.

Required Permissions for Governance Automation Service

Accounts

In most cases, organizations generally use one service account to achieve permissions for Governance

Automation services and the application pool. If using one service account for all Governance

Automation services and the application pool, permissions for this account should be as follows:

• The database role of DB_Owner for Governance Automation Configuration Database and Governance Automation Audit Database.

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• The Full Control permission to the private key of DocAve. For instructions on how to grant these permissions, refer to Allowing Full Control Permission to the DocAve Private Key.

• Permission for the service account to listen to the Governance Automation Workflow Service port. For more information, refer to Enabling the Service Account to Listen to the Governance Automation Workflow Service Port.

• The Read and Write permission to the GovernanceAutomation folder in Governance Automation installation directory …\AvePoint\GovernanceAutomation.

• The database role of DB_DataReader and DB_DataWriter for DocAve Archiver Database (if manual archiving will be used).

Below is a breakdown of permissions for each Governance Automation service and the application pool:

• Service account for Governance Automation Workflow Service:

o The database role of DB_Owner for Governance Automation Configuration Database and Governance Automation Audit Database.

o The Full Control permission to the private key of DocAve. For instructions on how to grant these permissions, refer to Allowing Full Control Permission to the DocAve Private Key.

o Permission for the service account to listen to the Governance Automation Workflow Service port. For more information, refer to Enabling the Service Account to Listen to the Governance Automation Workflow Service Port.

o The Read and Write permission to the GovernanceAutomation folder in Governance Automation installation directory …\AvePoint\GovernanceAutomation.

o The database role of DB_DataReader and DB_DataWriter for DocAve Archiver Database (if manual archiving will be used).

• Service account for Governance Automation Timer Service:

o The Full Control permission to the private key of DocAve. For instructions on how to grant these permissions, refer to Allowing Full Control Permission to the DocAve Private Key.

o The Read and Write permission to the GovernanceAutomation folder in Governance Automation installation directory …\AvePoint\GovernanceAutomation.

o The database role of DB_DataReader and DB_DataWriter for DocAve Archiver Database (if manual archiving will be used).

• Service account for Application Pool:

o The Full Control permission to the private key of DocAve. For instructions on how to grant these permissions, refer to Allowing Full Control Permission to the DocAve Private Key.

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o The Read and Write permission to the GovernanceAutomation folder in Governance Automation installation directory …\AvePoint\GovernanceAutomation.

Required Services on DocAve 6/Governance Automation Server

Service Name Details

.Net Framework Features The Windows features, including WCF Activation, HTTP Activation, and Non-HTTP Activation must be installed.

Net.Tcp Port Sharing Service Net.Tcp Port Sharing Service is started.

Windows Process Activation Service • Windows Process Activation Service is started.

• Process Model, .NET Environment, and Configuration APIs are installed.

World Wide Web Publishing Service World Wide Web Publishing Service is started.

Web Server(IIS) Role Windows features installed:

• Web Server

• Common HTTP Features (Static Content, Default Document)

• Application Development (ASP.NET, .NET Extensibility, ISAPI Extensions and ISAPI Filters)

• Management Tools (IIS Management Console, IIS 6 Management Compatibility and IIS 6 Metabase Compatibility)

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Adding Governance Automation to Your Anti-Virus Exclusion List

In some cases, your anti-virus software may negatively impact the performance of certain Governance

Automation requests and tasks. If you notice slow data transfer rates, or if you simply want to remove

your anti-virus software from the performance equation altogether, add

the …\AvePoint\GovernanceAutomation directory to your anti-virus software’s exclusion list. This

directory is the parent directory for all Governance Automation executable files.

Ports Used by Governance Automation

Refer to the table below for the ports that are used by Governance Automation:

Port Usage Enabled By

15000 Web site Port – Used to access Governance Automation Web site.

Governance Automation Web site.

6008 Workflow Service Port – Used to host Governance Automation Workflow Service.

Windows Communication Foundation Service hosted by Governance Automation Workflow Service.

6009 Cache Service – Used to implement the system cache, increase page respond speed, and promote logic processing efficiency.

Governance Automation Cache Service

*Note: Port 15000 requires HTTPS.

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Installation of Governance Automation

Now that you have determined how you will configure Governance Automation in your environment,

you are ready to install the application. Follow each step below in the order provided.

1. Updating Your DocAve Version

2. Installing DocAve Update for Governance Automation

3. Installing Governance Automation via the Installation Wizard

Updating Your DocAve Version

One of the following versions of DocAve instance is required to work with Governance Automation 2

Service Pack 1:

• DocAve 6 Service Pack 8 Cumulative Update 3

• DocAve 6 Service Pack 9

• DocAve 6 Service Pack 9 Cumulative Update 1

If necessary, update your DocAve instance before proceeding with your Governance Automation

update. For details on how to update your DocAve instance, refer to the DocAve 6 Control Panel

Reference Guide.

For a compatibility matrix between Governance Automation and DocAve, refer to the AvePoint KB

article AvePoint Product Compatibility Matrix.

After updating DocAve to a compatible version, you can proceed with your Governance Automation

installation.

Installing Governance Automation

Before installing Governance Automation, ensure that your version of DocAve is compatible with

Governance Automation. See Updating Your DocAve Version for more information. After this is

complete, proceed with the instructions in the sections below.

*Note: You can automate your Governance Automation deployment using the unattended installation

feature of Governance Automation. For instructions on how to perform an unattended installation, refer

to Unattended Installation.

*Note: If your organization will use the SharePoint Online site collection provisioning feature in

Governance Automation, AvePoint recommends that you install SharePoint Online Management Shell

on the server where you are about to install Governance Automation. With SharePoint Online

Management Shell, errors caused by the instability of SharePoint Client API can be avoided.

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Installing DocAve Update for Governance Automation

To ensure proper communication between DocAve and Governance Automation, a DocAve update

specific to Governance Automation must be manually installed.

In the Governance Automation installation package ZIP file, you will see the

DocAve_Update_for_Governance_Automation_2.1.zip file. Follow the instructions below to install the

DocAve update:

1. Log into the DocAve 6 Manager and navigate to Control Panel > Update Manager.

2. On the Manage Updates interface, click Browse. Find and load the DocAve_Update_for_Governance_Automation_2.1.zip file into DocAve Manager.

3. Click Install on the ribbon. In the Server Selection pop-up window, all available Manager services are shown in the Manager tab and all available farms are shown in the Agent tab.

4. On the Manager tab, select the Install the update for all the managers below checkbox. The update will be installed on all of the Manager services.

5. On the Agent tab, select the Agent services you want to update.

6. Click Install.

7. A pop-up window appears to ask for your confirmation. Click OK. The Update Progress page appears. The progress displays in the Update Progress column.

8. After the installation completes, a message appears in the Logs field indicating that the installation was successful. Click Finish.

*Note: After you click Finish, the DocAve Control service will restart, which can take some time.

During the Control service restart, the DocAve Manager is not accessible.

9. After the Control service has successfully restarted, you can log into DocAve Manager again to verify that the update was successful.

10. Navigate to Control Panel > Update Manager > View History and check the Version column of the newly installed update.

Installing Governance Automation via the Installation Wizard

After installing the DocAve update, complete the following steps to configure Governance Automation

Installation Wizard:

1. Locate the DocAve Governance Automation directory. Double-click the Setup.exe file.

2. A window appears to remind you to install the DocAve update. This update must be installed before your Governance Automation installation. For more information on installing the update, refer to Installing DocAve Update for Governance Automation. Click OK to proceed with the installation.

3. In the Welcome screen, choose to install DocAve Governance Automation in English, Japanese, French, or German by selecting the language pack from the drop-down list, then click Next.

4. Enter your Name and Organization into the provided field. Click Next.

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5. Carefully review the Governance Automation License Agreement. After you have read the agreement, check the I accept the terms in the license agreement checkbox, and click Next.

6. By default, Governance Automation will be installed in C:\Program Files\AvePoint. To change this location, click Browse. Click Next.

7. Set up the Service Configuration:

a. DocAve Control Service Address ‒ Configure the DocAve Control Service Host and the

DocAve Control Service Port.

o DocAve Control Service Host ‒ Enter the hostname or IP address of the machine where DocAve Control Service is installed.

o DocAve Control Service Port ‒ Enter the DocAve Control Service port number used to communicate with DocAve Control Service. The default port number is 14000.

b. Governance Automation Host – Enter the hostname or IP address of the machine

where Governance Automation will be installed.

c. IIS Web Site Settings ‒ Configure the IIS Web site settings for the Governance

Automation. You can select to use an existing IIS Web site or create a new IIS Web site.

The IIS Web site is used to access Governance Automation.

o Use an existing IIS web site ‒ Select an existing IIS Web site from the drop-down list, and if necessary, you can adjust the Web Site Port used to access the Governance Automation.

o Create a new IIS web site ‒ Enter the Web site name for creating a new IIS Web site for Governance Automation. The default Web Site Port number used to access Governance Automation is 15000, you do not need to change it unless a known port conflict exists.

o Web Site Port ‒ Enter the port number for Governance Automation communication. The default port number is 15000.

d. Application Pool Settings ‒ Configure the IIS application pool that will collect and

manage requests that are sent to the Web site configured in the step above. You can

select an existing application pool or create a new application pool.

o Use an existing application pool ‒ Select an existing application pool from the drop-down list. If you choose to use an existing application pool, the Application Pool Account settings are greyed out and cannot be changed.

o Create a new application pool ‒ Enter the application pool name and application pool account settings to create a new IIS application pool for the corresponding Web site. In the Application Pool Account field, enter the username and password for the account.

*Note: For the required permissions of the application pool account, refer to

Required Permissions for Governance Automation Service Accounts.

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e. Governance Automation Workflow Service – The Governance Automation Workflow

service is a local service that will be automatically started after the Governance

Automation installation. Configure the Workflow Service Port and Service Account.

o Workflow Service Port – Enter the Workflow Service port number used to communicate with Workflow Service. The default port number is 6008.

o Service Account – Enter the username and password for the account that the Governance Automation Workflow service can use to log on.

*Note: For required permissions of the service account, refer to Required Permissions for Governance Automation Service Accounts.

*Note: Governance Automation Workflow Service has the following recovery solutions:

o First failure: The service is automatically restarted after one minute

o Second failure: The service is automatically restarted after one minute

o Subsequent failures: No action is taken. You can navigate to the Event Viewer to review event logs and determine the failure’s source. After determining the failure, you can then fix the issue and manually restart the service.

f. Governance Automation Timer Service – The Governance Automation Timer service is a

local service that will be automatically started after the Governance Automation

installation. Configure the Service Account for Timer Service.

o Service Account – Enter the username and corresponding password for the account that the Governance Automation Timer service can use to log on.

*Note: For required permissions of the service account, refer to Required

Permissions for Governance Automation Service Accounts.

*Note: Governance Automation Timer Service has the following recovery solutions:

o First failure: The service is automatically restarted after one minute

o Second failure: The service is automatically restarted after one minute

o Subsequent failures: No action is taken. You can navigate to the Event Viewer to review event logs and determine the failure’s source. After determining the failure, you can fix the issue and manually restart the service.

8. Click Next to continue to configure the authentications for Governance Automation.

9. Set up the Authentication Configuration:

• Authentication ‒ Enter the DocAve Manager Passphrase to ensure the communication with DocAve. If you forget the passphrase, you can view it by navigating to DocAve > Control Panel > General System Settings > System Options > Security Settings.

• DocAve Administration Account Settings ‒ Enter the DocAve Manager account by which the DocAve activities are performed. The user accounts entered here must be local users with full control permissions of DocAve.

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*Note: To change the DocAve account information after Governance Automation installation is

complete, use the Governance Automation Configuration Tool.

10. Click Next.

11. Governance Automation will perform a brief pre-scan of the environment to ensure that all hardware and configurations meet the requirements. The status for each rule will be listed under the Status column heading. Click the hyperlink in the Status column, the detailed information about the scan result will be listed in the popup window.

12. Click Detail and you can view the detailed requirements for all of the rules.

13. Click Next to start the configurations of databases for Governance Automation.

14. Set up the Configuration Database Settings:

a. Database Settings ‒ Select a Configuration Database for Governance Automation to

store its settings and configurations.

o Database Server ‒ Enter the server name or IP address of the database server you wish to connect to.

o Database Name ‒ Enter a name for Governance Automation Configuration Database. If the database does not exist, it will be automatically created in the entered database server.

b. Database Credentials ‒ Select Windows Authentication or SQL Authentication for the

Governance Automation Configuration Database is to be used when connecting to the

SQL server.

o Windows Authentication ‒ Use this method when you want the user identity to be confirmed by Windows.

o SQL Authentication ‒ SQL server will confirm the user identity itself according to the entered account and password.

c. Advanced Database Settings ‒ Enter a failover database server name to set it as a hot

standby database server for Governance Automation Configuration Database to

maximize the database availability and minimize the downtime. You must set up

database mirroring in SQL server before configuring the Advanced Database Settings to

ensure the availability of the failover database server.

15. Click Next.

16. Set up the Audit Database Settings to configure an Audit Database for Governance Automation to store the auditing information, data and reports.

a. To use the same database settings including Database Server, Database Credentials, and

Advanced Database Settings as Governance Automation Configuration Database’s by

selecting the Use the previous database settings checkbox, and enter a name for the

Audit Database for Governance Automation. If the database does not exist, it will be

automatically created in the entered database server.

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b. To set up a separate database as an Audit Database for Governance Automation by

deselecting the Use the previous database settings checkbox, and entering the

following information.

o Database Server ‒ Enter the server name or IP address of the database server you wish to connect to.

o Database Name ‒ Enter a name for Governance Automation Audit Database. If the database does not exist, it will be automatically created in the entered database server.

o Database Credentials ‒ Select Windows Authentication or SQL Authentication for the Governance Automation Audit Database is to be used when connecting to the SQL server.

▪ Windows Authentication ‒ Use this method when you want the user identity to be confirmed by Windows.

▪ SQL Authentication ‒ SQL server will confirm the user identity itself according to the entered account and password.

o Advanced Database Settings ‒ Enter a failover database server name to set it as a hot standby database server for Governance Automation Audit Database to maximize the database availability and minimize the downtime. You must set up database mirroring in SQL server before configuring the Advanced Database Settings to ensure the availability of the failover database server.

17. Click Next.

18. Set up the Advanced Configuration to select a Secure Socket Layer (SSL) certificate that is used for the communication between Governance Automation and DocAve.

• Built-in Certificate ‒ Use the certificate provided by Governance Automation. No additional configuration is necessary.

• User-defined Certificate ‒ AvePoint cannot guarantee support for user-defined certificates used with Governance Automation because these certificates are managed outside of Governance Automation’s control. AvePoint strongly recommends testing user-defined certificates prior to production deployments.

*Note: If selecting a user-defined certificate, you must manually copy two configuration

files to Governance Automation directories after the installation completes. For more

information, refer to Applying User-Defined Certificates.

19. In the Ready to Install DocAve Governance Automation page, all of the information configured in the previous steps is listed. Click Install to begin the installation. Click Back to return to the previous interface. Click Cancel to exit the installation wizard without saving any of the configurations.

20. Once Governance Automation is successfully installed, you have the option to Register Governance Automation to Customer Experience Improvement Program to enhance technical support in the Installation completed interface. Then, click Finish to exit the installation wizard.

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*Note: After successfully installing Governance Automation, the Governance Automation Cache Service

is automatically installed and started. This is a local service that will be used to implement the system

cache, increase page response speed, and promote logic processing efficiency.

Unattended Installation

Governance Automation can be installed using the unattended installation method. Unattended

installation installs Governance Automation using the

GovernanceAutomationUnattendedInstallation.dll file, a generated answer file, and unattended

installation commands. The answer file is a script that provides answers to questions or options

presented during a Governance Automation installation. The answer file will be used when executing

the unattended installation commands.

Generating the Answer File

Before performing an unattended installation, an answer file must be generated by Governance

Automation Setup Manager. The answer file provides the configuration information required for the

unattended installation.

1. In the Governance Automation package, double-click the UnattendedInstall folder.

2. Double-click the SetupManager folder to open it.

3. Double-click the GovernanceAutomationSetupManager.exe to execute it. The DocAve Governance Automation Setup Manager window appears.

4. In the Welcome screen, choose to install DocAve Governance Automation in English, Japanese, French, or German by selecting the language pack from the drop-down list, then click Next.

5. In the Overview screen, view the instructions about unattended installation and the answer file. Click Next.

6. Select the generation option.

• Create a new answer file – Select this option to create a new answer file.

• Modify an existing answer file – Select this option to reuse an existing answer file. If this option is selected, the path field will be enabled. Click Browse to browse for an answer file.

Click Next.

7. Enter your Name and Organization into the provided field. Click Next.

8. Carefully review the Governance Automation License Agreement. After you have read the agreement, select the I accept the terms in the License Agreement checkbox, and click Next.

9. Select the installation location.

• Default directory – Governance Automation will be installed to the default installation location on the destination server, which is …\Program Files\AvePoint\Governance Automation.

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• Customized directory – If you select this option, enter a customized path in the Installation Path field where you wish to install Governance Automation on the destination server.

You can select the Use the default directory if your customized directory is invalid checkbox.

Enable this option to install Governance Automation to the default directory if the custom path

you defined is invalid.

Click Next.

10. Configure Service Configuration with the following settings:

a. DocAve Control Service Address ‒ Enter the DocAve Control Service Host and the

DocAve Control Service Port.

o DocAve Control Service Host ‒ Enter the hostname or IP address of the machine where DocAve Control service is installed.

o DocAve Control Service Port ‒ Enter the DocAve Control service port number used to communicate with DocAve Control Service. The default port number is 14000.

b. IIS Web Site Settings ‒ Configure the IIS Web site settings for Governance Automation.

The IIS Web site is used to access Governance Automation.

o Create a new IIS web site ‒ Enter the Web site name for Governance Automation.

o Web Site Port ‒ Enter the port number for Governance Automation communication. The default Web site port number used to access Governance Automation is 15000; you do not need to change it unless a known port conflict exists.

You can select the Use a random port number if the specified one is being used checkbox. Select this option to use a random port number if the entered one is being used.

c. Application Pool Settings ‒ Configure the IIS application pool settings for the

corresponding Web site to collect and manage requests sent to corresponding Web site.

o Create a new application pool ‒ Enter the name for the new application pool.

o Application Pool Account ‒ Enter the username and password for the application pool account.

*Note: For required permissions of the entered user, refer to Required Permissions for Governance Automation Service Accounts.

d. Governance Automation Workflow Service Configuration ‒ Configure the settings for

Governance Automation Workflow Service.

o Workflow Service Port ‒ Enter the port number used to communicate with Governance Automation Workflow Service. The default port number is 6008.

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o You can select the Use a random port number if the specified one is being used checkbox. Select this option to use a random port number if the entered one is used.

o Service Account ‒ Enter the username and password for the account that Governance Automation Workflow Service can use to log on.

*Note: For required permissions of the entered user, refer to Required Permissions for Governance Automation Service Accounts.

e. Governance Automation Timer Service Configuration ‒ Enter the username and

corresponding password for the account that Governance Automation Timer Service can

use to log on.

*Note: For required permissions of the entered user, refer to Required Permissions for

Governance Automation Service Accounts.

Click Next.

11. Set up the Authentication Configuration.

• Passphrase Settings ‒ Enter the DocAve Manager Passphrase to ensure the communication with DocAve. If you forget the passphrase, you can view it by navigating to DocAve > Control Panel > General System Settings > System Options > Security Settings.

• DocAve Administration Account ‒ Enter the DocAve Manager account by which the DocAve activities are performed. The user account entered here must be local users with full control permissions of DocAve.

Click Next.

12. Set up the Configuration Database Settings.

a. Database Settings ‒ Select a Configuration Database for Governance Automation to

store settings and configurations.

o Database Server ‒ Enter the server name or IP address of the database server you wish to connect to.

o Configuration Database Name ‒ Enter a name for Governance Automation Configuration Database. If the database does not exist, it will be automatically created in the entered database server.

b. Database Credentials ‒ Select Windows Authentication or SQL Authentication for the

Governance Automation Configuration Database is to be used when connecting to the

SQL server.

o Windows Authentication ‒ Use this method when you want the user identity to be confirmed by Windows.

o SQL Authentication ‒ SQL server will confirm the user identity itself according to the entered username and password.

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c. Advanced Database Settings ‒ Enter a failover database server name to set it as a hot

standby database server for Governance Automation Configuration Database to

maximize the database availability and minimize the downtime. You must set up

database mirroring in SQL server before configuring the Advanced Database Settings to

ensure the availability of the failover database server.

Click Next.

13. Set up the Audit Database Settings to configure an Audit Database for Governance Automation to store the auditing information, data and reports.

• To use the same database settings including Database Server, Database Credentials, and Advanced Database Settings as Governance Automation Configuration Database’s, select the Use the previous database settings checkbox and enter a name for the Governance Automation Audit Database. If the database does not exist, it will be automatically created in the entered database server.

• To set up a separate database as a Governance Automation Audit Database, deselect the Use the previous database settings checkbox and enter the following information.

o Database Server ‒ Enter the server name or IP address of the database server you wish to connect to.

o Audit Database Name ‒ Enter a name for Governance Automation Audit Database. If the database does not exist, it will be automatically created in the entered database server.

o Database Credentials ‒ Select Windows Authentication or SQL Authentication for the Governance Automation Audit Database is to be used when connecting to the SQL server.

▪ Windows Authentication ‒ Use this method when you want the user identity to be confirmed by Windows.

▪ SQL Authentication ‒ SQL server will confirm the user identity itself according to the entered account and password.

o Advanced Database Settings ‒ Enter a failover database server name to set it as a hot standby database server for Governance Automation Audit Database to maximize the database availability and minimize the downtime. You must set up database mirroring in SQL server before configuring the Advanced Database Settings to ensure the availability of the failover database server.

Click Next.

14. The Installation Summary interface displays the installation information you have configured. Read the Installation summary carefully, and choose the following options to continue your configuration.

• Click Generate an Answer File to generate an answer file for Governance Automation unattended installation and save it to your desired location. You can also modify the file name before saving it.

• Click Back to go back to the previous configuration interface.

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• Click Cancel to exit the Setup Manager without saving any of the configurations.

Importing the GovernanceAutomationUnattendedInstallation.dll File

Next, the GovernanceAutomationUnattendedInstallation.dll file must be imported into Windows

PowerShell on the server where you want to run the unattended installation command. The server can

be any server in the farm as long as the server can access the answer file path.

Use either of the two methods below to import the GovernanceAutomationUnattendedInstallation.dll

file.

• To manually import the GovernanceAutomationUnattendedInstallation.dll file, complete the following steps:

i. On the server where Governance Automation package resides, navigate to

Start > Windows PowerShell. Right-click Windows PowerShell and select Run

as administrator.

ii. Enter the directory …UnattendedInstall\PowerShellModules. It is the directory of

the PowerShellModules folder that resides in Governance Automation package.

iii. Enter the following command:

Import-Module

…\UnattendedInstall\PowerShellModules\GovernanceAutomationUnattend

edInstallation.dll

iv. Press Enter to import the GovernanceAutomationUnattendedInstallation.dll

file.

• To automatically import the GovernanceAutomationUnattendedInstallation.dll file, complete the following steps:

i. Navigate to the directory …UnattendedInstall\PowerShellModules.

ii. Right-click the UnattendedInstallationLauncher.bat file and select Run as

administrator.

Installation Commands

The Governance Automation Unattended Installation command for installing Governance Automation

remotely is Install- GovernanceAutomation. For example:

Install- GovernanceAutomation -TargetName 10.0.0.1 -Username

AvePoint\GovernanceAutomation -Password “Ave” -PackageFilesFolder "C:\Governance

_Automation" –AnswerFilePath "C:\AnswerFile.xml" -RemoteTempPath “C:\TempFolder”

The following table lists the detailed information for each parameters:

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Parameter Type Description

-TargetName Required The hostname or IP address of the destination machine where you want to install Governance Automation. *Note: The localhost or the loopback address 127.0.0.1 cannot be input as the value of TargetName. If the hostname is used, ensure that the entered computer name can be resolved through the local Hosts file, by using Domain Name System (DNS) queries, or through NetBIOS name resolution techniques.

-Username Required The username of the user used to access the destination machine where you want to install Governance Automation. The format of the username is: domain\username. The permissions of the user are as follows:

• If the user is the local administrator of the

destination machine, it can be used directly.

Enter .\administrator for the Username

parameter.

• If the user is from the domain to which the

destination machine belongs, the domain

user must be added to the Administrators

group on the destination machine.

The user must have the Full Control permission to the path used in RemoteTempPath parameter.

-Password Required The password of the user above. Quote the password if it contains any special character or space.

-PackageFilesFolder Required The local path on the machine where you run the command. The path stores the extracted DocAve Governance Automation unattended installation package. The format of the path is: C:\package. Quote the path if it contains any special character or space.

-AnswerFilePath Required The local path where you saved the answer file. The path must be detailed to the name of the answer file. For example, C:\AnswerFile.xml.

-RemoteTempPath Required A local path on the destination machine that the DocAve Governance Automation unattended installation package is installed to. The format of the path is: C:\temp.

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Parameter Type Description

The path will be used to store the temporary files generated during the DocAve Governance Automation unattended installation. The temporary files will be deleted as soon as the unattended installation finishes.

-Log Optional This is an optional parameter. If used, the logs of the unattended installation will be saved to the .txt file in the entered path. The path entered in this parameter must be detailed to the name of the log file. For example, C:\Log.txt. If the entered log file does not exist, it will be generated automatically.

-UseIPv6forCommunication Optional This is an optional parameter used to specify the communication method between the machine where the command is run and the destination machine that the DocAve Governance Automation is installed. If an IPv6 address is entered in TargetName parameter, this parameter must be entered. *Note: When using this parameter, both the destination machine and the machine where you run this command must support IPv6.

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Optional Governance Automation Installations

After installing the Governance Automation platform, you can install several additional Governance

Automation components. These components are not required, but are recommended in order to

enhance your Governance Automation experience.

Installing the DocAve Governance Automation Web Part

The DocAve Governance Automation Web part embeds the business user interface within a SharePoint

site. This provides SharePoint users with easier access without having to leave their SharePoint

environment.

*Note: Make sure the intended users have the correct permissions to access the sites where this Web

part is installed.

To use the Governance Automation Web part properly, the certificate that is used to host Governance

Automation Web site must be fully trusted by your machines. For more information, refer to Changing

the Certificate in IIS Manager.

Deploying the DocAve Governance Automation Web Part Solution

You can add the Governance Automation Web Part to SharePoint through either the Command Prompt

or Windows PowerShell. See the section below applicable to your deployment method.

Deployment through Command Prompt

Complete the steps below to deploy Governance Automation Web Part solution through Command

Prompt:

1. Go to Start > Run > enter cmd in the Open text box and click OK.

2. Enter the following command:

• For SharePoint 2010:

cd C:\Program Files\Common Files\Microsoft Shared\Web Server

Extensions\14\BIN

Figure 4: Deploying the DocAve Governance Automation Web Part Solution through CMD (1).

• For SharePoint 2013:

cd C:\Program Files\Common Files\Microsoft Shared\Web Server

Extensions\15\BIN

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• For SharePoint 2016:

cd C:\Program Files\Common Files\Microsoft Shared\Web Server

Extensions\16\BIN

3. Press Enter and continue the command in the following format:

stsadm.exe -o addsolution -filename C:\GAWebPart.wsp

*Note: C:\GAWebPart.wsp should be replaced with the path where the solution is stored.

Figure 5: Deploying the DocAve Governance Automation Web Part Solution through CMD (2).

4. Press Enter. You will see the message Operation completed successfully when the solution has been added to the solution store.

5. Navigate to Central Administration > System Settings > Farm Management, and then click Manage farm solutions in which gawebpart.wsp is displayed.

6. Click gawebpart.wsp, and then click Deploy Solution to deploy it.

Deployment through Windows PowerShell

Complete the steps below to deploy Governance Automation Web Part solution through Windows

PowerShell:

1. On the server where SharePoint Central Administration resides, click Start and search for Windows PowerShell.

2. Right-click Windows PowerShell and click Run as administrator.

3. If Windows PowerShell Snap-in is not installed, enter the following command:

Add-PSSnapin Microsoft.SharePoint.PowerShell -EA 0

Figure 6: Deploying the DocAve Governance Automation Web Part Solution through Windows PowerShell (1).

4. Press Enter and continue the command:

Add-SPSolution

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Figure 7: Deploying the DocAve Governance Automation Web Part Solution through Windows PowerShell (2).

5. Press Enter and Windows PowerShell prompts you to enter the solution file path.

6. In the LiteralPath field, enter the path of the solution file.

Figure 8: Deploying the DocAve Governance Automation Web Part Solution through Windows PowerShell (3).

*Note: C:\GAWebPart.wsp should be replaced with the path where the solution is stored. By default, the .wsp file resides in the directory …\AvePoint\GovernanceAutomation\SharePoint Solutions on the server where Governance Automation is installed.

7. Press Enter and the solution name, solution ID, and deployed status are displayed. Now the solution has been added to the solution store.

Figure 9: Deploying the DocAve Governance Automation Web Part Solution through Windows PowerShell (4).

8. Navigate to Central Administration > System Settings > Farm Management, and then click Manage farm solutions in which gawebpart.wsp is displayed.

9. Click gawebpart.wsp, and then click Deploy Solution to deploy it.

Inserting the Web Part into a SharePoint Site

To add the Web part to a page in a SharePoint site collection, go to the site collection you want to add

the Web part to and follow the instructions below:

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1. Navigate to Site Actions > Site Settings > Site collection features.

2. Find DocAve Governance Automation Web Part Feature and click Activate.

3. In the page where you want to add the Web part, click Edit Page > Insert > Web Part.

4. Select DocAve Governance Automation then select the Web part and click Add.

5. Once the Web part has been added, click on down arrow in the upper right-hand corner and select Edit Web Part from the drop-down list.

6. Under Appearance, set the size for the Web part. For most, it is recommended to use height of 768 and width of 1024.

7. Configure the Governance Automation Settings section:

• Governance Automation URL (Required) – Set the interface that will become the homepage of the Web part. Enter the URL in the following format:

https://gaservername:port

o gaservername – The name of the Governance Automation server.

o port – The port number of Governance Automation.

*Note: The format above is the URL of the Governance Automation homepage. You can

also enter the URL of other Governance Automation interfaces (for example,

https://gaservername:port/Request/SubmittedRequests would be the My Requests >

Submitted Requests interface).

• Hide the Governance Automation menu bar (Optional) – Select the checkbox to hide the Governance Automation menu bar in the interface of your Governance Automation Web Part.

8. Click Apply to apply your changes, then click OK to save your configurations.

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Installing the Governance Automation App for SharePoint

2013/SharePoint 2016 On-Premises

Governance Automation App, an app for SharePoint 2013/SharePoint 2016 on-premises, provides

SharePoint end-users with easier access to Governance Automation, without having to leave their

SharePoint environment. With the Governance Automation App configured, several app parts are

available for SharePoint sites.

Governance Automation App Pre-Installation Checklist

Ensure that the following are in place before configuring Governance Automation App:

• Governance Automation is installed.

• SharePoint 2013/SharePoint 2016 on-premises is installed on the server that will run this app.

• The SharePoint site that will host the Governance Automation App is created.

Required Permissions

To install and use the Governance Automation App, ensure that the following permission are in place:

DocAve Governance Automation App Package Installation Wizard

The user who runs the DocAve Governance Automation App Package Installation Wizard must have the

following permissions:

• The farm administrator of your SharePoint farm.

• The SharePoint_Shell_Access role to the Config Database of your SharePoint.

• The SharePoint_Shell_Access role to the Config Database and the content database of the Web application where the app catalog site resides.

• The SharePoint_Shell_Access role to the content database of App Management Service Application.

• At least Design (the built-in permission level) permission to the app catalog site. If the Apps for SharePoint list does not inherit permissions from the app catalog site, you must have the Design (the built-in permission level) permission to the Apps for SharePoint list.

• Read and Write permission to the GA_App_InstallWizard folder.

For information about how to get the GA_APP_InstallWizard folder, refer to Running

the App Package Installation Wizard.

Adding the Governance Automation App to a SharePoint Site

The user who adds Governance Automation App to a SharePoint site must have the following

permissions:

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*Note: System accounts cannot add Governance Automation App to a SharePoint site.

• A member of Farm Administrators group or local Administrators group.

• Full Control permission to the site that you are about to add Governance Automation App to.

• At least Read permission to the app catalog site collection.

Preparing the Environment to Host Apps

Before installing Governance Automation App on a SharePoint on-premises environment, the

environment must be configured to host apps. Refer to the instructions in the following sections on how

to prepare your environment to host Governance Automation App.

Configuring the Domain Name in DNS

You must configure a new name in Domain Name Services (DNS) to host the Governance Automation

App. For more information on how to configure the domain name, refer to the instructions provided

here: http://technet.microsoft.com/en-us/library/fp161236.aspx (the heading Configure the domain

names in DNS (all hosting options)).

Disabling the Loopback Check

Disabling the loopback check prevents authentication prompts that may occur when accessing a

SharePoint site URL that contains host header. This procedure, which involves setting the

DisableLoopbackCheck registry key, is only required for SharePoint Web front-end servers in test

environments. For more information, refer to the WORKAROUND section within the Microsoft technical

article http://support.microsoft.com/kb/896861/en-us.

Follow the steps below on each SharePoint Web front-end server:

1. On each SharePoint Web front-end server, click Run… from the Start menu.

2. Enter regedit in the Open text box. Then, click OK. The Registry Editor page appears.

3. Navigate to HKEY_LOCAL_MACHINE > SYSTEM > CurrentControlSet > Control> Lsa. Then, right-click Lsa. A drop-down list appears.

4. Place the cursor on New, and then select DWORD (32-bit) Value from the New drop-down list.

5. Rename the REG_DWORD file to DisableLoopbackCheck.

6. Right-click the DisableLoopbackCheck file, then click Modify... from the drop-down list. The Edit DWORD (32-bit) Value pop-up window appears.

7. Enter 1 in the Value data text box and click OK.

8. Close the Registry Editor page, and restart your server.

Starting SharePoint Service Applications and Instances

If you have already used apps in your SharePoint 2013/SharePoint 2016 on-premises environment, you

can skip this section.

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The user who will be performing these steps must be an Active Directory domain user, a member of

local Administrators group, a member of the SharePoint Farm Administrators group, must have Full

Control permission to the Web front-end server, and must have access to the site collection where you

are deploying the app.

First, perform the following steps to verify that the appropriate services are running:

1. Navigate to SharePoint 2013 Central Administration or SharePoint 2016 Central Administration.

2. Click Manage service applications under the Application Management heading.

3. In the Manage Service Applications page, verify that the following two service applications are created.

• App Management Service Application

• Subscription Settings Service Application

4. Click System Settings on the left pane.

5. Click Manage services on server under the Servers heading.

6. In the Services on Server page, verify that the following two service instances are Started. If they are not, click Start to get them running.

• App Management Service Application

• Subscription Settings Service Application

7. If these two service applications do not exist, create a Subscription Settings service application and create an App Management service application. For detailed information on how to create the service applications, refer to the instructions provided here: http://technet.microsoft.com/en-us/library/fp161236.aspx (the chapter Configure the Subscription Settings and App Management service applications).

Configuring the App URL

Before adding the Governance Automation App, the app URL must be configured. Complete the

following steps to configure the app URL:

1. On the SharePoint server, navigate to SharePoint 2013 Central Administration or SharePoint 2016 Central Administration.

2. Click Apps on the left pane.

3. Click Configure App URLs under the App Management heading. The Configure App URLs interface appears.

4. In the App domain text box, enter the domain name that has been configured in Configuring the Domain Name in DNS.

5. In the App prefix text box, enter a name as the URL prefix for the app.

6. Click OK to save your configurations.

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For more information on how to configure the app URL, refer to the instructions provided here:

http://technet.microsoft.com/en-us/library/fp161236.aspx (the chapter Configure the app URLs to use).

Creating a Self-Signed Certificate

Complete the following steps to create a self-signed certificate that is used for the trust communication

between the SharePoint App and Governance Automation Web site:

1. Go to the Governance Automation server and navigate to Start > Administrative Tools > Internet Information Services (IIS) Manager.

2. Click the local host in the left pane.

3. Double-click Server Certificates under the IIS heading.

4. Click Create Self-Signed Certificate on the Actions area. The Create Self-Signed Certificate window appears.

Figure 10: The Create Self-Signed Certificate window appears.

5. Enter the desired name for the certificate.

6. Click OK to create this certificate. The newly created certificate is displayed in the Server Certificates area.

7. Right-click this certificate and select Export... from the drop-down list. The Export Certificate window appears.

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Figure 11: The Export Certificate window.

8. Click ... next to the Export to text box to select a desired export location for this certificate.

9. Enter and confirm the password, and then click OK. The .pfx file is exported to the selected location.

*Note: The .pfx file can be saved to any location on the Governance Automation Server. It will

remain there temporarily before being moved in step 10.

10. Copy the .pfx file to the SharePoint server where you are about to install the Governance Automation App by Running the App Package Installation Wizard.

Running the App Package Installation Wizard

The DocAve Governance Automation App Package Installation Wizard uploads the DocAve Governance

Automation App package to a SharePoint App catalog site.

To install the DocAve Governance Automation App, complete the following steps:

1. In the Governance Automation server, navigate to …\AvePoint\GovernanceAutomation\Tools. The GA_App_InstallWizard.zip file exists in this directory.

2. Copy the GA_App_InstallWizard.zip file to the SharePoint server where the copied .pfx file is located.

3. Extract the GA_App_InstallWizard.zip file.

4. In the GA_App_InstallWizard folder, right-click the Setup.exe file and then select Run as administrator to run this wizard. The wizard appears.

5. In the welcome page, click Next.

6. In the License Agreement interface, select the I accept the terms in the license agreement. checkbox, then click Next.

7. In the Certificate Configuration interface, click Browse to select the certificate file that is used for the trust communication between the SharePoint App and Governance Automation Web site, then enter the password of the certificate in the text box.

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8. Click Next to proceed to the next step.

9. In the App Catalog Site Configuration interface, select a Web application from the drop-down list.

• If the app catalog site exists in the selected Web application, the app catalog site URL is displayed.

• If the app catalog site does not exist in the selected Web application, click Create a New App Catalog Site. A pop-up window appears.

i. Click the Manage App Catalog link. The SharePoint Manage App Catalog

interface appears.

ii. Create an app catalog site for the selected Web application.

iii. Return to the wizard and click Close to close the pop-up window.

iv. Click Refresh.

v. Select the previously selected Web application. The newly created app catalog

site is displayed.

10. Click Next to proceed to the next step.

11. In the Prerequisites Check interface, the wizard automatically checks to ensure your environment meets the prerequisites for installing the Governance Automation App. If you fail any of the rules, resolve the issue and run the scan again.

12. After the environment passes all rules, click Next to proceed to the next step.

13. In the App Information Configuration interface, the app ID, app secret, and title of Governance Automation App are displayed. In the App Redirect URL field, enter the host name of the Governance Automation server and the port of Governance Automation. This app redirect URL is the Governance Automation link that is added on the Quick Launch after Governance Automation App is added to a site.

14. Click Next to proceed to the next step.

15. The wizard automatically starts installing the Governance Automation App package.

16. After the Governance Automation App package installs, click Finish to exit the wizard.

Adding the Governance Automation App to a SharePoint Site

Complete the following steps to add the Governance Automation App to any SharePoint site that exists

in the same Web application as the app catalog site collection.

1. Navigate to the SharePoint site where you want to add the Governance Automation App.

2. Click the Settings ( ) button on the top-right corner of the site, and then click Add an app. The Your Apps page appears.

3. On the left Quick Launch, click From Your Organization to add Governance Automation App from app catalog.

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4. Enter Governance Automation in the Find an app search text box, and then press Enter.

5. Click Governance Automation.

6. Click Add it to add Governance Automation App on the site.

7. When asked if you want to trust Governance Automation, click Trust It.

8. The Governance Automation App is added to the site and a Governance Automation link is added on the Quick Launch. Click the Governance Automation link and you are brought to a new page. By default, the following tiles are displayed in the page:

• Start a Request

• View My Requests

• View My To-Do List

• Public Site Collection Directory

• My Sites

*Note: The tile Monitoring and Reporting is currently inactive in the Governance Automation App.

You can hide tiles on the page from business users by deselecting the tiles in Governance Automation

Settings > Business User Features Activation or Deactivation. For more information, refer to Hiding or

Revealing Sections to Business Users.

*Note: If you want to log into the Governance Automation App using ADFS authentication, ADFS

authentication must be configured for Governance Automation. For more information about how to

configure ADFS authentication, refer to Configuring ADFS Authentication. Note the following:

• If your Governance Automation instance uses the Local System and ADFS Integration login methods, Governance Automation will automatically use your ADFS credentials to log into the Governance Automation App.

• If your Governance Automation instance uses Local System, ADFS Integration, and AD Integration login methods, you must set ADFS authentication as the default authentication in DocAve Manager > Control Panel > Authentication Manager. For more information, refer to the Authentication Manager section of the DocAve 6 Control Panel Reference Guide. Then, you must Synchronizing Authentication Configuration Changes to Governance Automation.

Inserting Governance Automation App Part

Governance Automation App provides several app parts that can be inserted to SharePoint sites.

To insert Governance Automation app parts to a site, complete the following steps:

1. Go to the homepage of this site and click the PAGE tab on the ribbon.

2. In the PAGE tab, click Edit.

3. Click the INSERT tab and click App Part.

4. The following app parts of Governance Automation App are displayed in the Parts section:

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• My Requests – Displays the login user’s saved requests and submitted requests.

• My Site Collections – Displays the site collections that the login user is responsible for managing.

• My Sites – Displays the sites that the login user is responsible for managing.

• My To-Do List – Displays the tasks and recertification reports that are assigned to the login user.

• Public Site Collections – Displays all site collections tagged for public sharing that are managed by Governance Automation.

• Site Directory – Displays the Governance Automation managed child sites of this site collection.

• Site Information Card – Displays key information about the site, such as ownership, classification, policy, and available service requests.

*Note: This app part can be inserted to a top-level site of a site collection, or be inserted

to a site. In a top-level site, the app part displays site collection information. In a site,

the app part displays site information.

• Start a Request – It is used to start a Governance Automation service request.

5. Select your desired app part and click Add to add it to the site.

6. Click Save on the ribbon to save your configurations.

Installing the Governance Automation App for SharePoint Online

Governance Automation App, an app for SharePoint Online, provides SharePoint Online end-users with

easier access to Governance Automation, without having to leave their SharePoint Online environment.

With the Governance Automation App configured, several app parts are available for SharePoint Online

sites.

Prior to installing and using the Governance Automation App for SharePoint Online, ensure the Required

Permissions are in place. Then, complete the following steps in order:

1. Preparing the Governance Automation App Package

2. Uploading the Governance Automation App to App Catalog

3. Registering the Governance Automation App

4. Building a Domain Mapping for Automatic Login

5. Adding the Governance Automation App to a SharePoint Online Site

6. Inserting Governance Automation App Parts

Required Permissions

To install and use the Governance Automation App, ensure that the following permission are in place.

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Uploading the Governance Automation App

The user who uploads the Governance Automation App to the app catalog site collection must have

Design or above permission to the Apps for SharePoint list of the app catalog site collection.

Registering the Governance Automation App

The user who registers the Governance Automation App must be the administrator of the site collection

or site from which the Register an App page is started.

Adding the Governance Automation App

The user who adds the Governance Automation App to a SharePoint Online site must have the following

permissions:

• Full Control permission to the SharePoint Online site.

• Read or above permission to the app catalog site collection.

Inserting Governance Automation App Parts

The user who inserts Governance Automation app parts to a SharePoint Online site must have

Contribute or above permission to the site.

Preparing the Governance Automation App Package

1. On the Governance Automation server, navigate to …\AvePoint\GovernanceAutomation\SharePoint Solutions.

2. Find the GAApp.app file.

3. Modify the file extension app to zip.

4. Extract the GAApp.zip file.

5. In the GAApp folder, find the AppManifest.xml file.

6. Right-click the AppManifest.xml file and open it with Notepad.

7. Find the <StartPage>~remoteAppUrl/App/Home/Index?{StandardTokens}</StartPage> node, and replace ~remoteAppUrl with your Governance Automation URL, which is in the format of https://GAHost:GAPort.

• GAHost – The hostname of your Governance Automation server.

• GAPort – The port number of your Governance Automation Web site.

8. If you are about to use the default client Id and client secret provided by AvePoint when registering the Governance Automation App, skip to step 9.

If you are about to use a custom client Id and a custom client secret, find the

RemoteWebApplication attribute and modify the value of ClientId to your custom client Id.

9. Save and close the AppManifest.xml file.

10. In the GAApp folder, find all XML files whose file names start with elements, and perform the following actions on each XML file.

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a. Right-click the XML file and open it with Notepad.

b. Find the <Content Type="html"

Src="~remoteAppUrl/App/Home/Index?AppAction=8&amp;{StandardTokens}" />

node, and replace ~remoteAppUrl with your Governance Automation URL, which is in

the format of https://GAHost:GAPort.

c. Save and close the XML file.

11. Compress the GAApp folder to a ZIP file.

12. Modify the file extension zip to app.

Uploading the Governance Automation App to App Catalog

To install the Governance Automation App, you must upload the Governance Automation App to the

app catalog site collection of your tenant.

Complete the following steps to upload the Governance Automation App to the app catalog site

collection:

1. On the Governance Automation server, navigate to …\AvePoint\GovernanceAutomation\SharePoint Solutions.

2. Find the GAApp.app file, and copy the file to the server where you access SharePoint Online.

3. Log into SharePoint Online; in the SharePoint admin center interface, navigate to apps > App Catalog.

4. Click Apps for SharePoint on the left pane.

5. In the Apps for SharePoint interface, click Upload.

6. In the Add a document window, click Browse….

7. In the Choose File to Upload window, browse to the GAApp.app file and click Open.

8. In the Add a document window, click OK. The app file is successfully uploaded to the app catalog.

Registering the Governance Automation App

To use the Governance Automation App, you must register the app in SharePoint Online.

Complete the following steps to register the Governance Automation App:

1. Go to any site collection or site that is in the same tenant of the app catalog site collection where the Governance Automation App is uploaded.

2. Modify the site collection or site URL to …/_layouts/15/appregnew.aspx. The Register an App page appears.

3. Configure the following settings in the Register an App page:

a. Client Id – Enter ec72749b-68c8-411a-b535-d4490ad6201f in the text box.

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b. Client Secret – Enter TcdbE+84c3X1ne3AhH9NYra2r7RN2NILJeKyTYsdWQk= in the text

box.

*Note: AvePoint recommends that you use the client Id and client secret provided

above. If you use custom ones, you must complete the steps in Using Custom Client Id

and Client Secret.

c. Title – Enter a desired title for the Governance Automation App.

d. App Domain – Enter the app domain in the following format:

GAHost:GAPort

o Replace GAHost with the hostname of your Governance Automation server.

o Replace GAPort with the port number of your Governance Automation Web site.

e. Redirect URI – Enter the redirect URI in the following format:

https://GAHost:GAPort/app/home/index

f. Click Create to register the Governance Automation App.

Using Custom Client Id and Client Secret

If you use a custom client Id and a custom client secret when registering the Governance Automation

App, complete the following steps:

1. On the Governance Automation server, navigate to …\AvePoint\GovernanceAutomation.

2. Find the Web.config file.

3. Right-click the Web.config file to open it with Notepad.

4. Find the <appSettings>node.

• <add key="ClientId" value="EC72749B-68C8-411A-B535-D4490AD6201F"/> – Modify the value to your custom client Id.

• <add key="ClientSecret" value="TcdbE+84c3X1ne3AhH9NYra2r7RN2NILJeKyTYsdWQk=" /> – Modify the value to your custom client secret.

5. Save and close the file.

Building a Domain Mapping for Automatic Login

To use the Governance Automation App on SharePoint Online, you need to build a domain mapping

between your local domain and the SharePoint Online domain, so that SharePoint Online users can

access the Governance Automation App without entering the login information.

Complete the following steps to build a domain mapping:

1. On the Governance Automation server, navigate to …\AvePoint\GovernanceAutomation\Config.

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2. Find the Global.config file.

3. Right-click the Global.config file to open it with Notepad.

4. Go to the bottom and add the following node above </config>:

<Office365DomainMapping>

<Mapping LocalDomain="local domain">SharePoint Online domain</Mapping>

</Office365DomainMapping>

For example,

<Office365DomainMapping>

<Mapping LocalDomain="GA">test.onmicrosoft.com</Mapping>

</Office365DomainMapping>

5. Save and close the file.

6. Go to Start > Administrative Tools > Services; restart Governance Automation Timer Service and Governance Automation Workflow Service.

7. Navigate to Internet Information Services (IIS) Manager > Application Pools.

8. Right-click the application pool for Governance Automation and select Recycle…. The Governance Automation application pool restarts.

Adding the Governance Automation App to a SharePoint Online Site

Complete the following steps to add the Governance Automation App to any SharePoint Online site that

exists in the same tenant as the app catalog site collection.

1. Log into the SharePoint Online site where you want to add the Governance Automation App.

2. Click the Settings ( ) button on the upper-right corner of the site, and then click Add an app. You can also navigate to the Site Contents interface and click add an app. The Your Apps interface appears.

3. In the Apps you can add section, click Governance Automation.

4. When asked if you want to trust Governance Automation, click Trust It.

5. The Governance Automation App is added to the site and a Governance Automation link is added on the Quick Launch. Click the Governance Automation link and you are brought to a new page. By default, the following tiles are displayed in the page:

• Start a Request

• View My Requests

• View My To-Do List

• Public Site Collection Directory

• My Sites

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Inserting Governance Automation App Parts

Governance Automation App provides several app parts that can be inserted to SharePoint Online sites.

To insert Governance Automation app parts to a site, complete the following steps:

1. Go to a site and click the PAGE tab on the ribbon.

2. In the PAGE tab, click Edit.

3. Click the INSERT tab and click App Part.

4. The following app parts of Governance Automation App are displayed in the Parts section:

• My Requests – Displays the login user’s saved requests and submitted requests.

• My Site Collections – Displays the site collections that the login user is responsible for managing.

• My Sites – Displays the sites that the login user is responsible for managing.

• My To-Do List – Displays the tasks and recertification tasks that are assigned to the login user.

• Public Site Collections – Displays all site collections tagged for public sharing that are managed by Governance Automation.

• Site Directory – Displays the Governance Automation managed child sites of this site collection.

• Site Information Card – Displays key information about the site, such as ownership, classification, policy, and available service requests.

*Note: This app part can be inserted to a top-level site of a site collection, or be inserted

to a site. In a top-level site, the app part displays site collection information. In a site,

the app part displays site information.

• Start a Request – Starts a Governance Automation service request.

5. Select your desired app part and click Add to add it to the site.

6. Click Save on the ribbon to save your configurations.

Deploying the Governance Automation Policy Bar Solution

The Governance Automation policy bar is used for displaying the icon of the site policy bar on the

chrome bar within SharePoint sites. Clicking this icon will direct you to the page linked via the URL you

have configured for the site policy bar. For more information about configuring the site policy bar, refer

to the Creating or Editing Site Collection Policies for SharePoint On-Premises section.

To use the site policy bar feature in a site collection policy, you must deploy the Governance Automation

Policy Bar solution.

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The solution GAPolicyBar.wsp resides in the directory …\AvePoint\GovernanceAutomation\SharePoint

Solutions on the Governance Automation server.

Complete the following steps to deploy the solution:

1. Copy the solution file to a SharePoint Web front-end server.

2. On the SharePoint Web front-end server, navigate to SharePoint 2016 Management Shell, SharePoint 2013 Management Shell, or SharePoint 2010 Management Shell. Right-click it and select Run as administrator.

3. Enter the following command:

stsadm –o addsolution –filename “C:\Program

Files\AvePoint\GovernanceAutomation\SharePoint Solutions\GAPolicyBar.wsp

*Note: Replace C:\Program Files\AvePoint\GovernanceAutomation\SharePoint

Solutions\ with the exact path where the solution resides.

4. Press Enter. You will see the message Operation completed successfully when the solution has been added to the solution store.

5. Navigate to SharePoint Central Administration > System Settings > Farm Management, and then click Manage farm solutions.

6. Click gapolicybar.wsp and then click Deploy Solution to deploy it.

7. Go to the site collection where you are about to add the site policy bar.

8. Navigate to Settings > Site settings > Site Collection Administration > Site collection features.

9. Find Governance Automation Policy Bar and click Activate.

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Post-installation Procedures

Upon initial installation, Governance Automation requires additional modifications and configurations in

order for it to communicate properly with DocAve and within your farm. Review each section below

carefully and follow the instructions provided.

Allowing Full Control Permission to the DocAve Private Key

For Governance Automation to communicate with the DocAve Control service, the service account(s) for

the Governance Automation Workflow Service, Governance Automation Timer Service, and Application

Pool must have the Full Control permission to the DocAve private key. To allow the service account(s)

Full Control to the DocAve private key, complete the following steps:

1. Navigate to the server where Governance Automation is installed.

2. Navigate to Start > Run, enter mmc in the Open text box, and click OK.

3. In the pop-up window, click File > Add/Remove Snap-in….

4. Select Certificates on the left pane and click Add>.

5. Select Computer account for the local machine, click Next, and then click Finish.

6. Click OK and the Add or Remove Snap-ins window is closed.

7. On the left pane, expand the Certificates (Local Computer) node, and then expand the Personal node.

8. Click the Certificates node.

9. Right-click the certificate DocAve on the right pane, then select All Tasks > Manage Private Keys.

10. In the pop-up window, respectively select the service account for Governance Automation Workflow Service, Governance Automation Timer Service, and Application Pool, then select the Allow checkbox for Full control.

11. Click Apply to apply the configurations.

12. Click OK to save the application.

Enabling the Service Account to Listen to the Governance

Automation Workflow Service Port

When a request is submitted through the Governance Automation interface, the Governance

Automation Web site sends the request to the Governance Automation Workflow Service. To receive

requests, the service account for Governance Automation Timer Service must have permission to listen

to the port that hosts the Governance Automation Workflow Service. To enable the service account to

listen to the Workflow Service Port:

1. Navigate to the server where Governance Automation is installed.

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2. Navigate to Start > Command Prompt.

3. In the Command Prompt window, enter the command in the following format:

netsh http add urlacl url=http://+:workflowport/Uri/ user=domain\username

a. workflowport – Replace with the Governance Automation Workflow Service port.

b. Uri – Be replaced by the Uri value for each service type. To get the Uri value, follow the

steps below:

i. Navigate to …\AvePoint\GovernanceAutomation\Config.

ii. Find the WorkflowService file and open the file with Notepad.

iii. Click Edit > Find, enter Uri in the text box, and click Find Next. The value of the

Uri attribute is the one that will be used in the command.

iv. Repeat the step above to get the Uri value for each service type that will be

used in Service Catalogue.

c. domain\username – Replace with the service account for Governance Automation

Workflow Service.

4. Press Enter to execute the command.

*Note: The command must be executed for each service type that will be used in Service

Catalogue.

5. Navigate to Start > Administrative Tools > Services, and restart Governance Automation Workflow Service.

Changing the Certificate in IIS Manager

When attempting to access the Governance Automation login screen via a browser, a certificate error

may appear. To prevent the certificate error, access IIS manager and change the certificate that is used

to host the Governance Automation Web site to a fully trusted certificate. This will allow uninterrupted

communication between DocAve and Governance Automation. This certificate must be fully trusted by

all of the end-user computers in your environment. To change the certificate, complete the following

steps:

1. On the server where Governance Automation is installed, navigate to Start > Administrative Tools > Internet Information Services (IIS) Manager.

2. Expand the connection and expand Sites.

3. Right-click Governance Automation and click Edit Bindings…. The Site Bindings window appears.

4. Click the binding and click Edit…. The Edit Site Binding window appears.

5. In the SSL certificate drop-down list, select the certificate that is fully trusted by all of the client machines in your organization.

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6. Click OK to save your configurations.

7. Click Close to close the Site Bindings window.

8. After the certificate is successfully changed in IIS Manager, you must manually copy two configuration files to Governance Automation directories to complete the process. For these instructions, proceed to step 1 of Applying User-Defined Certificates.

Applying User-Defined Certificates

If a user-defined certificate was applied when installing DocAve Agent and Governance Automation, or if

you changed the built-in certificate to a user-defined certificate in the DocAve 6 Agent Configuration

Tool and Governance Automation Configuration Tool, the AgentCommonWCFBehaviors.config file

in …\AvePoint\DocAve6\Agent\bin and the GAControlWCFBehaviors.config file

in …\AvePoint\GovernanceAutomation\Config were automatically updated to reflect the certificate

change.

However, the AgentCommonWCFBehaviors.config file

in …\AvePoint\DocAve6\Agent\bin\GovernanceAutomation and the GAControlWCFBehaviors.config file

in …\AvePoint\GovernanceAutomation\bin\Config must be manually updated.

To manually update the .config files, complete the following steps:

1. On a DocAve Agent server, navigate to …\AvePoint\DocAve6\Agent\bin.

2. Find the AgentCommonWCFBehaviors.config file, right-click the file, and select Copy.

3. Navigate to …\AvePoint\DocAve6\Agent\bin\GovernanceAutomation and paste the copied .config file into this directory.

4. The Confirm File Replace window appears. Click Yes to proceed.

*Note: Steps 1-4 need to be performed on each DocAve Agent server.

5. On the server where Governance Automation is installed, navigate to …\AvePoint\GovernanceAutomation\Config.

6. Find the GAControlWCFBehaviors.config file, right-click the file, and select Copy.

7. Navigate to …\AvePoint\GovernanceAutomation\bin\Config and paste the copied .config file into this directory.

8. The Confirm File Replace window appears. Click Yes to proceed.

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Applying a Governance Automation License

The Governance Automation license is applied through DocAve using Control Panel’s License Manager.

To apply your new Governance Automation license:

1. Log into DocAve Manager and navigate to Control Panel > License Manager.

2. Click Import, and browse to where you extracted the content of the ZIP file to.

3. Select the license and click Open.

4. Click Apply on the ribbon to apply the license.

Once the license has been applied, Governance Automation will automatically be enabled and ready to

use.

*Note: To provision and manage Office 365 groups, you must have an online license for Governance

Automation. Otherwise, the Office 365 group related functions will not be visible. You can navigate to

DocAve Control Panel > License Manager, and check the license in the Remote Farm tab.

Logging into Governance Automation for the First Time

In Governance Automation, different administrator and business user accounts may be configured in the

Account Manager. However, when logging into Governance Automation for the first time, you must use

the built-in administrator account:

Login onto: Local System

Login ID: admin

Password: admin

Configuring Authentication Types

See the sections below for instructions on configuring AD, ADFS, Windows, and Azure AD

Authentication.

Configuring AD Authentication

To grant your users access to Governance Automation using their Active Directory (AD) account, the AD

must be configured and enabled in DocAve. For information on configuring AD Authentication in

DocAve, refer to the Authentication Manager section of the DocAve 6 Control Panel Reference Guide.

Then, refer to Synchronizing Authentication Configuration Changes to Governance Automation to

synchronize the AD Authentication to Governance Automation.

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Configuring ADFS Authentication

Governance Automation supports integration with Active Directory Federation Services (ADFS), provided

that you have ADFS authentication configured on your SharePoint Web applications.

There are two ways to integrate ADFS with Governance Automation:

• Integrating ADFS with Governance Automation through DocAve

• Integrating ADFS with Governance Automation through Governance Automation Itself

*Note: If Web application proxy has been configured in your environment, you must select to integrate

ADFS with Governance Automation through Governance Automation itself.

Integrating ADFS with Governance Automation through DocAve

Complete the following steps to integrate ADFS with Governance Automation through DocAve:

1. Configure ADFS Integration in DocAve.

In DocAve Manager, navigate to Control Panel > Authentication Manager and click ADFS

Integration on the ribbon. The ADFS Integration Configured Wizard appears. For more

information about how to configure the settings of the ADFS Integration Configured Wizard,

refer to the Configuring ADFS Integration section in the DocAve 6 Control Panel Reference

Guide.

2. Modify the Global.config file by the following the steps below:

a. Go to the Governance Automation server and navigate

to …\AvePoint\GovernanceAutomation\Config.

b. Find the Global.config file and open it with Notepad.

c. Find the peoplePickerStaticSource attribute and modify the value of Enabled to true.

i. FarmId – Enter the ID of the farm where the ADFS users reside.

ii. WebApplicationUrl – Enter the URL of the Web application where the ADFS

users reside.

Figure 12: An example of the modified Global.config file.

d. Save and close the Global.config file.

3. Navigate to Start > Administrative Tools > Services; restart Governance Automation Timer Service and Governance Automation Workflow Service.

4. Navigate to Internet Information Services (IIS) Manager > Application Pools.

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5. Right-click the application pool for Governance Automation and select Recycle…. The Governance Automation application pool restarts.

6. Synchronize ADFS Integration to Governance Automation.

After the ADFS Integration is configured in DocAve Authentication Manager, the configuration

must be synchronized to Governance Automation.

Refer to Synchronizing Authentication Configuration Changes to Governance Automation to

perform the synchronization.

Integrating ADFS with Governance Automation through Governance Automation Itself

Complete the following steps to integrate ADFS with Governance Automation through Governance

Automation itself:

1. Configure ADFS Integration in DocAve.

In DocAve Manager, navigate to Control Panel > Authentication Manager and click ADFS

Integration on the ribbon. The ADFS Integration Configured Wizard appears. For more

information about how to configure the settings of the ADFS Integration Configured Wizard,

refer to the Configuring ADFS Integration section in the DocAve 6 Control Panel Reference

Guide.

2. Add a Replying Party Trust for DocAve Governance Automation.

In the ADFS server, navigate to AD FS Management > Replying Party Trusts. Add a replying

party trust for DocAve Governance Automation. Make sure the endpoint be the URL of DocAve

Governance Automation and the claim rule be the same as DocAve’s.

3. Modify the Web.config file. Complete the following steps:

a. Go to the Governance Automation server and navigate

to …\AvePoint\GovernanceAutomation.

b. Find the Web.config file and open it with Notepad.

c. Find the wsFederation attribute.

d. Modify the value of the Issuer node according to the following format:

https://youradfsserver/adfs/ls.

*Note: Replace youradfsserver with the name of the ADFS server.

e. Modify the value of realm to the replying party trust identifier of your Governance

Automation.

*Note: Go to the ADFS server. In AD FS Management > Replying Party Trusts, select the

previously configured replying party trust of Governance Automation. View the

properties and find the replying party trust identifier of DocAve Governance Automation

in the Identifiers tab.

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Figure 13: The location of Replying Party Identifiers.

Figure 14: An example of the modified Web.config file.

f. Save and close the Web.config file.

4. Modify the Global.config file. Complete the following steps:

a. Go to the Governance Automation server and navigate

to …\AvePoint\GovernanceAutomation\Config.

b. Find the Global.config file and open it with Notepad.

c. Find the </peoplePickerStaticSource> node, and add the following attribute under this

node:

<ADFS PassThroughDocAve="False" IsPersistent="false">

d. If you want Governance Automation to retrieve properties of ADFS users, for example,

department, add the following node within the first level node <config>. For example,

add it under the attribute added in step c.

<ADFS>

<Manager>Claim Type</Manager>

<Department>Claim Type</Department>

<DisplayName>Claim Type</DisplayName>

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<Mail>Claim Type</Mail>

</ADFS>

*Note: Replace Claim Type with the corresponding property’s claim type.

e. If you want to validate ADFS users in Governance Automation people picker text box,

find the peoplePickerStaticSource attribute and modify the value of Enabled to true.

i. FarmId – Enter the ID of the farm where the ADFS users reside.

ii. WebApplicationUrl – Enter the URL of the Web application where the ADFS

users reside.

f. Save and close the Global.config file.

5. Navigate to Start > Administrative Tools > Services; restart Governance Automation Timer Service and Governance Automation Workflow Service.

6. Navigate to Internet Information Services (IIS) Manager > Application Pools.

7. Right-click the application pool for Governance Automation and select Recycle…. The Governance Automation application pool restarts.

8. Synchronize ADFS Integration to Governance Automation.

Integrating ADFS Enabled with SAML 2.0 Protocol with Governance Automation

through Governance Automation Itself

Governance Automation supports integration with ADFS that has Security Assertion Markup Language

2.0 (SAML 2.0) enabled. Follow the instructions below to integrate ADFS enabled with SAML 2.0 with

Governance Automation:

1. Configure ADFS Integration in DocAve.

In DocAve Manager, navigate to Control Panel > Authentication Manager and click ADFS

Integration on the ribbon. The ADFS Integration Configured Wizard appears. For more

information about how to configure the settings of the ADFS Integration Configured Wizard,

refer to the Configuring ADFS Integration section in the DocAve 6 Control Panel Reference

Guide.

2. Add a Relying Party Trust for DocAve Governance Automation.

In the ADFS server, navigate to AD FS Management > Replying Party Trusts. Add a relying party

trust for DocAve Governance Automation. Select Configure URL in the left pane and select the

Enable support for the SAML 2.0 WebSSO protocol checkbox on the right pane. Make sure the

endpoint be the Governance Automation URL that is in the format of https://GAHost:GAPort.

• GAHost – The host name of your Governance Automation server.

• GAPort – The port number of your Governance Automation.

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Figure 15: The Add Replying Party Trust Wizard Window.

3. Modify the Web.config file. Complete the following steps:

a. Go to the Governance Automation server and navigate

to …\AvePoint\GovernanceAutomation.

b. Find the Web.config file and open it with Notepad.

c. Find the configSections attribute and add the following nodes under this attribute:

<section name="kentor.authServices"

type="GA.Repository.Interop.KentorAuthServicesSection, GAInterop" />

d. Find the configuration attribute, and add the following nodes under this attribute:

<Kentor.authServices entityId=”https://gaserver/”

returnUrl=”https://gaserver/” modulePath=”/Account”>

<federations>

<add metadataLocation=”https://adfsserver/FederationMetadata/2007-

06/FederationMetadata.xml” allowUnsolicitedAuthnResponse=”true”/>

</fedrations>

</kentor.authServices>

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Note the following:

o gaserver – Replace this value with the name of your Governance Automation server.

o adfsserver – Replace this value with the name of your ADFS server.

e. Save and close the Web.config file.

4. Modify the Global.config file. Complete the following steps:

a. Go to the Governance Automation server and navigate

to …\AvePoint\GovernanceAutomation\Config.

b. Find the Global.config file and open it with Notepad.

c. Find the </peoplePickerStaticSource> node, and add the following node under this

node:

<ADFS PassThroughDocAve=”False” IsPersistent=”false”

RelyingPartyProtocol=”Saml”>

d. If you want Governance Automation to retrieve properties of ADFS users, for example,

their department, add the following nodes within the first level node <config>.

<ADFS>

<Manager>Claim Type</Manager>

<Department>Claim Type</Department>

<DisplayName>Claim Type</DisplayName>

<Mail>Claim Type</Mail>

</ADFS>

*Note: Replace Claim Type with the corresponding property’s claim type.

e. If you want to validate ADFS users in Governance Automation people picker text box,

find the peoplePickerStaticSouce attribute and modify the value of Enabled to true.

i. FarmId – Enter the ID of the farm where the ADFS users reside.

ii. WebApplicationUrl – Enter the URL of the Web application where the ADFS

users reside.

f. Save and close the Globa.config file.

5. Navigate to Start > Administrative Tools > Services; restart Governance Automation Timer Service and Governance Automation Workflow Service.

6. Navigate to Internet Information Services (IIS) Manager > Application Pools.

7. Right-click the application pool for Governance Automation and select Recycle…. The Governance Automation application pool restarts.

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8. Synchronize ADFS Integration to Governance Automation.

Setting Windows Authentication as the Default Login Method

Governance Automation supports setting Windows Authentication as the default method so that your

Windows account will be used to automatically log into Governance Automation.

To set Windows Authentication as the default method to log into Governance Automation, complete the

following steps:

1. Install the Windows Authentication role service on the server where DocAve Control service is installed. (If the role has already been installed, skip this step)

a. Navigate to Start > Administrative Tools > Server Manager.

b. Click Roles.

c. Click Add Role Services on the right pane. The Add Role Services window appears.

d. Select the Windows Authentication checkbox.

e. Click Next to confirm your selection.

f. Click Install to install the Windows Authentication role service.

2. Enable Windows Authentication on the server where DocAve Control service is installed.

a. Navigate to Start > Internet Information Services (IIS) Manager.

b. Click your connection and then double-click Authentication.

c. Right-click Windows Authentication and click Enable.

3. Configure Windows Authentication in DocAve Manager.

a. Navigate to Control Panel > Authentication Manager.

b. Click Windows Authentication on the ribbon.

c. Select NTLM as the authentication type.

d. Click OK to save your configuration and go back to the homepage of Authentication

Manager.

e. In the field of Windows Authentication, click Set as default.

4. Configure User Authentication in your Web browser.

a. In Internet Explorer, navigate to Internet Options > Security.

b. In the Internet zone, click Custom level….

c. In the User Authentication section, select Automatic logon with current user name and

password.

d. Click OK to save the Internet zone configuration.

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e. Click Apply to apply your changes.

f. Click OK to save your security configuration.

5. Synchronize Windows Authentication to Governance Automation.

After Windows Authentication is configured in DocAve Authentication Manager, the

configuration must be synchronized to Governance Automation.

Refer to Synchronizing Authentication Configuration Changes to Governance Automation to

perform the synchronization.

Windows Authentication is now set as the default login method for DocAve and Governance

Automation. When you access Governance Automation, Governance Automation automatically uses

your Windows account to log you in, and you are brought directly to the Governance Automation

homepage.

Configuring Azure AD Authentication

Azure AD authentication allows users to log into Governance Automation with their Office 365 accounts.

To enable Azure AD authentication, complete the following steps:

1. Create an application for Microsoft Azure Active Directory. For details, refer to the instructions in the Creating Azure Active Directory Applications section.

2. Create an app profile for the Azure AD application. For details, refer to the instructions in the Creating App Profiles section.

Configuring E-mail Notification Settings

Governance Automation e-mail notifications leverages SMTP settings configured in DocAve. For

Governance Automation to send out e-mail notifications, you must first configure the Send E-Mail

Settings in DocAve. For information on configuring the Send E-Mail Settings in DocAve, refer to the User

Notification Settings section of the DocAve 6 Control Panel Reference Guide.

Registering SharePoint Online Admin Centers/Site Collections

To use Governance Automation to manage content in SharePoint Online, you must first register the

SharePoint Online admin centers or site collections in DocAve. Refer to the following steps to register

SharePoint Online admin centers and site collections in DocAve:

1. In DocAve Manager, navigate to Control Panel > Registered SharePoint Sites.

2. Select the Default_SharePoint Sites_Group or a newly created SharePoint Sites group.

3. Click Manage Site Collection on the ribbon.

4. Click Add on the ribbon.

5. Enter the Site collection URL, Username, and Password in the corresponding text boxes.

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*Note: To register a SharePoint Online admin center, enter the admin center URL in the Site

collection URL text box.

6. Click Save to save your configurations.

*Note: To properly retrieve data, AvePoint strongly recommends that a SharePoint Sites group contains only those site collections that are in the same SharePoint Online admin center.

For more information about managing SharePoint Sites in DocAve Control Panel, refer to the DocAve

Control Panel Reference Guide.

Turning off the Validation of SharePoint Online Users

After you registered the SharePoint Online site collections in DocAve, Governance Automation will check

users of both SharePoint on-premises and SharePoint Online simultaneously. This will take some time. If

you do not want to use Governance Automation to manage these SharePoint Online site collections,

modify the Global.config configuration file to turn off Governance Automation’s ability to check

SharePoint Online users so that it will take less time to check only the SharePoint on-premises users.

*Note: This feature will impact the following people picker:

• The people picker for the Person or Group type of metadata in service requests.

• The people picker within Change Site Collection Contact or Administrator service request with the change method of by user.

Complete the following steps:

1. On the Governance Automation server, navigate to the …\AvePoint\GovernanceAutomation\Config directory.

2. Find the Global.config file and open it with Notepad.

3. Find the <CanCheckOnlineUser Enabled=”true”></CanCheckOnlineUser> node and modify the true value to false.

4. Save and close the file.

5. Navigate to the Internet Information Services (IIS) Manager > Application Pools.

6. Right-click the application pool for Governance Automation and select Recycle….The Governance Automation application pool restarts.

7. After completing the steps above, the Governance Automation’s ability to check SharePoint Online users will be turned off.

Configuring Language, Time Zone, Date/Time Format, and Office

365 Account Settings

When you first log into DocAve Governance Automation, the Configure Personal Settings window

appears. Follow the instructions below to configure your personal settings.

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1. Language – Select a display Language from the drop-down list.

2. Time Zone and Date/Time Format – Select the display time zone, date format, and time format for the Governance Automation interface.

3. Office 365 Account – Enter the Office 365 account that will be mapped to the currently logged-in user. This enables the current user to manage content in SharePoint Online through Governance Automation.

*Note: The entered Office 365 account must be in the format of [email protected].

4. Click Save on the ribbon; a window appears.

5. Enter the password for the Office 365 account in the text box and click OK to save your configuration; the display language, time zone, date format, and time format will change automatically. Click Cancel to close the window without saving any configurations.

6. If desired, select the Do not show again when I login next time checkbox to log into Governance Automation without displaying the Configure Personal Settings window.

*Note: Personal settings can be configured at any time by clicking your account name in the top-

right corner of the Governance Automation interface.

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Getting Started with Governance Automation

The sections below detail what you must configure in order to use Governance Automation (Account

Manager, Approval Processes, Policies, and Services). These instructions should be followed in order,

from Configuring Account Manager through Configuring Services. Additional optional configurations are

described in Additional Governance Automation Configurations.

Configuring Account Manager

Account Manager allows you to manage user accounts and groups for Governance Automation. There

are two default groups used to manage user accounts for Governance Automation:

• Administrator Group – Users in this group are able to access both the administrator and business user interface of Governance Automation, giving them the ability to configure system settings, monitor requests and tasks, and maintain services, as well as submit and approve requests for services.

• Business User Group – Users in this group are only able to access the business user interface of Governance Automation, allowing them to submit and approve requests for allowed services. Custom Business User Groups may be created allowing designated users to also view Governance Automation reports for monitoring processes and ownership of site collections.

Additional custom user groups can be created to allow certain users to view reports, dashboard, and

monitor all requests and tasks.

To configure Account Manager for Governance Automation, click Account Manager in the System group

within the Settings page.

Managing Governance Automation Groups

In Account Manager, you can change the number of groups displayed per page by selecting the desired

number from the Show rows drop-down list in the top right-hand corner. To sort the groups, click the

sort ( ) button in a column heading such as Group Name, and Description.

You can perform the following actions in the Account Manager interface:

• Create Group ‒ Create groups of user accounts for Governance Automation. For information about creating groups in Governance Automation, see Creating New User Groups.

• Edit Group ‒ Modify custom user group information or reassign group permissions. For information about editing groups in Governance Automation, see Creating New User Groups.

• View User(s) ‒ View the user accounts within a selected group. Within the groups, you can add or remove user accounts. For information about adding users or removing user accounts, see Adding or Removing Users.

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• Delete Group ‒ Remove a group from Governance Automation. A confirmation window will pop up when you click Delete Group. Click OK to delete the selected group, or click Cancel to return to the Account Manager interface without deleting the selected group. Note that the Administrator Group and Business User Groups cannot be deleted.

Managing Administrator Accounts

To view and manage the administrators for Governance Automation, in the Account Manager interface,

select Administrator Group and click View User(s) on the ribbon. All previously configured

administrators are listed in the Administrator Group interface.

In this interface, you can change the number of administrator accounts displayed per page by selecting

the desired number from the Show rows drop-down list in the top right-hand corner. To sort the user

accounts, click the sort ( ) button in a column heading such as Username and Permission. Then choose

Ascending or Descending. You can also filter Permission by clicking the filter ( ) button.

You can perform the following actions in the Administrator Group interface:

• Add User ‒To add a user to the Administrator Group, click Add User on the ribbon. You are brought to the Add User interface.

i. Add User(s) ‒ Enter the username of the users/groups you wish to add into the

text box. Then press Enter to check that the names are valid.

ii. Permissions ‒ Select the permission level for this administrator by choosing the

corresponding options. Full Control to all farms gives the user control over all

farms using Governance Automation, while Integrate with SharePoint

Permissions gives the user control to only farms that they are a SharePoint

administrator of.

iii. Click Save on the ribbon to save the configurations, or click Cancel to return to

the Administrator Group interface without saving any configurations.

• Edit ‒To change the permission level of an administrator, select the user by clicking the username, then click Edit on the ribbon. You are brought to the Edit User interface. Select the permission level for this administrator by choosing the corresponding options. Full Control to all farms gives the user control over all farms using Governance Automation, while Integrate with SharePoint Permissions gives the user control to only farms that they are a SharePoint administrator of.

Click Save on the ribbon to save the modifications, or click Cancel to return to the

Administrator Group interface without modifying the settings of the selected user.

• Remove User from Group ‒ To remove an administrator from Governance Automation, select the user by clicking the username, then click Remove User from Group on the ribbon. A confirmation window will pop up. Click OK to delete the selected user, or click Cancel to return to the Administrator Group interface without deleting the selected user.

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Managing Business Users

To view and manage the business users for Governance Automation, in the Account Manager interface,

select Business User Group and click View User(s) on the ribbon. Click Back on the ribbon to return to

the Account Manager interface. All previously configured business users will be listed in the Business

User Group interface and you can perform the following actions.

• Add User ‒ To add a user to the Business User Group, click Add User on the ribbon. You will be brought to the Add User interface. Enter the name of the users/groups you wish to add in the text box. Then press Enter to check that the names are valid.

Click Save on the ribbon to save the configurations, or click Cancel to return to the

Business User Group interface without saving any configurations.

• Remove User from Group‒ To remove a business user from Governance Automation, select the user, then click Remove User from Group on the ribbon. A confirmation window will pop up. Click OK to delete the selected user, or click Cancel to return to the Business User Group interface without deleting the selected user.

Creating New User Groups

To create a new user group for Governance Automation, in the Account Manager interface, click Create

Group on the ribbon. To modify a previously configured group, select the desired group, and click Edit

Group on the ribbon. These groups are aimed to give the business users’ permissions to view the

reports, activities, requests, and tasks.

In the Create Group or Edit Group interface, configure the following settings:

1. Group Information ‒ Enter a Group Name in the provided text box. Then enter an optional Group Description for group for future reference

2. Permissions ‒ Assign the permissions to the group by selecting the corresponding checkbox.

*Note: You can select the Enable security trimming checkbox for Site Collection Report or Site

Report. If the security trimming is enabled, in Site Collection Report or Site Report, the group

users can only view site collections or sites to which they have the following permissions:

• Site level permissions: Open and View Pages

• List level permissions: View Items

3. Click Save to save the configurations, or click Cancel to return to the Account Manager interface without creating the group.

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Adding or Removing Users

To add a user into a group, refer to the instructions below:

1. In the Account Manager interface, select a group by clicking the group name, and then click View User(s) on the ribbon.

2. Within the group, click Add User on the ribbon. You will be brought to the Add User interface.

3. Enter the name of the users/groups you wish to add in the text box. Then press Enter to check that the names are valid.

4. Click Save on the ribbon to save the configurations, or click Cancel to return to the group interface without adding any users.

To remove a user from a group, refer to the instructions below:

1. In the Account Manager interface, select a group by clicking the group name, and then click View User(s) on the ribbon.

2. Within the group, select the desired user by clicking the Username, and click Remove User from Group on the ribbon. Then a confirmation window will pop up.

3. Click OK to delete the selected user, or click Cancel to return to the group interface without deleting the selected user.

Synchronizing Authentication Configuration Changes to Governance

Automation

If you make authentication changes in DocAve and you wish to apply these authentication

configurations to Governance Automation, you must manually synchronize the changed configurations

to Governance Automation.

To perform the synchronization, click Synchronize Authentication in the Account Manager interface.

A new tab appears with the Success message. The changed authentication configurations are

synchronized to Governance Automation successfully.

Enabling a User Profile Service

The User Profile Service application in Microsoft SharePoint Server 2010/2013/2016 and SharePoint

Online stores user information in a central location. The User Profile Service automatically retrieves user

properties from SharePoint user profiles.

If you are using a custom database to store user information, refer to Retrieving User Information from

a Custom Database for instructions on synchronizing with DocAve Governance Automation.

To enable a User Profile Service for Governance Automation, navigate to the Governance Automation

homepage, click Settings, and then click User Profile Settings within the SharePoint group.

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Follow the instructions below to enable a User Profile Service:

1. In the User Profile Settings interface, select the Enable User Profile Settings checkbox to have Governance Automation retrieve user properties from SharePoint user profiles.

2. Select a farm or My Registered Sites from the Farm Name drop-down list. This is the location that will be leveraging the User Profile Service.

• If My Registered Sites is selected, the SharePoint Online Admin Center field appears. Select an admin center from the drop-down list. The user profile of the logged-in user’s mapped Office 365 account will be retrieved.

• If a farm is selected, the User Profile Service Name field appears. Select a User Profile Service from the drop-down list.

*Note: User Profile Services that are shared with the selected farm can also be loaded.

3. Click Save on the ribbon to save the configurations, or click Cancel to return to the Settings interface without saving the configurations.

Retrieving User Information from a Custom Database

To retrieve user information from a custom database, follow the instructions below:

1. Add the GAContract.dll file that is in …\AvePoint\GovernanceAutomation\bin as a reference.

2. Make a class and inherit the ICustomRoleService interface.

3. Implement interface ICustomRoleService.

4. Note that the user data must contain the following information: IdentityName, Manager, and IsDeleted.

5. Build the DLL file and add to …\AvePoint\GovernanceAutomation\bin

6. Navigate to …\AvePoint\GovernanceAutomation and right-click the Global.config file to open with Notepad.

7. Find the LoadCustomRolesConfig node and modify the value to True.

8. Add the assembly information to the highlighted area below:

Figure 16: Modify the Global.config file

9. Save and close the file.

10. Navigate to Start > Administrative Tools > Services; restart Governance Automation Timer Service and Governance Automation Workflow Service.

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11. Navigate to Internet Information Services (IIS) Manager > Application Pools.

12. Right-click the application pool for Governance Automation and select Recycle…. The Governance Automation application pool restarts.

13. Upon completion of the steps above, DocAve Governance Automation will retrieve user metadata from the customized database and synchronize user information.

Configuring Approval Process

To create or manage approval processes, click Approval Process in the Administrator landing page.

A Governance Automation approval process is a defined process to automatically obtain approval for a

SharePoint or DocAve management operation. With approval processes properly configured, these

operations can be completed efficiently by standardizing the process, without human error.

In Approval Process Management, all of the Governance Automation approval processes you have

configured are displayed. You may change the number of approval processes displayed per page, as well

the order they are displayed in. To change the number of approval processes displayed per page, select

the desired number from the Show rows drop-down list in the top right-hand corner. To sort the

approval processes, click the sort ( ) button in a column heading such as Approval Process, Category,

Last Modified Time, and Created By.

You can customize how the approval processes are displayed in the following ways:

• Search – Allows you to filter approval processes displayed by the keyword you designate. The Approval Process column and the Created By column support searching for the desired approval process, and only the content in the column displayed in the current view can be searched.

• Manage columns ( ) – You can manage which columns are displayed in the list so that

only information you want to see is displayed. Click the manage columns ( ) button, then select the checkbox next to the column name to have that column shown in the list. Click All to select the checkboxes of all columns and have all columns displayed in the list or click None to deselect the checkboxes of all columns and have none columns displayed in the list.

• Filter items ( ) – This allows you to filter which item in the list is displayed. Click the

filter items ( ) button of the column you want to filter, and then select the checkbox next to the item name to have that item shown in the list.

You can perform the following actions in Approval Process Management:

• Create – Click Create on the ribbon to go to the Create Approval Process interface. See Creating or Editing Approval Processes for details on creating a new approval process.

• View Details – Click an approval process name for detailed information about the approval process.

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• Edit – Select an inactive approval process, and click Edit on the ribbon. See Creating or Editing Approval Processes for details on editing an existing approval process.

• Delete – Select an inactive approval process, and click Delete on the ribbon. A confirmation window will pop up for this deletion. Click OK to delete the selected approval process, or click Cancel to return to the Approval Process Management interface without deleting the selected approval process.

• Activate – Select the approval processes you want to activate, and click Activate on the ribbon. Active approval processes can be used in policies and services.

• Deactivate – Select the approval processes you want to deactivate, and click Deactivate on the ribbon.

Creating or Editing Approval Processes

To create a new approval process, click Create on the ribbon in the Approval Process Management

interface. You will be brought to the Create Approval Process interface. To modify a previously

configured approval process, select the approval process in the Approval Process Management

interface, and click Edit on the ribbon.

Follow the instructions below to configure an approval process:

1. Approval Process Name – Enter a Name and an optional Description for this approval process in the corresponding text boxes.

2. Approval Process Category – Categories are used to organize your Governance Automation approval processes. Select an existing category from the drop-down list or click Create New to create a new one.

3. Approval Process Stages – Choose the approval method:

• Use approval stages – Choose Use approval stages and select the number of approval stages. Having multiple approval stages provides flexibility based on your governance needs. You can also select to automatically approve the task if the requester and the approver are the same person.

• Auto-approve – Choose Auto-approve and services using this approval process will be performed automatically upon request.

• Integrate with SharePoint Workflow – Choose Integrate with SharePoint Workflow, then select a SharePoint Workflow integration profile and a SharePoint Workflow. For more information about SharePoint Workflow integration profiles, refer to Creating or Editing SharePoint Workflow Integration Profiles.

The approval process will be executed according to the selected workflow.

*Note: The approval process with Integrate with SharePoint Workflow enabled can

only be applied to the following services or site collection policy fields:

o Create Site Collection Service

o Create Site Service

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o Create My Site Service

o Content Move Service

o Content Migration Service

o Site Lifecycle Management Service

o Grant Permissions Service

o Site Collection Lifecycle Management Service, the approval processes for this service are selected in the Site Collection Lifecycle Management Request Types section within the related site collection policy.

o Site Collection Policy: Site Collection Inactivity Threshold Management/Site Collection Lease Period Management > Enable automated locking > Start an additional site collection lifecycle action to escalate > Use a unique approval process for this automated action.

• Integrate with K2 Workflow – Choose Integrate with K2 Workflow, then configure the following settings:

o K2 Workflow server host – Enter the hostname of the K2 Workflow server.

o K2 Workflow manager port – Enter the port number of K2 Workflow manager.

o K2 Workflow name – Select the K2 Workflow that will be used to execute the approval process.

To integrate the Governance Automation approval processes with K2 Workflow, you

must build the communication between Governance Automation and K2 Workflow, and

add specific Web API. For more information. Refer to Appendix G: Building the

Communication between Governance Automation and K2 Workflow and Appendix H:

Web API for K2 Workflow Integration.

*Note: The approval process with Integrate with K2 Workflow enabled cannot be

applied to:

o Clone or Transfer User Permissions Service

o Change Permissions Service

o Site Collection Policy

▪ DocAve Configurations > Enable site collection content archival using DocAve Archiver

▪ DocAve Configurations > Enable site collection content archival using DocAve RevIM

▪ Site Collection Inactivity Threshold Management > Generate a site collection inactivity threshold task when the site collection has not been accessed for a specific period of time

▪ Site Collection Lease Period Management > Generate a site collection lease period task when the site collection is created or when the site collection lease is extended a specific period of time

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o Recertification Profile

4. CC – Specify additional users who you want to be notified when the service request is completed without assigning tasks to them. By default, Governance Automation will notify all of the approvers and the requester upon request completion. Enter the usernames in the provided text box. Press Enter to check that the names are valid.

You can also enter $ to select the following roles:

• $Managers of Approvers

*Note: If you choose Auto-approve, Integrate with SharePoint Workflow, or Integrate

with K2 Workflow in Approval Process Stages, this role is unavailable.

• $Administrator Contact

• $Requester

• $Manager of Requester

• $Primary Site Collection Contact

• $Secondary Site Collection Contact

• $Primary Site Contact

• $Secondary Site Contact

• $Primary Site Collection Administrator

• $Secondary Site Collection Administrator

• $Farm Administrator

• $New Site Contact

• $Managers of Previous Stage Approvers

• $Source User

• $Target User

• $New Site Collection Contact/Administrator

• $Primary Site Contact of Source

• $Secondary Site Contact of Source

• $Primary Site Contact of Target

• $Secondary Site Contact of Target

• $Approvers

• $Site Members

• $Site Owners

• $Designers

• $Hierarchy Managers

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• $Quick Deploy Users

• $Additional Site Collection Administrators

• $Farm Administrator of Source

• $Farm Administrator of Target

• $Primary Site Collection Contact of Source

• $Primary Site Collection Contact of Target

• $Secondary Site Collection Contact of Source

• $Secondary Site Collection Contact of Target

• $Primary Site Collection Administrator of Source

• $Primary Site Collection Administrator of Target

• $Secondary Site Collection Administrator of Source

• $Secondary Site Collection Administrator of Target

• $Additional Site Collection Administrators of Source

• $Additional Site Collection Administrators of Target

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

5. Select a Completion E-mail Template for this notification from the drop-down list. The Completion E-mail Template can be configured in the Settings of Governance Automation.

6. If you select Auto-approve, skip the following steps and choose one of the following options:

• Click Save to save all of the configurations and return to the Approval Process Management interface.

• Click Save and Activate to save all of the configurations and activate this approval process.

• Click Cancel to return to the Approval Process Management interface without saving any changes.

7. If you chose to use approval stages, continue to the Stage One Configurations.

8. Stage Name – Enter a Name for the first level stage. By default, its name is First Stage Approval. Then enter an optional Description for future reference.

9. Approver(s) – Specify the first stage approvers. All approvers will be assigned a task when this approval process starts.

*Note: In order to leverage role based approval, User Profile Service must be configured and

enabled in at least one of your SharePoint farms, and be enabled in Governance Automation

Settings.

• Specify the Role – Specify the approver relevant to the user making the request. This may be preferable to specifying specific users since role based approval can adapt to personnel shifts in your organization.

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Enter $ in the Assign To text box and a list of roles appear in the drop-down list. Select

the role of the person designated to be the approver for this approval stage from the

drop-down list. You can enter more than one role, but if more than one role is

appointed for a given stage, all approvers of all selected roles for that stage must

approve the request in order to proceed to the next approval stage.

The following roles are available, but the roles vary when specifying roles in different

types of services. For detailed descriptions of roles, refer to Appendix A: Supported

Variable Roles.

o $Farm Administrator

o $Primary Site Collection Contact

o $Secondary Site Collection Contact

o $Primary Site Contact

o $Secondary Site Contact

o $Primary Site Collection Administrator

o $Secondary Site Collection Administrator

o $Additional Site Collection Administrators

o $Farm Administrator of Source

o $Primary Site Collection Contact of Source

o $Secondary Site Collection Contact of Source

o $Primary Site Contact of Source

o $Secondary Site Contact of Source

o $Primary Site Collection Administrator of Source

o $Secondary Site Collection Administrator of Source

o $Additional Site Collection Administrators of Source

o $Farm Administrator of Target

o $Primary Site Collection Contact of Target

o $Secondary Site Collection Contact of Target

o $Primary Site Contact of Target

o $Secondary Site Contact of Target

o $Primary Site Collection Administrator of Target

o $Secondary Site Collection Administrator of Target

o $Additional Site Collection Administrators of Target

o $Source User

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o $Target User

o $New Site Collection Contact/Administrator

o $New Site Contact

o $Managers of Previous Stage Approvers

o $Requester

o $Manager of Requester

o $Approvers

o $Site Members

o $Site Owners

o $Designers

o $Hierarchy Managers

o $Quick Deploy Users

o $SharePoint Group (“Group Name”)

o $Site Collection Metadata ("Metadata Name")

o $Site Metadata ("Metadata Name")

o $Service Metadata ("Metadata Name")

An existing Lookup/Person or Group metadata with the Allow a variable role

reference to this metadata in the approval process option enabled.

Note the following if $Requester is selected as the approver:

o When the requester is the only approver, the task will be approved automatically.

o If the requester is one of the approvers and the approval order is One at a time (serial), the task generated for the requester is approved automatically and a new task is assigned for the next approver.

o When the requester is one of the approvers and the approval order is All at once (parallel), the task generated for the requester is approved automatically. The approval stage will be complete if Allow the approval stage to complete when one approver approves is selected. Otherwise, the approval stage will not be complete until the other approvers approve.

o When there are multiple approval stages (the requester is one of the approvers) and the approval order is One at a time (serial), the task generated for the requester will not be approved automatically if the request is modified by other approvers before the task is assigned to the requester.

o For tasks that contains a report (including Clone or Transfer User Permissions tasks, Grant Permissions tasks, Change Permissions tasks, Manual Archive tasks, and Permission Recertification tasks), they will not be approved automatically and the requester must manually approve the task.

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*Note: If you are editing an approval process that has been applied to existing services

or site collection policies, and you add unsupported roles to the existing services or site

collection policies, a window will appear to remind you that these roles are unsupported

when you click Save or Save and Activate. Hover the mouse over the warning ( ) icon

to the left of the roles. The names of the services or site collection policies that do not

support the roles will be displayed.

If multiple roles are entered, choose the order in which those tasks are assigned from

the Order drop-down list:

o One at a time (serial) – The users of your selected roles must approve one after another. If an approver of one role rejects the request, the approver of the next role will not be asked for approval.

o All at once (parallel) – The users of all selected roles will be notified at the same time. If an approver of any role rejects the request, the request will be rejected.

*Note: If this approval method is selected, you can further select Allow the

approval stage to complete when one approver approves. If one of the

selected users approves it, the request will complete.

• Specify the User – Enter the names of the users you wish to designate as approvers for this stage of the approval process. Press Enter to verify that the names are valid.

If multiple users are entered, choose the order in which those tasks are assigned from

the Order drop-down list:

o One at a time (serial) – The users you have selected must approve one after another. If an approver rejects the request, the next approver will not be asked for approval.

o All at once (parallel) – All selected users will be notified at the same time. If any approver rejects the request, the request will be rejected.

• Specify the Group – Enter the names of the groups you wish to designate as approvers for this stage of the approval process. Press Enter to verify that the names are valid. Governance Automation will assign the task to the groups. If the login user is a member of the groups, the task will be displayed in My Tasks interface. The task will be approved once any single member of the group approves it.

If multiple groups are entered, choose the order in which those tasks are assigned from

the Order drop-down list:

o One at a time (serial) – The groups you have entered must approve one after another. When a user of the first group approves the task, the task is assigned to the next group. If a group user rejects the request, the next group will not be asked for approval.

o All at once (parallel) – The task is assigned to all of the entered groups. If any group user rejects the request, the request will be rejected.

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You can also choose Allow approvers to reassign tasks to others. If the checkbox is

selected, the approver can reassign the task to another user.

10. E-mail Settings – Configure settings for e-mail notifications for this approval process. By default, the Notify the approver when the task is assigned checkbox and the Notify the requester when the request is rejected checkbox are selected. You can notify the requester once the request is approved by selecting the Notify the requester when the request is approved checkbox. Select the e-mail template you wish to use for each notification from the corresponding drop-down list.

*Note: If you choose Integrate with SharePoint Workflow or Integrate with K2 Workflow in

Approval Process Stages, the Notify the approver when the task is assigned checkbox is

unavailable.

*Note: E-mail templates are configured in E-mail Template section in Settings.

11. Duration and Escalation – Select the Enable Duration and Escalation checkbox to notify the escalation user that the original task has not been handled within the specified amount of time. A task will be assigned to the escalation user to continue the approval process. Make sure that the user receiving the escalated task has the right permissions to handle the task.

Click Add Escalation to add an escalation. Configure the following settings in the Add Escalation

window:

a. Reminder – You can choose whether to enable reminder before the escalation. If

enabled, a notification e-mail will be sent to the approver to notify the task.

i. Select the E-mail Template from the drop-down list for the notification e-mail.

ii. Define the time you want to send the notification e-mail before the escalation.

Enter a number in the text box and select either Day(s) or Week(s) as a time

unit.

iii. Enable recurrent reminder –You can choose to enable recurrent reminder to re-

send the notification e-mail in schedule. Enter a number in the text box to

define the schedule.

b. Duration and Escalation – Define how much time to allow an approver for completion

of his task before it is escalated and select the escalation action.

i. Duration – Enter a number in the Duration text box for the amount of time

allowed before the task is escalated, and select either Day(s), Week(s) as the

time unit for the duration.

ii. Escalation – Choose the action that the escalation will trigger from the drop-

down list.

▪ Notify – The entered users or groups will be notified when the task is escalated. Enter the usernames or groups names in the text box. These corresponding users are the persons who you want to notify to be responsible for this case. Press Enter to check that the name is valid.

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These users will be notified once the amount of time specified as the duration passes.

▪ Reassign to – The task will be reassigned to the entered user or group when the task is escalated. Enter the username or group name in the text box. The user or group users are the persons who you want this task to be reassigned to. Press Enter to check that the name is valid. The task will be reassigned to the selected user or every user in the selected group once the amount of time specified as the duration passes, and these users will receive e-mails to be notified that the task is reassigned to him or her. If the group is selected here, the task will be completed once any of the users in the group handles the task.

*Note: The task can only be re-assigned to one user or one group.

You may also enter $ to select the role in the text box to notify or reassign the

task. The following roles are available:

▪ $Primary Site Collection Contact

▪ $Secondary Site Collection Contact

▪ $Manager of Requester

▪ $Managers of Approvers

▪ $Current Stage Approvers

▪ $Manager of Source User

▪ $Manager of Target User

▪ $Approvers

▪ $Site Members

▪ $Site Owners

▪ $Designers

▪ $Hierarchy Managers

▪ $Quick Deploy Users

▪ $Service Metadata ("Metadata Name")

An existing Lookup/Person or Group metadata with the Allow a variable

role reference to this metadata in the approval process option

enabled.

▪ $Site Collection Metadata ("Metadata Name")

▪ $Site Metadata ("Metadata Name")

▪ SharePoint Group ("Metadata Name")

For detailed descriptions of roles, refer to Appendix A: Supported Variable

Roles.

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iii. Select an e-mail template for the notification sent when this approval task is

escalated.

iv. Click Save to add the escalation or click Cancel to return to the Create Approval

Process interface without saving any changes.

You can add more escalations by repeating the steps above. After you have added the

escalations, you can proceed the following operations:

• Change the order of an added escalation by selecting your desired order from the drop-down list in the Order column.

• Edit an added escalation by clicking the edit ( ) button. In the Edit Escalation window, edit any of the editable field you want to edit. Click Save to save your changes or click Cancel to return to the Create Approval Process interface without saving any changes.

• Delete an added escalation by clicking the delete ( ) button.

12. If more than one approval stage was selected, follow the instructions for Stage One Configurations for the remaining stages.

13. At any time, click the arrow on the left-hand side to return to the previous step to check or modify your configurations. When you have finished, choose one of the following options:

• Click Save to save all of the configurations and return to the Approval Process Management interface.

• Click Save and Activate to save all of the configurations and change the status to Active.

• Click Cancel to return to the Approval Process Management interface without saving any changes.

Building Customized Approval Processes

To add customized logic into an approval process before or after approval, follow the instructions

below:

1. Build a customized DLL file and add to …\AvePoint\GovernanceAutomation\bin.

2. Navigate to …\AvePoint\GovernanceAutomation\config and right-click the Global.config file to open with Notepad.

3. Find the WorkflowEvents node.

4. If you wish to add customized logic into an approval process before approval, find the child node BeforeApproval.

• Modify the value of CustomMethod Enable to true.

• Add the required information as the screenshot shows below.

o Assembly – The corresponding DLL information.

o Type – The class that the called method resides.

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o MethodName – The name of the called method. Note that you can only define one parameter here and the type of the parameter and the returned value must be object.

Figure 17: Build customized approval process (1)

• In the AgentProcess node, define the value of AgentProcess Enabled to choose whether to call the EXE file resides in the Agent server. Modify the value of WaitingForFinishing to choose to return the value when the process is finished.

*Note: The EXE file name must be the same as the name of the service for the

corresponding request.

*Note: If there are multiple Agents within a farm, make sure that the EXE file exists in

each Agent server.

Figure 18: Build customized approval process (2)

5. If you wish to add customized logic into an approval process after approval, find the child node AfterApproval and then define the values as shown in BeforeApproval.

6. Save and close the file.

7. Navigate to Start > Administrative Tools > Services; restart the Governance Automation Timer Service and the Governance Automation Workflow Service.

8. Navigate to Internet Information Services (IIS) Manager > Application Pools.

9. Right-click the application pool for Governance Automation and select Recycle…. The Governance Automation application pool restarts.

*Note: If you modify the value of Enabled to true in the above node, the custom approval process will take effects for all service type approval process.

Configuring Policies

To create or manage policies, click Policy in the Administrator landing page, or click Policy Management

in the navigation bar.

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A policy is an organization-wide set of rules and standards for governing specific SharePoint and DocAve

operations. Policies can be applied to services to enable automatic provisioning of SharePoint objects.

This allows for greater efficiency in provisioning SharePoint objects as identical SharePoint and DocAve

operations can be carried out and repeated by Governance Automation rather than an administrator.

This also helps reduce human error since a correctly set policy will apply the same settings to all services

associated with that policy.

In Policy Management, all of the Governance Automation policies you have configured are displayed.

You may change the number of policies displayed per page, as well the order they are displayed in. To

change the number of policies displayed per page, select the desired number from the Show rows drop-

down list in the upper right-hand corner. To sort the policies, click the sort ( ) button in a column

heading such as Policy, Category, Last Modified Time, and Created By then select Ascending or

Descending.

You can customize how the policies are displayed in the following ways:

• Search – Find policies based on the keywords entered. The Policy column and the Created By column support searching for the desired policies, and only the content in the column displayed in the current view can be searched.

• Manage columns ( ) – You can manage which columns are displayed in the list so that

only information you want to see is displayed. Click the manage columns ( ) button, then select the checkbox next to the column name to have that column shown in the list.

• Filter items ( ) – This allows you to filter which item in the list is displayed. Click the

filter items ( ) button of the column you want to filter, and then select the checkbox next to the item name to have that item shown in the list.

You can perform the following actions in Policy Management:

• Create – Click Create on the ribbon to display the Create New interface.

• View Details –Click the policy name to see detailed information.

• Edit – Select an inactive policy, and click Edit on the ribbon.

• Delete – Select an inactive policy, and click Delete on the ribbon. A confirmation window will pop up for this deletion. Click OK to delete the selected policy, or click Cancel to return to the Policy Management interface without deleting the selected policy.

• Copy – Duplicate the existing policy to make minor changes in order to save as a new policy. Select a desired policy by selecting the corresponding checkbox. Click Copy on the ribbon, and make the desired modifications.

• Activate – Select inactive policies, and click Activate on the ribbon to activate them.

• Deactivate – Select active policies, and click Deactivate on the ribbon to deactivate them. Make sure to deactivate all services that use the policies you want to deactivate.

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• Print – Select the policies you want to print and click Print Preview on the ribbon. Click Print on the ribbon. The print configuration page of your browser appears. Configure your desired settings and print the policy settings.

*Note: To avoid performance issues, AvePoint recommends that no more than ten

policies are printed at once.

*Note: In the Print Preview window, the detailed settings of all sections are displayed

by default. If the detailed setting of a section is hidden by clicking the hide ( ) button,

the detailed setting of this section will not be printed.

Creating or Editing Site Collection Policies

Site collection policy allows you to customize rules to automatically manage your site collection and

integrate DocAve features with the site collection once it is created successfully. Site collection policies

can be used in the Create Site Collection service. Site collection policies work in conjunction with Site

Collection Lifecycle Management services to not only automatically govern site collections associated

with each policy, but also empowers business users to easily manage the lifecycle of the site collections

they own.

To create a site collection policy, click Create on the ribbon on the Policy Management page, and then

click Site Collection Policy on the Create New page. To modify a previously configured policy, select the

inactive policy on the Policy Management page, and click Edit on the ribbon.

*Note: When you click Edit on the ribbon, a pop-up window appears to inform you that changes made

to this policy will not take effect on the previously created site collection in which this policy is applied,

except for the change to the Enable Site Collection Policy Change option. Click OK to go to the Edit

Policy interface, or click Cancel to close the pop-up window.

The site collection policy settings vary for SharePoint on-premises farm and SharePoint Online sites.

• If you select a specific farm in the Farm section to configure site collection policies for SharePoint on-premises, refer to Creating or Editing Site Collection Policies for SharePoint On-Premises.

• If you select My Registered Sites in the Farm section to configure site collection policies for SharePoint Online sites, refer to Creating or Editing Site Collection Policies for SharePoint Online.

Creating or Editing Site Collection Policies for SharePoint On-Premises

In the interface for creating or editing a site collection policy, configure the following settings:

1. Configuring the following basic information for the policy:

a. Policy Name and Description – Enter a Name for the new policy. Then enter an optional

Description for future reference in the Description text box.

b. Policy Category – Categories are used to organize Governance Automation policies.

Select an existing category from the drop-down list or create a new category for this

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policy by clicking Create New then configuring the new category in the Create Category

interface.

c. Farm – Select the farm you want this policy to cover from the drop-down list. The farms

displayed here are the ones that are managed by DocAve.

2. Click the arrow on the right-hand side to continue。

3. Configure the following SharePoint related settings for the site collections.

• Content Database – Select a database for the policy to store the site collection. Select one of the following options:

o Use default content database – Use the Web application’s default content database to store the newly created site collection. This option will also allow you to select any other existing databases.

*Note: If there are host-named site collections in the selected farm, the host

headers of the host-named site collections are displayed in the Host Header

column. Select the content database for each host header. When using the host

header to create host-named site collections based on this site collection policy,

the host-named site collections will be created in the selected content database.

o Generate database automatically – Generate a new database for the site collection automatically each time when creating a new site collection.

o Create a new database – Create a new database depending on the dynamic name rules. Enter the name rule in the Database Name text box.

The name rule as follows:

$WebAppSubDomain – Represents the sub domain of the Web application.

$WebAppPort – Represents the port of the Web application.

$ManagedPath – Represents the managed path of the site collection URL.

$SiteUrl – Represents the relative URL of the site collection.

For example, the URL of the site collection you want to create is

http://sp.avepoint.net:8080/sites/dev. Enter

SPDB_$WebAppSubDomain_$SiteUrl in the text box. The content database

name will be SPDB_sp_dev.

*Note: All site collections created with services associated with this policy will

all be using this content database.

o Use content database policy – Select a content database policy and apply the rules in the content database policy to create the content database. Select a previously created content database policy from the drop-down list or click Create New to create a new one in the pop-up window. For more information, refer to Creating or Editing Content Database Policies.

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• Site Collection Quota Template – Select a predefined Quota Template for the site collection to limit the amount of storage available on the site collection from the drop-down list. Quota templates are configured in the SharePoint.

• SharePoint Designer Configuration – Select the Enable SharePoint Designer checkbox to allow Site Owners and Designers to edit the sites in this site collection using SharePoint Designer. Site Collection Administrators will always be able to edit sites regardless of this configuration.

• Site Maximum Depth Limit – Site Depth limits the layers of sites that can be created under a site collection. Select Maximum depth and then enter a number that is less than 12 in the provided text box. Note that if you enter 1 as the site depth, sites cannot be created under site collections applied with this site collection policy.

• Site Policy Bar – Choose to display the site policy bar on the chrome bar within SharePoint sites.

*Note: To use this feature, the Governance Automation Policy Bar solution must be

deployed to SharePoint. For more information about how to deploy the solution, refer

to Deploying the Governance Automation Policy Bar Solution.

After the solution is deployed, select the Display site policy bar within SharePoint sites

checkbox and then configure the following settings:

o Policy icon image – Select the image for the policy icon. Click Browse and then select the image file. The following image formats are supported: .gif, .jpg, .png, .bmp, and .tiff.

o Bar background color – Select the background color for the site policy bar.

o Policy details reference URL – Enter the reference URL where users can view details of the policy. Click Validation Test to open the reference URL in a new tab and check whether the URL is valid.

*Note: The URL must begin with http://, https://, mailto:, new:, ftp://, /, or #.

4. Click the arrow on the right-hand side to continue.

5. Configure this policy to utilize DocAve products:

• Enable Granular Backup – Select this checkbox to include the site collection in a Granular Backup plan to provide data protection for site collections associated with this policy.

*Note: If this option is enabled, do not activate this policy until you have configured the

appropriate filter policy and added it to the selected Granular Backup plan.

For more information on how to configure filter policies for DocAve Granular Backup

and Restore to provide data protection for site collections created by Governance

Automation that are associated with this policy, refer to Configuring Filter Policy to Use

DocAve Granular Backup.

• Activate Connector Content Library Feature – Select this checkbox to have DocAve Content Library enabled so that DocAve Connector can provide users with access to

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their documents outside of SharePoint. Note that the Connector solution needs to be deployed to the farm covered by this policy.

• Activate Connector Media Library Feature – Select this checkbox to have DocAve Content Library enabled so that DocAve Connector can provide users with access to their multimedia files outside of SharePoint. Note that the Connector solution needs to be deployed to the farm covered by this policy.

• Activate File Share Navigator Feature (Does not support SharePoint 2016) – Select this checkbox to enables Governance Automation managed site collections to host links to file share content, thereby empowering organizations to leverage SharePoint as the presentation layer for its file shares without using valuable space on SQL Servers.

• Enable site collection content archival using DocAve Archiver – Select this checkbox to allow content in the site collections associated with this policy to be archived by DocAve Archiver after manual approval. You must then select an Archiver Profile and an approval process.

When there is site collection content that meets the Archiver rule, a manual archive task

(which contains a report of all content that meets the archive rules) will be generated.

The task will be assigned to the approver with a report, allowing the approver to select

on the report which content to be archived. When the modified report is uploaded and

the manual archive task is approved, the selected content will be archived. For more

information about the manual archive task, refer to Managing Clone or Transfer User

Permissions and Manual Archive Tasks.

For more information on how to configure DocAve Archiver to help reduce storage cost

by scheduling site collections created by Governance Automation that are associated

with a policy which has this setting enabled to be extracted from SharePoint and stored

in more economical storage devices, refer to Appendix C: Configuring DocAve 6 Archiver

Profiles.

*Note: Make sure the Enable manual approval checkbox is selected in the applied

Archiver rule. Otherwise the Governance Automation manual archive task will not be

generated.

• Enable site collection content archival using AvePoint RevIM – Select this checkbox to allow the archival job of content in the site collections associated with this policy to be managed by AvePoint RevIM, and to allow the content in the site collections to be archived by DocAve Archiver after manual approval. You must then select an approval process.

When site collection content is applied with the AvePoint RevIM term that associated

with business rules and an archival job has started in AvePoint RevIM, a manual archive

task (which contains a report of all of the content that meets the criteria) will be

generated. The task will be assigned to the approver with a report, allowing the

approver to select on the report which content to be archived. When the modified

report is uploaded and the manual archive task is approved, the selected content will be

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archived. For more information about the manual archive task, refer to Managing Clone

or Transfer User Permissions and Manual Archive Tasks.

For more information about how to configure AvePoint RevIM to manage the archival

job of site collection content, refer to AvePoint RevIM User Guide.

*Note: Make sure the Enable manual approval checkbox is selected in the applied rule

in AvePoint RevIM and in DocAve Archiver. Otherwise the Governance Automation

manual archive task will not be generated.

• Enable Scheduled Storage Manager – Select this checkbox to externalize BLOBs from SQL server database to file-based storage for content in site collections associated with this policy using DocAve Scheduled Storage Manager. Select a Storage Manager Profile for site collections associated with this policy.

*Note: RBS must be enabled as the BLOB provider for the farm selected in this policy,

and if you chose not to use the default content database when configuring Content

Database for this policy, the Include New Content Database option must be enabled for

the BLOB Provider. Since BLOBs are externalized on a schedule, the new database will

not be affected until the next time the Storage Manager job is scheduled to run. For

details on how to configure Scheduled Storage Manager Profiles and BLOB provider, see

the DocAve Storage Manager User Guide.

• Enable Auditing – Select this checkbox to include the site collection into an Audit Controller plan in DocAve Report Center to record all events of site collections associated with this policy.

*Note: If this option is enabled, do not activate this policy until you have configured the

appropriate filter policy and added it to the selected Audit Controller plan. For more

information on how to configure filter policy, refer to Configuring Filter Policy to Use

Audit Controller in DocAve Report Center.

• Enable Policy Enforcer – Select this checkbox to have DocAve Policy Enforcer rules applied to the site collections. Policy Enforcer ensures that all actions and changes to the site collections fall within your previously configured rules by continuously monitoring and taking action on the site collections. Select a Policy Enforcer profile from the drop-down list. For details on how to configure Policy Enforcer profiles, refer to Appendix E: Configuring a Policy Enforcer Profile.

• Enable Deactivated Account Cleaner – Select this checkbox to include the site collection into a Deactivated Account Cleaner plan so that the deactivated and non-existent AD accounts can be removed from your site collection and their permissions can be transferred to available users.

*Note: If this option is enabled, do not activate this policy until you have configured the

appropriate filter policy and added it to the selected Deactivated Account Cleaner plan.

For more information on how to configure filter policies for DocAve Administrator’s

Deactivated Account Cleaner plans for site collections created by Governance

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Automation that are associated with this policy, refer to Configuring Filter Policy to Use

Deactivated Account Cleaner in DocAve Administrator.

• Enable Vault for Site Collection Content (Does not support SharePoint 2016) – Select this checkbox to allow you to export the SharePoint content in this site collection to an external storage system for further management by Autonomy or Concordance platforms.

• Enable Deployment Manager – Select this checkbox to include the site collection into a Deployment Manager plan so that the site collection can be deployed effectively. Select a plan from the drop-down list.

For information about what kinds of Deployment Manager plans can be loaded here,

refer to the conditions in Create Site Collection Service. For more information on how to

configure the Deployment Manager plan, refer to Appendix D: Configuring DocAve

Deployment Manager Plans.

• Enable Usage Pattern Alerting – Select this checkbox to include the site collection in a Usage Pattern Alerting plan, so that user activities within the site collection will be monitored according to the configured rule profile and custom action profile. For more information on how to configure Usage Pattern Alerting plans, refer to Appendix F: Configuring a Usage Pattern Alerting Plan.

6. Click the arrow on the right-hand side to continue.

7. Site Collection Lifecycle Management Request Types – Choose to enable request types for the Site Collection Lifecycle Management service. The request types that you selected in this section will be available for business users in the following situations:

• If Enable archiving of entire site collection and Enable deletion of entire site collection are selected here, Archive Site Collection and Delete Site Collection will be the available lifecycle actions in: Site Collection Inactivity Threshold Management and Site Collection Lease Period Management.

• Business users can submit Site Collection Lifecycle Management service requests for the corresponding site collections based on the enabled request types.

Enable the following request types by selecting the corresponding checkboxes. For each request

type, you can choose to Use the default approval process, select a previously created approval

process from the drop-down list, or click Create New to create a new approval process.

• Enable archiving of entire site collection – Allows the entire site collection to be moved from SharePoint to an external storage based on the DocAve Archiver profile associated with this policy. Select an Archiver profile from the Profile drop-down list.

*Note: The Archiver profile that has a rule with the Enable manual approval option

enabled is filtered out here.

For more information on how to configure DocAve Archiver to help reduce storage

costs, refer to Appendix C: Configuring DocAve 6 Archiver Profiles.

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To notify selected users when the archiving is completed, select the Notify the following

people when the lifecycle action is completed checkbox, and then enter their

usernames or group names in the following text box. You can also enter $ to select the

following roles:

o $Primary Site Collection Contact

o $Secondary Site Collection Contact

o $Primary Site Collection Administrator

o $Secondary Site Collection Administrator

o $Approvers

o $Site Members

o $Site Owners

o $Designers

o $Hierarchy Managers

o $Quick Deploy Users

o $Additional Site Collection Administrators

o $Site Collection Metadata ("Metadata Name")

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

This notification e-mail uses the e-mail template selected from the E-mail template

drop-down list.

• Enable deletion of entire site collection – Allows the entire site collection to be deleted upon request.

To notify selected users when the deletion is completed, select the Notify the following

people when the lifecycle action is completed checkbox, and then enter their

usernames or group names in the following text box. You can also enter $ to select the

following roles:

o $Primary Site Collection Contact

o $Secondary Site Collection Contact

o $Primary Site Collection Administrator

o $Secondary Site Collection Administrator

o $Approvers

o $Site Members

o $Site Owners

o $Designers

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o $Hierarchy Managers

o $Quick Deploy Users

o $Additional Site Collection Administrators

o $Site Collection Metadata ("Metadata Name")

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

This notification e-mail uses the e-mail template selected from the E-mail template

drop-down list.

• Enable extension of site collection lease – Allows the lease of the site collection to be extended upon request. You can choose one of the following methods to set limitations on the extension:

o Each extension must be a specific period of time – Enter a number in the text box and select Day(s), Week(s), Month(s), or Year(s) as a time unit.

o Each extension cannot exceed a specific period of time – Enter a number in the text box and select Day(s), Week(s), Month(s), or Year(s) as a time unit.

Note the following:

o If a business user requests for extending lease when a site collection’s lease has expired, the new lease will be calculated from the date the Site Collection Lifecycle Management request is approved.

o If a business user requests for extending lease when a site collection’s lease has not expired, the lease that the site collection will have is the extended lease period plus the remaining time of the old lease.

• Enable site collection policy change – Allows business users to request a different policy for site collections created with this policy.

• Enable site collection unlocking – Allows business users to request for unlocking a locked site collection.

• Enable site collection locking – Allows business users to request locking an unlocked site collection.

To notify selected users when the site collection has been locked, select the Notify the

following people when the lifecycle action is completed checkbox, and then enter their

usernames or group names in the following text box. You can also enter $ to select the

following roles:

o $Primary Site Collection Contact

o $Secondary Site Collection Contact

o $Primary Site Collection Administrator

o $Secondary Site Collection Administrator

o $Approvers

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o $Site Members

o $Site Owners

o $Designers

o $Hierarchy Managers

o $Quick Deploy Users

o $Additional Site Collection Administrators

o $Site Collection Metadata ("Metadata Name")

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

This notification e-mail uses the e-mail template selected from the E-mail template

drop-down list.

• Enable site collection quota change – Allows business users to request for changing the site collection quota. If enabled, choose one of the following options:

o Allow quota change to all available quota templates –Allows business users to select any one of the available quota templates as the new quota template.

o Allow a single level quota upgrade or downgrade – Only the quota template that is larger than the currently used quota template and the quota template that is smaller than the currently used quota template are loaded and available to select in the request.

8. Site Collection Inactivity Threshold Management – It helps manage the unused site collections in your SharePoint environment. Configure the following inactivity threshold management settings:

a. Enable site collection inactivity threshold – Select this checkbox to enable the inactivity

threshold for the site collection. If the site collection is not accessed within the amount

of time entered here, a site collection inactivity threshold task will be assigned to the

business user.

For more information about how site collection inactivity is calculated by Governance

Automation and Governance Automation Online, refer to the AvePoint Knowledge Base

article http://www.avepoint.com/community/kb/how-site-collection-inactivity-is-

calculated-by-governance-automation/.

The business user can choose to continue the site collection access, archive the site

collection, delete the site collection, or change the site collection policy. Enter a number

in the text box and select Day(s), Week(s), Month(s), or Year(s) as a time unit.

b. Approval Process – Select a previously created approval process from the drop-down

list for the inactivity threshold task, or click Create New to create a new approval

process for the inactivity threshold task. Note that multiple stages approval is supported

for the inactivity threshold task.

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If the configurations of the selected approval process do not meet your requirements,

click Create from This Existing Approval Process to create a new approval process on

the basis of the selected approval process.

c. Enable automated locking – You can select Enable automated locking to lock the site

collection if the inactivity threshold task is not completed within the amount of time

defined here. Enter a number in the text box and select Day(s), Week(s), Month(s), or

Year(s) as a time unit.

d. Notify the inactivity threshold task approvers –You can select this checkbox to notify

the inactivity threshold task approvers a certain time before the site collection is locked.

Select the E-mail template from the drop-down list for the notification e-mail sent to

the inactivity threshold task approvers.

e. Repeat notification before escalation – You can repeat sending notification e-mail in

schedule until the site collection is locked. Enter a number in the text box and select

Day(s), Week(s), Month(s), or Year(s) as a time unit.

f. Lock status for the site collection – Choose the lock status for the site collection, Adding

content prevented, Read-only (blocks additions, updates, and deletions), or No access.

You can select to Notify the following people when the site collection is locked. Enter

the usernames or group names of the people you want to notify in the text box. You can

also enter $ to select the following roles:

o $Primary Site Collection Contact

o $Secondary Site Collection Contact

o $Primary Site Collection Administrator

o $Secondary Site Collection Administrator

o $Approvers

o $Site Members

o $Site Owners

o $Designers

o $Hierarchy Managers

o $Quick Deploy Users

o $Additional Site Collection Administrators

o $Site Collection Metadata ("Metadata Name")

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

Select the E-mail template from the drop-down list for the notification e-mail sent to

the selected user.

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g. Start an additional site collection lifecycle action to escalate – You can select this

checkbox to generate a site collection lifecycle action task after the site collection is

locked a certain time. Enter a number in the text box and select Day(s), Week(s),

Month(s), or Year(s) as a time unit.

h. Lifecycle action – Select a lifecycle action from the drop-down list for the escalation. The

available actions depend on the options you select in the Site Collection Lifecycle

Management Request Types section.

*Note: By default, this action will be subject to the approval process selected in the Site

Collection Lifecycle Management Request Types section of this policy.

i. Use a unique approval process for this automated action – You can select a unique

approval process instead of the default one for the lifecycle action task. Select a

previously created approval process from the drop-down list, or click Create New to

create a new approval process.

j. Notify the inactivity threshold task approvers – Select this checkbox to notify the

inactivity threshold task approvers a certain time before generating the lifecycle action

task. Enter a number in the text box and select Day(s), Week(s), Month(s), or Year(s) as

a time unit. Select the E-mail template from the drop-down list for the notification e-

mail sent to the inactivity threshold task approvers.

k. Repeat notification before escalation – Select this checkbox to repeat sending

notification e-mail to the inactivity threshold task approvers in schedule until the

lifecycle action is executed. Enter a number in the text box and select Day(s), Week(s),

Month(s), or Year(s) as a time unit. This notification e-mail uses the e-mail template

selected in Notify the inactivity threshold task approvers.

9. Site Collection Lease Period Management – A site collection lease period is the amount of time a site collection is available for use. Site Collection Lease Period Management helps manage the expired site collections in your SharePoint environment. Configure the following lease period management settings:

a. Enable site collection lease period – Select this checkbox to enable the lease period for

the site collection. If the site collection is created or when the site collection lease is

extended the amount of time entered here, a site collection lease period task will be

assigned to the business user.

The business user can choose to extend the site collection lease period, archive the site

collection, delete the site collection, or change the site collection policy. Enter a number

in the text box and select Day(s), Week(s), Month(s), or Year(s) as a time unit.

b. Approval Process – Select a previously created approval process from the drop-down

list for the lease period task, or click Create New to create a new approval process for

the lease period task. Note that multiple stages approval is supported for the inactivity

threshold task.

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If the configurations of the selected approval process do not meet your requirements,

click Create from This Existing Approval Process to create a new approval process on

the basis of the selected approval process.

c. Enable automated locking – Optionally, select Enable automated locking to lock the

site collection if the lease period task is not completed after the amount of time defined

here. Enter a number in the text box and select Day(s), Week(s), Month(s), or Year(s) as

a time unit.

d. Notify the lease period task approvers – You can select this checkbox to notify the lease

period task approvers a certain time before the site collection is locked. Select the E-

mail template from the drop-down list for the notification e-mail sent to the lease

period task approvers.

e. Repeat notification before escalation – You can repeat sending notification e-mail in

schedule until the site collection is locked. Enter a number in the text box and select

Day(s), Week(s), Month(s), or Year(s) as a time unit.

f. Lock status for the site collection – Choose the lock status for the site collection, Adding

content prevented, Read-only (blocks additions, updates, and deletions), or No access.

You can select to Notify the following people when the site collection is locked. Enter

the usernames or group names of the people you want to notify in the text box. You can

also enter $ to select the following roles:

o $Primary Site Collection Contact

o $Secondary Site Collection Contact

o $Primary Site Collection Administrator

o $Secondary Site Collection Administrator

o $Approvers

o $Site Members

o $Site Owners

o $Designers

o $Hierarchy Managers

o $Quick Deploy Users

o $Additional Site Collection Administrators

o $Site Collection Metadata ("Metadata Name")

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

Select the E-mail template from the drop-down list for the notification e-mail sent to the

selected user.

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g. Start an additional site collection lifecycle action to escalate – You can select this

checkbox to generate a site collection lifecycle action task after the site collection is

locked a certain time. Enter a number in the text box and select Day(s), Week(s),

Month(s), or Year(s) as a time unit.

h. Lifecycle action – Select a lifecycle action from the drop-down list for the escalation. The

available actions depend on the options you select in the Site Collection Lifecycle

Management Request Types section.

*Note: By default, this action will be subject to the approval process selected in the Site

Collection Lifecycle Management Request Types section of this policy.

i. Use a unique approval process for this automated action – You can select a unique

approval process instead of the default one for the lifecycle action task. Select a

previously created approval process from the drop-down list, or click Create New to

create a new approval process.

j. Notify the lease period task approvers – Select this checkbox to notify the lease period

task approvers a certain time before generating the lifecycle action task. Enter a number

in the text box and select Day(s), Week(s), Month(s), or Year(s) as a time unit. Select

the E-mail template from the drop-down list for the notification e-mail sent to the lease

period task approvers.

k. Repeat notification before escalation – Select this checkbox to repeat sending

notification e-mail to the lease period task approvers in schedule until the lifecycle

action is executed. Enter a number in the text box and select Day(s), Week(s), Month(s),

or Year(s) as a time unit.

10. Site Collection Quota Threshold Management – Select the Enable site collection quota threshold checkbox to enable a quota threshold for the site collection. A site collection quota threshold is the maximum storage space that the site collection can use. If a site collection’s storage reaches the entered percentage of the configured quota, a task will be assigned to the business user defined in the selected approval process. The business user can then change the site collection quota or ignore the quota threshold. Enter your desired value in the text box. Select the Approval Process from the drop-down list for the site collection quota threshold task, or click Create New to create a new approval process for the inactivity threshold task. Note that multiple stages approval is supported for the inactivity threshold task.

If the configurations of the selected approval process do not meet your requirements, click

Create from This Existing Approval Process to create a new approval process on the basis of the

selected approval process.

11. Recertification – Enabling recertification allows Governance Automation to check site collection permission, metadata, or ownership. Select the Enable recertification checkbox. Then, select a recertification profile from the drop-down list, or click Create New to create a new recertification profile. For more information about how to create a recertification profile, refer to Creating or Editing Recertification Profiles.

12. When you have finished configuring this policy, choose one of the following options:

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• Click the arrow on the left-hand side to go to the previous step to check and modify your configurations.

• Click Save to save all of the configurations and return to the Policy Management interface.

• Click Save and Activate to save all of the configurations and activate the policy, which allows this policy to be used in services.

• Click Cancel to return to the Policy Management interface without saving any changes.

Creating or Editing Site Collection Policies for SharePoint Online

In the interface for creating or editing a site collection policy, configure the following settings:

1. Policy Name and Description – Enter a Name for the new policy. Then enter an optional Description for future reference in the Description text box.

2. Policy Category – Categories are used to organize Governance Automation policies. Select an existing category from the drop-down list or create a new category for this policy by clicking Create New then configuring the new category in the Create Category interface.

3. Farm – Select My Registered Sites from the drop-down list.

4. Click the arrow on the right-hand side to continue, or click Cancel to return to the Policy Management interface without saving any configurations.

5. Quota – Enter the size of storage quota and server resource quota for site collections.

*Note: A storage quota less than 25600 GB will take effect only if storage limit is required for

each site collection in your SharePoint Online environment. Otherwise, 25600 GB will be used as

the default value.

6. SharePoint Designer Configuration – Select the Enable SharePoint Designer checkbox to allow Site Owners and Designers to edit the sites in this site collection using SharePoint Designer. Site Collection Administrators will always be able to edit sites regardless of this configuration.

7. Site Maximum Depth Limit – Site Depth limits the layers of sites that can be created under a site collection. Select Maximum depth and then enter a positive number which is less than 12 in the provided text box. Note that if you enter 1 as the site depth, sites cannot be created under site collections applied with this site collection policy.

8. DocAve Configurations – Configure this policy to utilize DocAve 6 products:

• Enable Granular Backup – Select this checkbox to include the site collection in a Granular Backup plan to provide data protection for site collections associated with this policy.

*Note: If this option is enabled, do not activate this policy until you have configured the

appropriate filter policy and added it to the selected Granular Backup plan.

For more information on how to configure filter policies for DocAve Granular Backup

and Restore to provide data protection for site collections created by Governance

Automation that are associated with this policy, refer to Configuring Filter Policy to Use

DocAve Granular Backup.

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• Enable Policy Enforcer – Select this checkbox and a profile from the drop-down list to apply DocAve Policy Enforcer rules to the site collections. Policy Enforcer ensures that all actions and changes to site collections fall within your configured rules. For details on how to configure Policy Enforcer profiles, refer to Appendix E: Configuring a Policy Enforcer Profile.

• Enable site collection content archival using DocAve Archiver – Select this checkbox to allow content in the site collections associated with this policy to be archived by DocAve Archiver after manual approval. You must then select an Archiver Profile and an approval process.

When there is site collection content that meets the Archiver rule, a manual archive task

(which contains a report of all of the content that meets the archive rules) will be

generated. The task will be assigned to the approver with a report, allowing the

approver to select on the report which content to archive. When the modified report is

uploaded, and the manual archive task is approved, the selected content will be

archived. For more information about the manual archive task, refer to Managing Clone

or Transfer User Permissions and Manual Archive Tasks.

For more information on how to configure DocAve Archiver to help reduce storage cost

by scheduling site collections created by Governance Automation that are associated

with a policy which has this setting enabled to be extracted from SharePoint and stored

in more economical storage devices, refer to Appendix C: Configuring DocAve 6 Archiver

Profiles.

*Note: Make sure the Enable manual approval checkbox is selected in the applied

Archiver rule. Otherwise the Governance Automation manual archive task will not be

generated.

• Enable site collection content archival using AvePoint RevIM – Select this checkbox to allow the archival job of content in the site collections associated with this policy to be managed by AvePoint RevIM, and to allow the content in the site collections to be archived by DocAve Archiver after manual approval. You must then select an approval process.

When site collection content is applied with the AvePoint RevIM term that associated

with business rules and an archival job has started in AvePoint RevIM, a manual archive

task (which contains a report of all of the content that meets the criteria) will be

generated. The task will be assigned to the approver with a report, allowing the

approver to select on the report which content to be archived. When the modified

report is uploaded and the manual archive task is approved, the selected content will be

archived. For more information about the manual archive task, refer to Managing Clone

or Transfer User Permissions and Manual Archive Tasks.

For more information about how to configure AvePoint RevIM to manage the archival

job of site collection content, refer to AvePoint RevIM User Guide.

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*Note: Make sure the Enable manual approval checkbox is selected in the applied

business rule in AvePoint RevIM. Otherwise the Governance Automation manual archive

task will not be generated.

• Enable Deployment Manager – Select this checkbox to include the site collection into a Deployment Manager plan so that the site collection can be deployed effectively. Select a plan from the drop-down list.

For information about what kinds of Deployment Manager plans can be loaded here,

refer to the conditions in Create Site Collection Service. For more information on how to

configure the Deployment Manager plan, refer to Appendix D: Configuring DocAve

Deployment Manager Plans.

9. Click the arrow on the right-hand side to continue.

10. Site Collection Lifecycle Management Request Types – Enables request types for the Site Collection Lifecycle Management service. The request types that you select in this section will be available for business users in the following situations:

• If Enable archiving of entire site collection and Enable deletion of entire site collection are selected here, Archive Site Collection and Delete Site Collection will be the available lifecycle actions in: Site Collection Inactivity Threshold Management and Site Collection Lease Period Management.

• Business users can submit Site Collection Lifecycle Management service requests for the corresponding site collections based on the enabled request types.

Enable the following request types by selecting the corresponding checkboxes. For each request

type, you can choose to Use the default approval process, select a previously created approval

process from the drop-down list, or click Create New to create a new approval process.

• Enable archiving of entire site collection – Allows the entire site collection to be moved from SharePoint to an external storage based on the DocAve Archiver profile associated with this policy. Select an Archiver profile from the Profile drop-down list.

*Note: The Archiver profile that has a rule with the Enable manual approval option

enabled is filtered out here.

For more information on how to configure DocAve Archiver to help reduce storage

costs, refer to Appendix C: Configuring DocAve 6 Archiver Profiles.

To notify selected users when the archiving is completed, select the Notify the following

people when the lifecycle action is completed checkbox, and then enter their

usernames or group names in the following text box. You can also enter $ to select the

following roles:

o $Primary Site Collection Contact

o $Secondary Site Collection Contact

o $Primary Site Collection Administrator

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o $Secondary Site Collection Administrator

o $Approvers

o $Site Members

o $Site Owners

o $Designers

o $Hierarchy Managers

o $Quick Deploy Users

o $Additional Site Collection Administrators

o $Site Collection Metadata ("Metadata Name")

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

This notification e-mail uses the e-mail template selected from the E-mail template

drop-down list.

• Enable deletion of entire site collection – Allows the entire site collection to be deleted upon request.

To notify selected users when the deletion is completed, select the Notify the following

people when the lifecycle action is completed checkbox, and then enter their

usernames or group names in the following text box. You can also enter $ to select the

following roles:

o $Primary Site Collection Contact

o $Secondary Site Collection Contact

o $Primary Site Collection Administrator

o $Secondary Site Collection Administrator

o $Approvers

o $Site Members

o $Site Owners

o $Designers

o $Hierarchy Managers

o $Quick Deploy Users

o $Additional Site Collection Administrators

o $Site Collection Metadata ("Metadata Name")

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

This notification e-mail uses the e-mail template selected from the E-mail template

drop-down list.

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• Enable extension of site collection lease – Allows the lease of the site collection to be extended upon request. You can choose one of the following methods to set limitations on the extension:

o Each extension must be a specific period of time – Enter a number in the text box and select Day(s), Week(s), Month(s), or Year(s) as a time unit.

o Each extension cannot exceed a specific period of time – Enter a number in the text box and select Day(s), Week(s), Month(s), or Year(s) as a time unit.

Note the following:

o If a business user requests a lease extension when a site collection’s lease has expired, the new lease will be calculated from the date the Site Collection Lifecycle Management request is approved.

o If a business user requests a lease extension when a site collection’s lease has not expired, the lease that the site collection will have is the extended lease period plus the remaining time of the old lease.

• Enable site collection policy change – Allows business users to request a different policy for site collections created with this policy.

• Enable site collection unlocking – Allows business users to submit a request to unlock a site collection.

• Enable site collection locking – Allows business users to request locking an unlocked site collection.

To notify selected users when the site collection has been locked, select the Notify the

following people when the lifecycle action is completed checkbox, and then enter their

usernames or group names in the following text box. You can also enter $ to select the

following roles:

o $Primary Site Collection Contact

o $Secondary Site Collection Contact

o $Primary Site Collection Administrator

o $Secondary Site Collection Administrator

o $Approvers

o $Site Members

o $Site Owners

o $Designers

o $Hierarchy Managers

o $Quick Deploy Users

o $Additional Site Collection Administrators

o $Site Collection Metadata ("Metadata Name")

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For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

This notification e-mail uses the e-mail template selected from the E-mail template

drop-down list.

• Enable site collection quota change – Allows business users to request a change in the site collection quota.

You can set the maximum quota size that can be requested. Enter your desired quota

size in the text box. The unit of the quota size is GB.

11. Site Collection Inactivity Threshold Management – Helps manage the unused site collections in your SharePoint environment. Configure the following inactivity threshold management settings:

a. Enable site collection inactivity threshold – Select this checkbox to enable the inactivity

threshold for the site collection. If the site collection is not accessed within the amount

of time entered here, a site collection inactivity threshold task will be assigned to the

business user.

For more information about how site collection inactivity is calculated by Governance

Automation and Governance Automation Online, refer to the AvePoint Knowledge Base

article http://www.avepoint.com/community/kb/how-site-collection-inactivity-is-

calculated-by-governance-automation/.

The business user can choose to continue the site collection access, archive the site

collection, delete the site collection, or change the site collection policy. Enter a number

in the text box and select Day(s), Week(s), Month(s), or Year(s) as a time unit.

b. Approval Process – Select a created approval process from the drop-down list for the

inactivity threshold task, or click Create New to create a new approval process for the

inactivity threshold task. Note that multiple stages approval is supported for the

inactivity threshold task.

If the configurations of the selected approval process do not meet your requirements,

click Create from This Existing Approval Process to create a new approval process on

the basis of the selected approval process.

c. Enable automated locking – You can elect Enable automated locking to lock the site

collection if the inactivity threshold task is not completed within the amount of time

defined here. Enter a number in the text box and select Day(s), Week(s), Month(s), or

Year(s) as a time unit.

d. Notify the inactivity threshold task approvers –You can select this checkbox to notify

the inactivity threshold task approvers a certain time before the site collection is locked.

Select the E-mail template from the drop-down list for the notification e-mail sent to

the inactivity threshold task approvers.

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e. Repeat notification before escalation – You can repeat sending notification e-mail in

schedule until the site collection is locked. Enter a number in the text box and select

Day(s), Week(s), Month(s), or Year(s) as a time unit.

f. Lock status for the site collection – Choose No access as the lock status for the site

collection.

You can select to Notify the following people when the site collection is locked. Enter

the usernames or group names of the people you want to notify in the text box. You can

also enter $ to select the following roles:

o $Primary Site Collection Contact

o $Secondary Site Collection Contact

o $Primary Site Collection Administrator

o $Secondary Site Collection Administrator

o $Approvers

o $Site Members

o $Site Owners

o $Designers

o $Hierachy Managers

o $Quick Deploy Users

o $Additional Site Collection Administrators

o $Site Collection Metadata ("Metadata Name")

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

Select the E-mail template from the drop-down list for the notification e-mail sent to the

selected user.

g. Start an additional site collection lifecycle action to escalate – You can select this

checkbox to generate a site collection lifecycle action task after the site collection is

locked a certain time. Enter a number in the text box and select Day(s), Week(s),

Month(s), or Year(s) as a time unit.

h. Lifecycle action – Select a lifecycle action from the drop-down list for the escalation.

*Note: By default, this action will be subject to the approval process selected in the Site

Collection Lifecycle Management Request Types section of this policy.

i. Use a unique approval process for this automated action – You can select a unique

approval process instead of the default one for the lifecycle action task. Select a

previously created approval process from the drop-down list, or click Create New to

create a new approval process.

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j. Notify the inactivity threshold task approvers – Select this checkbox to notify the

inactivity threshold task approvers a certain time before generating the lifecycle action

task. Enter a number in the text box and select Day(s), Week(s), Month(s), or Year(s) as

a time unit. Select the E-mail template from the drop-down list for the notification e-

mail sent to the inactivity threshold task approvers.

k. Repeat notification before escalation – Select this checkbox to repeat sending

notification e-mail to the inactivity threshold task approvers in schedule until the

lifecycle action is executed. Enter a number in the text box and select Day(s), Week(s),

Month(s), or Year(s) as a time unit. This notification e-mail uses the e-mail template

selected in Notify the inactivity threshold task approvers.

12. Site Collection Lease Period Management – A site collection lease period is the amount of time a site collection is available for use. Site Collection Lease period Management helps manage the expired site collections in your SharePoint environment. Configure the following lease period management settings:

a. Enable site collection lease period – Select this checkbox to enable the lease period for

the site collection. If the site collection is created or when the site collection lease is

extended the amount of time entered here, a site collection lease period task will be

assigned to the business user.

The business user can choose to extend the site collection lease period, archive the site

collection, delete the site collection, or change the site collection policy. Enter a number

in the text box and select Day(s), Week(s), Month(s), or Year(s) as a time unit.

b. Approval Process – Select a previously created approval process from the drop-down

list for the lease period task, or click Create New to create a new approval process for

the lease period task. Note that multiple stages approval is supported for the inactivity

threshold task.

If the configurations of the selected approval process do not meet your requirements,

click Create from This Existing Approval Process to create a new approval process on

the basis of the selected approval process.

c. Enable automated locking – Optionally, select Enable automated locking to lock the

site collection if the lease period task is not completed after the amount of time defined

here. Enter a number in the text box and select Day(s), Week(s), Month(s), or Year(s) as

a time unit.

d. Notify the lease period task approvers – Optionally, select this checkbox to notify the

lease period task approvers a certain time before the site collection is locked. Select the

E-mail template from the drop-down list for the notification e-mail sent to the lease

period task approvers.

e. Repeat notification before escalation – You can repeat sending notification e-mail in

schedule until the site collection is locked. Enter a number in the text box and select

Day(s), Week(s), Month(s), or Year(s) as a time unit.

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f. Lock status for the site collection – Choose No access as the lock status for the site

collection.

You can select to Notify the following people when the site collection is locked. Enter

the usernames or group names of the people you want to notify in the text box. You can

also enter $ to select the following roles:

o $Primary Site Collection Contact

o $Secondary Site Collection Contact

o $Primary Site Collection Administrator

o $Secondary Site Collection Administrator

o $Approvers

o $Site Members

o $Site Owners

o $Designers

o $Hierachy Managers

o $Quick Deploy Users

o $Additional Site Collection Administrators

o $Site Collection Metadata ("Metadata Name")

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

Select the E-mail template from the drop-down list for the notification e-mail sent to

the selected user.

g. Start an additional site collection lifecycle action to escalate – Optionally, select this

checkbox to generate a site collection lifecycle action task after the site collection is

locked a certain time. Enter a number in the text box and select Day(s), Week(s),

Month(s), or Year(s) as a time unit.

h. Lifecycle action – Select a lifecycle action from the drop-down list for the escalation.

*Note: By default, this action will be subject to the approval process selected in the Site

Collection Lifecycle Management Request Types section of this policy.

i. Use a unique approval process for this automated action – You can select a unique

approval process instead of the default one for the lifecycle action task. Select a

previously created approval process from the drop-down list, or click Create New to

create a new approval process.

j. Notify the lease period task approvers – Select this checkbox to notify the lease period

task approvers a certain time before generating the lifecycle action task. Enter a number

in the text box and select Day(s), Week(s), Month(s), or Year(s) as a time unit. Select

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the E-mail template from the drop-down list for the notification e-mail sent to the lease

period task approvers.

k. Repeat notification before escalation – Select this checkbox to repeat sending

notification e-mail to the lease period task approvers in schedule until the lifecycle

action is executed. Enter a number in the text box and select Day(s), Week(s), Month(s),

or Year(s) as a time unit.

13. Site Collection Quota Threshold Management – Select the Enable site collection quota threshold checkbox to enable a quota threshold for the site collection. A site collection quota threshold is the maximum storage space that the site collection can use. If a site collection’s storage reaches the entered percentage of the configured quota, a task will be assigned to the business user defined in the selected approval process. The business user can then change the site collection quota or ignore the quota threshold. Enter your desired value in the text box. Select the Approval Process from the drop-down list for the site collection quota threshold task, or click Create New to create a new approval process for the inactivity threshold task. Note that multiple stages approval is supported for the inactivity threshold task.

If the configurations of the selected approval process do not meet your requirements, click

Create from This Existing Approval Process to create a new approval process on the basis of the

selected approval process.

14. Recertification – Enable recertification to check site collection permissions, metadata, or ownership. Select the Enable recertification checkbox. Then, select a recertification profile from the drop-down list, or click Create New to create a new recertification profile. For more information about how to create a recertification profile, refer to Creating or Editing Recertification Profiles.

15. When you have finished configuring this policy, choose one of the following options:

• Click the arrow on the left-hand side to go to the previous step to check and modify your configurations.

• Click Save to save all of the configurations and return to the Policy Management interface.

• Click Save and Activate to save all of the configurations and activate the policy, which allows this policy to be used in services.

• Click Cancel to return to the Policy Management interface without saving any changes.

Creating or Editing Content Database Policies

Content database policies allow you to configure rules to automatically govern your content databases.

The maximum database size and the maximum number of site collections that can exist in a content

database are set in content database rules. You can also define the new content database naming

format to decide how to generate new content databases if the maximum database size or site

collection count will be exceeded. Content database policies can be used in site collection policies.

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To create a content database policy, click Create on the ribbon on the Policy Management page, and

then click Content Database Policy on the Create New page. To modify a previously configured policy,

select the policy on the Policy Management page, and click Edit on the ribbon.

In the interface for creating or editing a content database policy, configure the following settings:

1. Policy Name and Description – Enter a Name for the new policy and an optional Description for future reference.

2. Policy Category – Categories are used to organize Governance Automation policies. Select an existing category from the drop-down list or create a new category for this policy by clicking Create New then configuring the new category in the Create Category interface.

3. Content Database Rules – Configure the rules to manage your content databases. A new content database will be created if the maximum database size or the maximum number of site collections will be exceeded.

a. Maximum database size – Select this checkbox and enter a positive number that will be

set as the maximum potential database size. The unit is GB.

*Note: Governance Automation calculates the content database size based upon the

total site collection quota for each site collection in the content database. The quota set

in the site collection policy is held in reserve within the content databases whenever a

site collection is created. If the value of the total number site collections multiplied by

the site collection quota would exceed the maximum database size, a new content

database is created in accordance with the content database rules.

For example: if the site collection quota is set to 5 GB and the maximum database size is

set to 200 GB, whenever a site collection is created in this content database 5 GB is

reserved; therefore, only 40 site collections can be created in it, even if those site

collections only contain 1 GB of content. When a business user requests the 41st site

collection, a new content database will be created to contain it.

Additionally, if the site collection quota is increased, via a change quota request, and the

maximum database size would be exceeded by the current number of site collections,

Governance Automation sends an alert to the content database owner for remediation.

b. Maximum number of site collections – Select this checkbox and enter a number as the

maximum number of site collections that are allowed to exist in a content database.

c. New content database naming format – Define the naming format for the new content

database. Enter a prefix in the textbox. The prefix can contain the following roles:

o $WebAppName – The Web application’s display name.

o $WebAppPort – The Web application’s port.

o $FormatNumericChars(integer) – Numeric characters. The number of the numeric characters is decided by the integer. For example, you enter SP_$FormatNumericChars(3)_DB. The content database names will be SP_001_DB, SP_002_DB, SP_003_DB....

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*Note: The role name is not case sensitive. If the $FormatNumericChars(integer) role is

not defined in the prefix, the first newly created content database will have no suffix,

and the second and later content database will have the suffix of 0001, 0002, 0003….

4. Database Contact – Enter a user to be the content database contact. The user should be a database administrator who will be responsible for managing the content database according to the content database policy. Then, select an e-mail template that will be used to notify the database contact when a task is assigned. By default, Built-in Content Database Policy Threshold Warning E-mail Template is selected. You can choose Notify the requester when the request is rejected and select an e-mail template for the notification. By default, Built-in Request Denied E-mail Template is selected.

5. When you have finished configuring this policy, choose one of the following options:

• Click Save to save all of the configurations and return to the Policy Management page.

• Click Save and Activate to save all of the configurations and activate the policy, which allows this policy to be used in site collection policies.

• Click Cancel to return to the Policy Management page without saving any configurations.

Creating or Editing Office 365 Group Policies

Office 365 group policies allow you to customize rules to automatically manage your Office 365 groups.

Office 365 group policies are required in Create Office 365 Group services and in Import Existing Objects

– Office 365 Group. Office 365 group policies work in conjunction with Office 365 Group Lifecycle

Management services to not only automatically govern Office 365 groups associated with each policy,

but also empowers business users to easily manage the lifecycle of Office 365 groups.

In the interface for creating or editing an Office 365 group policy, configure the following settings:

1. Policy Name and Description – Enter a Name for the new policy. Then, enter an optional Description for future reference.

2. Policy Category – Categories are used to organize Governance Automation policies. Select an existing category from the drop-down list or create a new category for this policy by clicking Create New then configuring the new category in the Create Category window.

3. Click the arrow on the right-hand side to continue, or click Cancel to return to the Policy Management page without saving any configurations.

4. Office 365 Group Team Site Quota – Define the quota size for Office groups’ related team sites. The unit is GB. Enter a number between 1 and 25600.

5. Office 365 Group Lifecycle Management Request Types – Choose whether to enable the request types for Office 365 Group Lifecycle Management services. Business users can submit Office 365 Group Lifecycle Management service requests for the corresponding Office 365 groups based on the enabled request types.

Enable the following request types by selecting the corresponding checkboxes. For each request

type, you can choose to Use the default approval process, select an existing approval process

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from the drop-down list, or click Create New to create a new one. If the configurations of the

selected approval process do not meet your requirements, click Create from This Existing

Approval Process to create a new approval process on the basis of the selected approval

process. The approval process will be triggered when service requests to manage Office 365

groups are submitted.

• Enable deletion of Office 365 group – Select this checkbox allow business users to delete Office 365 groups upon request.

• Enable extension of Office 365 group lease – Select this checkbox to allow the lease of an Office 365 group to be extended upon request. Choose one of the following methods to set limit on the extension:

o Each extension must be a specific period of time – Enter a number in the text box and select Day(s), Week(s), Month(s), or Year(s) from the drop-down list as the unit.

o Each extension cannot exceed a specific period of time – Enter a number in the text box and select Day(s), Week(s), Month(s), or Year(s) from the drop-down list as the unit.

• Enable Office 365 group policy change – Select this checkbox to allow business users to request a different policy for Office 365 groups that have this policy applied.

• Enable Office 365 group team site quota change – Select this checkbox to allow business users to request to change Office 365 group team site quota. Choose one of the following quota change options:

o Allow quota change to any available size – Allows business users to request to change Office 365 group team site quota to any available size.

o Allow additional quota to the maximum of [Specified Size] GB – Allows business users to add additional Office 365 group team site quota, and the additional quota size cannot exceed the size defined here. Enter a number in the text box.

*Note: The maximum Office 365 group team site quota cannot exceed 25600

GB.

6. Office 365 Group Inactivity Threshold – Office 365 group inactivity is defined as no changes to the group settings and no new or modified content in the corresponding group team site, files, notebook, calendar, mailbox, or conversations. Note that changes to a group’s plan in Planner are not regarded as activities since Office 365 does not provide the API to retrieve a plan’s last modified time. Office 365 group inactivity threshold helps reduce the number of unused groups and group team sites in your Office 365 environment.

Configure the following inactivity threshold settings:

a. Enable Office 365 group inactivity threshold – Select this checkbox to enable the

inactivity threshold for Office 365 groups. Configure the Office 365 group inactivity

threshold by entering a number in the text box and selecting Day(s), Week(s), Month(s),

or Year(s) from the drop-down list as the unit.

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b. Approval Process – When an Office 365 group’s inactivity threshold is reached, an Office

365 group inactivity threshold task will be automatically generated. Select an approval

process for the Office 365 group inactivity threshold task. The task will be assigned to

the approver defined in the approval process.

o Select an existing approval process from the drop-down list.

o If the configurations of the selected approval process do not meet your requirements, click Create from This Existing Approval Process to create a new one on the basis of the selected approval process.

o Click Create New to create a new approval process.

c. You can also configure the following settings:

o Enable Office 365 group inactivity threshold warning – With this checkbox selected, Governance Automation will notify the approver before the Office 365 group inactivity threshold task is generated. Enter a number in the text box and select Day(s), Week(s), or Month(s) as the unit. Select an E-mail template that will be used to send the notification e-mail. You can also Enable recurrent reminder to re-send the notification e-mail in schedule.

o Enable automatic deletion of Office 365 group – With this checkbox selected, if an Office 365 group inactivity threshold task is not completed after a specific amount of time, a task for the automatic deletion of the Office 365 group will be generated. Enter a number in the text box and select Day(s), Week(s), Month(s), or Year(s) as the unit.

*Note: If you enable this option, you must select the Enable deletion of Office

365 group checkbox in the Office 365 Group Lifecycle Management Request

Types section above.

▪ Enable a reminder for the approvers before the Office 365 group deletion task is generated – This reminder will send a notification e-mail to the approvers before the automatic Office 365 group deletion task is generated. Enter a number in the text box and select Day(s), Week(s), or Month(s) as the unit. Select an E-mail template that will be used to send the notification e-mail. You can also Enable recurrent reminder to re-send the notification e-mail in schedule.

▪ Notify the following people upon the deletion of the Office 365 group – With this checkbox selected, Governance Automation will notify specific users when an Office 365 group is deleted via the automatic Office 365 group deletion task. Enter usernames in the text box, and then select an E-mail template that will be used to send the notification e-mail.

7. Office 365 Group Lease Management – An Office 365 group lease is the amount of time an Office 365 group is available for use. Office 365 group lease management helps manage expired Office 365 groups in your Office 365 environment.

Configure the following Office 365 group lease management settings:

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a. Enable Office 365 group lease management – Select this checkbox to enable the lease

management for Office 365 groups. Configure the Office 365 group lease by entering a

number in the text box and selecting Day(s), Week(s), Month(s), or Year(s) from the

drop-down list as the unit.

b. Approval Process – When the lease of an Office 365 group expires or when the last

group lease extension expires, an Office 365 group lease expiration task will be

automatically generated. Select an approval process for the Office 365 group lease

expiration task. The task will be assigned to the approver defined in the approval

process.

o Select an existing approval process from the drop-down list.

o If the configurations of the selected approval process do not meet your requirements, click Create from This Existing Approval Process to create a new one on the basis of the selected approval process.

o Click Create New to create a new approval process.

c. You can also configure the following settings:

o Enable Office 365 group lease expiration warning – With this checkbox selected, Governance Automation will notify the approver before the Office 365 group lease expiration task is generated. Enter a number in the text box and select Day(s), Week(s), or Month(s) as the unit. Select an E-mail template that will be used to send the notification e-mail. You can also Enable recurrent reminder to re-send the notification e-mail in schedule.

o Enable automatic deletion of Office 365 group – With this checkbox selected, if an Office 365 group lease expiration task is not completed after a specific amount of time, a task for the automatic deletion of the Office 365 group will be generated. Enter a number in the text box and select Day(s), Week(s), Month(s), or Year(s) as the unit.

*Note: If you enable this option, you must select the Enable deletion of Office

365 group checkbox in the Office 365 Group Lifecycle Management Request

Types section above.

▪ Enable a reminder for the approvers before the Office 365 group deletion task is generated – This reminder will send a notification e-mail to the approvers before the automatic Office 365 group deletion task is generated. Enter a number in the text box and select Day(s), Week(s), or Month(s) as the unit. Select an E-mail template that will be used to send the notification e-mail. You can also Enable recurrent reminder to re-send the notification e-mail in schedule.

▪ Notify the following people upon the deletion of the Office 365 group – With this checkbox selected, Governance Automation will notify specific users when an Office 365 group is deleted via the automatic Office 365 group deletion task. Enter usernames in the text box, and then select an E-mail template that will be used to send the notification e-mail.

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8. When you have finished configuring this policy, choose one of the following options:

• Click the arrow on the left-hand side to go to the previous step to check and modify your configurations.

• Click Save to save all of the configurations and return to the Policy Management page.

• Click Save and Activate to save all of the configurations and activate the policy, which allows this policy to be used in services.

• Click Cancel to return to the Policy Management page without saving any configurations.

Configuring Classic Mode Services

A classic mode service is a set of configured settings for a management operation in SharePoint that can

be leveraged by business users when submitting a service request. For example, a Create Site Collection

service provides the site collection template, security settings, lifecycle management, and other settings

for the site collections that will be created by this service. Administrators can limit what options are

available to Business Users based on the standards of practice of the organization.

To create or manage classic mode services, click Service in the Administrator landing page, or click

Service Management in the side bar.

*Note: The Create My Site service and the Content Migration service are hidden. If you want to use

these services, you can contact AvePoint Technical Support.

In Service Management, click Classic Mode, then, all of the Governance Automation classic mode

services you have configured are displayed. You may change the number of services displayed per page,

as well the order they are displayed in. To change the number of services displayed per page, select the

desired number from the Show rows drop-down list in the upper right-hand corner. To sort the services,

click in a column heading such as Service, Service Type, Category, Last Modified Time, and Created

By then select Ascending or Descending.

You can customize how the services are displayed in the following ways:

• Search – Allows you to filter services displayed by the keyword you designate. The Service column and the Created By column support to search for the desired services, and only the content in the column displayed in the current view can be searched.

• Manage columns ( ) – You can manage which columns are displayed in the list so that

only information you want to see is displayed. Click the manage columns ( ) button, and then select the checkbox next to the column name to have that column shown in the list.

• Filter items ( ) – This allows you to filter which item in the list is displayed. Click the

filter items ( ) button of the column you want to filter, then select the checkbox next to the item name to have that item shown in the list.

You can perform the following actions in Service Management:

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• Create – Click Create on the ribbon to display the Create New interface. Select a service type to create the new service using the corresponding template.

• View Details – Click a service name to see the detailed information.

• Edit – Select an inactive service, and click Edit on the ribbon.

• Copy – Duplicate an existing service to make minor changes in order to save as a new service. Select a desired service. Click Copy on the ribbon, and enter the related information required. When completing the configurations, click Save to save all of the settings or click Save and Activate to save all of the configurations and activate this service which makes this service available to be requested. Click Cancel to return to the Service Management interface without saving any configurations.

• Delete – Select an inactive service, and click Delete on the ribbon. A confirmation window will appear for this deletion. Click OK to delete the selected service, or click Cancel to return to the Service Management interface without deleting the selected service.

• Activate – Select the services you want to activate and click Activate on the ribbon. Active services are available to be requested.

• Deactivate – Select the services you want to deactivate and click Deactivate on the ribbon. Inactive services will not be seen by users and cannot be requested.

• Print – Select the services you want to print and click Print Preview on the ribbon. Click Print on the ribbon. The print configuration page of your browser appears. Configure your desired settings and print the service settings.

*Note: To avoid performance issues, AvePoint recommends that no more than ten

services are printed at once.

*Note: In the Print Preview window, the detailed settings of all sections are displayed

by default. If the detailed setting of a section is hidden by clicking the hide ( ) button,

the detailed setting of this section will not be printed.

• Customize Request Descriptions – You can customize field descriptions displayed in the request form of a service. Select the service and click Customize Request Descriptions on the ribbon. Then, configure the following settings:

i. Edit the descriptions for each field by clicking the edit ( ) button and enter

your desired descriptions. You can also click the undo ( ) button to undo the

edits you made.

*Note: If you want to customize descriptions of other languages, select the

language from the drop-down list in the upper-right corner.

ii. When you finished customizing request descriptions, click Save to save the

configurations or click Cancel to return to Service Management without saving

any changes.

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*Note: If a farm has been set in a service scope and the farm is deleted from your environment, the

service with this farm in the scope will be unavailable. You must edit the service and select a new farm.

Instructions on creating and editing each type of service are provided in the sections below.

Common Service Settings

The following fields are common service settings in all types of services:

1. Service Name and Description – Enter a Name for the service and an optional Description for future reference.

2. Language – Choose one or more languages for this service. When starting a request, a requester can filter the services according to their languages.

3. Service Category – Categories are used to organize your Governance Automation services. Select an existing category from the drop-down list or create a new category for this service by clicking Create New then configuring the new category in the Create Category interface.

4. Service Permissions – Choose how you want the service to be available to users so they can initiate requests, choose what kind of users have permission to use the service, and define conditions for users who can submit requests for the service by completing the following settings:

• Service initiation – Choose how users will be able to initiate requests for this service:

o Available in service catalog (the Start a Request page) – Select this checkbox to show this service via the service catalog (the Start a Request page). If you select this checkbox, you can also select the Available in Site Information Card checkbox to show this service via the Site Information Card app part. In the Site Information Card app part, users can submit requests within the site collection or site directly. Then, you can select the Hide from the Site Information Card and Governance Automation app page for users that do not meet the conditions below for submitting service requests checkbox. With this option enabled, Governance Automation will validate user permissions for submitting requests before loading the Site Information Card. Note that validating user permissions for submitting requests may impact the time required to load the Site Information Card.

o Available as questionnaire result – Select this checkbox to show this service via questionnaire results. Then, choose one of the following options:

▪ Users must meet the service permissions below – Allows business users who meet the permission conditions below to access this service via questionnaire results.

▪ Allow all users to use this service from questionnaire results (Regardless of service permission conditions) – Allows all business users to access this service via questionnaire results regardless of the service permission conditions.

• Scope for users/groups – Choose what kind of users have permission to use this service from the drop-down list.

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o Allow All Users to Use This Service – Allow this service to be requested by any user.

o Select Users/Groups to Use This Service – Allow this service to be requested by the selected users and/or groups. Enter the names of users and/or groups in the text box below.

• Define conditions for submitting service requests – Select the Define conditions for users who can request this service checkbox to only allow business users who meet certain conditions to use this service.

Note the following:

o The following services do not support defining conditions for submitting service requests:

▪ Create Site Collection service

▪ Custom Service

▪ Content Move service

▪ Clone or Transfer User Permission service

▪ Create Office 365 Group service

o The supported conditions vary with service types.

o Requesters who are allowed to submit service requests must be within the scope for users/groups defined above, and must meet the conditions defined here.

Choose one or more of the following conditions by selecting the corresponding

checkboxes:

o Site collection roles – Select this checkbox to allow users who meet the site collection roles to submit requests for the service. Enter $ in the text box to select from the following roles:

▪ $Primary Site Collection Administrator

▪ $Secondary Site Collection Administrator

▪ $Additional Site Collection Administrators

▪ $Primary Site Collection Contact

▪ $Secondary Site Collection Contact

o Site roles – Select this checkbox to allow users who meet the site roles to submit requests for the service. Enter $ in the text box to select the $Primary Site Contact and the $Secondary Site Contact roles.

o Site collection/site roles – Select this checkbox to allow users who meet the site collection and/or site roles to submit requests for this service. Enter $ in the text box to select from the following roles:

▪ $Primary Site Collection Administrator

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▪ Secondary Site Collection Administrator

▪ $Additional Site Collection Administrators

▪ $Primary Site Collection Contact

▪ $Secondary Site Collection Contact

▪ $Primary Site Contact

▪ $Secondary Site Contact

For detailed descriptions of roles, refer to Appendix A: Supported Variable

Roles.

o Site collection metadata – Enter the $Site Collection Metadata ("Metadata Name") role of Person or Group metadata and/or Lookup metadata in the text box. The users who meet both of the conditions below can submit requests for the service.

▪ The request scope is a site collection, and the site collection owns the metadata entered here.

▪ User’s properties meet the site collection’s metadata value for this metadata.

o Site metadata – Enter the $Site Metadata ("Metadata Name") role of Person or Group metadata and/or Lookup metadata in the text box. The users who meet both of the conditions below can submit requests for the service.

▪ The request scope is a site, and the site owns the metadata entered here.

▪ User’s properties meet the site’s metadata value for this site.

o Site collection/site metadata – Enter the $Site Collection Metadata ("Metadata Name") role or the $Site Metadata ("Metadata Name") role of Person or Group metadata and/or Lookup metadata in the text box. The users who meet both of the conditions below can submit requests for the service.

▪ The request scope is a site collection or site, and the site collection or site owns the metadata entered here.

▪ User’s properties meet the site collection’s or site’s metadata value for this metadata.

o SharePoint permissions – Users with specific SharePoint permission can submit requests for this service. Select the checkbox and click Add Permission; the Add Permission window appears. Select your desired permissions and click Add to List.

o SharePoint groups – Users of the SharePoint groups can submit requests via this service. Select this checkbox and enter $ in the text box to select from the following roles:

▪ $Approvers

▪ $Site Members

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▪ $Site Owners

▪ $Designers

▪ $Hierarchy Managers

▪ $Quick Deploy Users

▪ $SharePoint Group (“Group Name”)

o Office 365 group roles – Select this checkbox to allow users who meet the Office 365 group roles to submit requests for this service. Enter $ in the text box to select from the following roles:

▪ $Primary Group Contact

▪ $Secondary Group Contact

▪ $Office 365 Group Owners

For detailed descriptions of roles, refer to Appendix A: Supported Variable

Roles.

o Office 365 group metadata – Enter the $Office 365 Group Metadata ("Metadata Name") role of Person or Group metadata and/or Lookup metadata in the text box. The users who meet both of the conditions below can submit requests for the service.

▪ The request scope is an Office 365 group, and the Office 365 group owns the metadata entered here.

▪ User’s properties meet the Office 365 group's metadata value for this metadata.

o User must meet all conditions above to request this service – With this option selected, only when a user meets all conditions you set, the user can submit the request.

5. Service Contact – Specify a user to be the Service Contact. This should be a business user who is the owner of the business process for this service. Enter the username in the Service Contact text box. Press Enter to check that the name is valid.

6. Administrator Contact –Specify a user or group to be the Administrator Contact. This user or group should be an administrator of Governance Automation and is responsible for service management. Governance Automation will assign a task to the Administrator Contact when an error occurs after the approval process starts. Enter the name of a user or group in the Administrator Contact text box. Press Enter to check that the name is valid. To also have an e-mail notification be sent to the Administrator Contact when this service encounters an error, configure the Administrator Notification section of Settings. For more information on how to configure the Administrator Notification, see Configuring Administrator Notifications.

7. Metadata – Select the metadata to be made available to users when submitting a request for this service. Click Add Metadata to open the Add Metadata window. In the Add Metadata window:

• Create – Click Create to create new metadata in the Create Metadata window. For more information about how to configure metadata, refer to Configuring Metadata.

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• Edit – Select metadata and click Edit. For more information about how to configure metadata, refer to Configuring Metadata.

• Add to List – Select desired metadata and click Add to List. The metadata displayed here is configured in Settings > Metadata.

8. Approval Process – Choose Single approval process or Multiple approval process that will be used for this service. Follow the instructions below:

• Single approval process – Select this option and then select an approval process from the drop-down list.

Optionally, select the Allow all approvers to edit this service request checkbox to allow

all of the approvers to edit the service request for this service when viewing the service

request. You can Notify the requester when the service request is edited by selecting

the corresponding checkbox, then, select an E-mail template from the drop-down list.

*Note: If you select an approval process with Auto-approve, Integrate with SharePoint

Workflow, or Integrate with K2 Workflow enabled, the Allow all approvers to edit this

service request option is invisible.

• Multiple approval processes – Select this option to add one or more conditional approval processes, which determine which approval processes will be used for requests for this service according to the metadata criteria. Click Add Conditional Approval Process and the Add Conditional Approval Process window appears. Complete the following settings:

i. Name – Enter a name for the conditional approval process in the text box.

ii. Conditional Settings – Choose to Always run this approval process or Run this

approval process if the conditions below are met. If you chose the latter

option, you must complete the following settings that will be combined with an

approval process:

▪ Metadata source – Select a metadata source from the drop-down list. The metadata within this source will be a condition of the conditional approval process.

▪ Metadata name – Select a metadata name within the metadata source selected above from the drop-down list

▪ Condition – Select a condition from the drop-down list.

▪ Metadata value – Enter a metadata value in the text box or select a metadata value from the drop-down list.

▪ Add to List – Click Add to List to add the criterion configured above to the table. You can repeat the settings above to add more criteria.

If you add multiple criteria, select And or Or from the Logic Option

drop-down list. If you select And, the approval process will be applied to

the service request when all of the criteria is met. If you select Or, the

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approval process will be applied to the service request when any of the

criteria is met.

You can also perform the following actions:

▪ Clear Settings – Click Clear Settings to clear all of the condition settings configured above.

▪ Clear Table – Click Clear Table to clear all of the conditions you added to the table.

iii. Approval Process – Select an approval process from the drop-down list that will

be combined with the conditions configured above to create a conditional

approval process.

iv. Click Save on the ribbon to save your configurations or click Cancel to return to

the service settings page without saving any configurations.

v. You can repeat the steps above to create multiple conditional approval process.

You can also click the Order drop-down list of an added approval process, then,

select a number from the drop-down list to set the order of the approval

process.

vi. You can click Preview to preview the conditional approval process.

vii. Default approval process – Select a default approval process from the drop-

down list and select one of the following circumstances that will use the default

approval process:

▪ Use the default approval process if none of the conditions above is met

▪ Use the default approval process for the last approval stage for all of the requests submitted via this service

viii. Notify the requester and the approvers upon the request completion – You

can select this option to notify the requester and the approvers when the

request completes. Then, select an e-mail template used for sending notification

e-mail to the requester and the approvers.

*Note: If you select the Allow all approvers to edit this service request option, but the

default approval process or the approval process within the conditional approval

process has Auto-approve, Integrate with SharePoint Workflow, or Integrate with K2

Workflow enabled, this option will not take effect.

When you select a single approval process from the drop-down list or a default approval process

for multiple approval processes from the drop-down list, you can also click Create New to create

a new approval process. This will bring you to the Approval Process Settings interface without

saving any of the configurations you have made for this service. After selecting the approval

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process, you can click the information ( ) icon to view the approval stage, approver, and

approval order in a pop-up window.

If the configurations of the selected approval process do not meet your requirements, you can

create a new approval process on the basis of the selected approval process. Click Create from

This Existing Approval Process and the Approval Process Settings window appears. Configure

the settings, and then save and activate the approval process. For more information on

configuring the approval process, refer to Creating or Editing Approval Processes.

9. Custom Action – Allows you to modify the approval process. Choose the desired custom action Before approval, After approval, and After execution by using an executable file, PowerShell script file, or assembly. Select the corresponding checkboxes and enter the required information.

*Note: Custom Service only supports custom actions Before approval and/or After approval.

• Executable file (.exe) – Enter the executable file name in the text box.

• PowerShell script file (.ps1) – Enter the PowerShell script file name in the text box.

• Assembly (.dll) – Enter Assembly name, Namespace.class, and Method in the corresponding text boxes.

*Note: If the selected scope is in a SharePoint on-premises farm, make sure that the executable

file and PowerShell script file exist in the …\Agent\bin\GovernanceAutomation directory on the

DocAve Agent servers and the assembly file exists in the …\GovernanceAutomation\bin

directory on the Governance Automation server. If the selected scope is in SharePoint Online,

make sure that the executable file, the PowerShell script file, and the assembly file exist in

the …\GovernanceAutomation\bin directory on the Governance Automation server.

Governance Automation provides you with various .exe, .ps1, and .dll sample files in the

…\GovernanceAutomation\Sample\GAWebApi\CustomAction\Samples directory on the

Governance Automation server.

For example, if you want to activate certain site collection features via a .ps1 file, you can build a

custom file by referring to the content in the ActiveFeatures.ps1 file, which is located in

the …\GovernanceAutomation\Sample\GAWebApi\Custom Action\Samples\CustomActionPS

directory. The sample file provides the site collection feature activation function via service

metadata. This method requires the following actions:

• Add metadata in a Create Site Collection service and define the site collection feature names as the values of this metadata.

• In the custom .ps1 file, find the if($item.Name -eq "GA_SiteCollectionFeature") node, then, replace GA_SiteCollectionFeature with the name of the metadata you added in the Create Site Collection service.

When Governance Automation executes the custom action, the Governance Automation Web

API will retrieve the site collection URL defined in the service request. The site collection URL,

Governance Automation server host name, Governance Automation Web site port, security

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token, and request ID will automatically be transmitted to the ActiveFeature.ps1 file. Then, the

site collection features will be activated.

10. Execution Schedule – Select Enable service request execution schedule to define when Governance Automation executes the service request. Then, choose a previously configured execution schedule from the drop-down list or click Create New to create a new one.

11. Schedule Date – Select Enable requesters to schedule the request execution date to allow business users to configure a schedule date to execute the service request for this service.

• Allow business users to override IT Admin’s execution date (This section only appears when Enable service request execution schedule is selected) – If Enable service request execution schedule is selected in the Execution Schedule section, you can allow business users to override the execution schedule selected by the IT Admin and define their own scheduled request execution time.

• Notify the approvers about upcoming scheduled request in advance by – Choose to send an e-mail to notify the approvers in advance when it reaches a specified time. If Notify the approvers about upcoming scheduled request in advance by is selected, enter a number in the text box and select Day(s) or Week(s) from the drop-down list. Then, select an E-mail Template for the notification sent to the approvers.

Create Site Collection Service

Configure Create Site Collection services to define the Create Site Collection service request template for

business users. You can customize the settings for site collections created by this service as well as

configure available options for business users to choose from when requesting this service. Create Site

Collection services also allow you to apply data protection and content retention policies on the site

collections with full auditing to monitor compliance with your corporate standards.

*Note: With Governance Automation, you can create site collections in SharePoint on-premises and

SharePoint Online.

In the interface for creating or editing a Create Site Collection service, configure the following settings.

*Note: For information about common service settings that exist in all types of services, refer to

Common Service Settings.

1. Web Applications and Managed Paths – Select the Web applications and associated managed paths where you wish to create a site collection.

*Note: To create site collections in SharePoint Online standard instance, you must register

SharePoint Online admin centers in DocAve first. For details, refer to Registering SharePoint

Online Admin Centers/Site Collections.

a. Select the Show host headers checkbox to display the host headers with a farm.

b. Select a farm or My Registered Sites from the drop-down list. Expand the tree to select

the desired Web applications, SharePoint Online admin centers or host headers, and

managed paths by selecting the corresponding checkboxes. If host headers are selected,

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the business users are allowed to create host-named site collections in the requests.

Select a default Web application or admin center and managed path for the site

collection you wish to create by selecting one from the drop-down lists under the tree.

You can select multiple Web applications or admin centers then use the Default

Selection drop-down list to designate the default location for new site collections

created by this service.

Choose to assign a Web application and managed path for this service and site

collections created by this service, or allow the business user to choose the Web

application and managed path when submitting a request for this service. Choose from

the following:

o Assign by IT Admin – The Web application and managed path selected in the Default Selection field will be used by requests for this service, and they are shown as read-only to business users in the requests.

o Assign by Business User – Allows business user to choose the Web application and managed path when submitting a request for this service.

c. Use SharePoint context to automatically populate the service request scope – You can

select this checkbox to retrieve and use SharePoint context in the service request scope.

In the Governance Automation Web Part interface, the service request URL is set to the

Web part URL, which will be used as the request scope. The same applies to the Site

Information Card app part, so that the Site Information Card URL will be used as the

request scope. Alternatively, a link can be created within SharePoint to this service

request page and the request scope will be set to the parent URL. Make sure that the

request URL is in the following format:

https://servername:port/Request/NewSCRequest?serviceId={serviceID}&parent={par

entsiteURL}.

Choose one of the following options:

o Allow Business User to Edit the URL – The retrieved URL will be automatically filled into the request scope, and the requester can edit it.

o Show as Read-Only to Business User – The retrieved URL will be displayed as read-only in the request scope, and the requester cannot edit it.

o Hide from Business User – The retrieved URL will not be displayed to the requester in the request scope.

*Note: If you select My Registered Sites, this function will take effect on the

Governance Automation App deployed on SharePoint Online. The URL of the

Governance Automation app part Site Information Card will be used as the request

scope.

2. Site Collection Title Validation – You can select the Title validation checkbox to enable site collection title validation. Then, select a text validation rule from the drop-down list. The site

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collection title defined by the requester will be validated according to the regular expression set in the text validation rule.

3. Policy – Select the site collection policies to provision the site collections created by this service by selecting the corresponding checkboxes or click Create New to be brought to a pop-up window to create a new policy. Configure this section as follows:

a. Select the policies to be made available for business users to choose from by selecting

the corresponding checkbox of each policy in the Select Policies configuration area. All

policies selected here will be made available to business users if you select Assign by

Business User in the Assign by drop-down list. If no existing policy is appropriate for this

service, you may click Create New to create a new one.

b. Select a default policy in the Default Selection drop-down list. If Assign by Business

User is selected in the Assign by drop-down list, this policy will be selected in the service

request, but the business user will be able to select another policy out of the policies

you have selected in the Select the Policies configuration area. If Assign by IT Admin is

selected in the Assign by drop-down list, this will be the only available policy in the

service request and the business user will not be able to choose another policy.

Choose to assign a policy to site collections created by this service or allow the business user to

choose the policy when submitting a request for this service from the policies selected in the

Select the Policies configuration area. Choose from the following:

• Assign by IT Admin – The policy selected in the Default Selection drop-down list will be applied to all site collections created through requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business user to choose from the policies you have selected in the Select the Policies configuration area.

4. Language (This option is only available if you are using SharePoint Online, or if you have language packs installed on the SharePoint on-premises Web server) – Select the language for the site collection. If more than one language is selected, choose a default language from the Default Selection drop-down list.

Choose to assign a language to site collections created by this service or allow the business user

to choose the language when submitting a request for this service from the languages selected

in the Select Language configuration area. Choose from the following:

• Assign by IT Admin – The language selected in the Default Selection drop-down list will be applied to all site collections created through requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business user to choose from the languages you have selected in the Select Language configuration area.

5. Experience Version (This option is only available when you select SharePoint 2013 Web applications in Web Applications and Managed Paths) – Select the experience version (2010 or 2013) for the site collections that business users will create.

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Choose to assign the experience version to site collections created by this service or allow the

business user to choose the experience version when submitting this service request. Choose

from the following:

• Assign by IT Admin –The experience version selected here will be applied to all site collections created through requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business user to select the experience version when submitting a request for this service.

6. Site Collection Template – Specify the site collection template to use for site collections created by this service. Configure this section as follows:

• Retrieve custom site template from an external data source – Select this option to use a custom site collection template to create a site collection.

i. Farm – Select a farm from the drop-down list.

ii. Get custom site template from a library – Enter the URL of the library where

the information of the custom templates is stored.

iii. Get template name from the following column – Select a column whose values

are the custom template names.

• Select templates – In this field, select which site collection templates will be made available for business users by selecting the corresponding checkbox.

7. Then, select the default site collection template in the Default Selection drop-down list.

• If Assign by Business User is selected in the drop-down list below, this site collection template will be selected as default in the service request, but the business user will be able to select another template from the available templates.

• If Assign by IT Admin is selected in the drop-down list below, the template selected here will be the only available template in the service request and the business user will not be able to choose another template.

8. Choose to use the default site collection template to create site collections or to allow business users to choose the site collection template from the available templates when submitting a request for this service. Choose from the following:

• Assign by IT Admin – The site collection template selected in the Default Selection drop-down list will be applied to all site collections created through requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business user to choose from the site collection templates you have selected in the Select the templates configuration area.

9. Click the arrow on the right-hand side to proceed to the next step.

10. Site Collection Permissions – Customize the permissions for site collections created by this service:

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• The Common tab – Configure the common permission settings to assign permissions to specific groups and users. By default, the common groups are displayed. Click the edit (

) button to edit the settings of a group or click the delete ( ) button to delete a group.

o Create Group – Click Create Group to create a new group and add it into the common permission settings. In the Add a Group window, configure the following settings:

▪ Custom Group Name – Enter a name for the group and enter an optional description for future reference. Enter $SiteName to automatically add the site collection tile as the group name prefix in Create Site Collection service request.

▪ Select Users – Select your desired users to add into the group. Click Add a User and enter the usernames in the pop-up window. You can also enter $ to select the following roles: $Requester, $Manager of Requester, $Primary Site Collection Contact, and $Secondary Site Collection Contact. Then, click OK to save your configurations.

For detailed descriptions of roles, refer to Appendix A: Supported

Variable Roles.

Choose Assign by IT Admin to assign the group settings to site

collections created by this service. Then choose either Show as Read-

Only to Business User or Hide from Business User. Choose Assign by

Business User to allow business user to configure the group settings

when submitting requests for this service. You can also choose to

require the business user to configure the group settings by selecting

the Require Business User Input checkbox.

Optionally, select the Enforce Permission checkbox after a username. In

the request page, the user cannot be deleted and the user permissions

cannot be modified. For the enforced permission user, you can hide the

enforced permission user from the request page by selecting the Hide

checkbox.

▪ Permissions – Configure the permissions for this group. Select your desired permission levels by selecting the corresponding checkboxes.

▪ Optionally, select the Allow Business User to change the permission level of this group checkbox, so that the business users can modify the permission level when creating a request.

▪ Click Save to save the group settings.

o Grant Permissions – Click Grant Permissions to grant permissions to specific users. In the Grant User Permissions window, configure the following settings:

▪ Select Users – Enter the names of the users that you are about to grant permissions.

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▪ Assign By – Choose who will assign the user permissions, IT Admin or Business User. If Assign by IT Admin is selected from the drop-down list, choose either Show as Read-Only to Business User or Hide from Business User.

▪ Permissions – Configure the permissions for the users. Select your desired permission levels by selecting the corresponding checkboxes.

▪ Click Save to save your configurations.

• The specific template tab – The template tab depends on the selected site collection template. The default groups of the site collection template are displayed. Click the edit

( ) button to edit the settings of a specific group or click the delete ( ) button to delete a specific group.

o Use common permission settings – Select the checkbox to apply the permission settings in the Common tab. If there are group names that already exist in the Common tab, the group settings will be replaced by those of the Common tab.

o Create Group – Click Create Group to create a new group and add it into the common permission settings. In the Add a Group window, configure the following settings:

▪ Custom Group Name – Enter a name for the group and enter an optional description for future reference.

▪ Select Users – Select your desired users to add into the group. Click Add a User and enter the usernames in the pop-up window. You can also enter $ to select the following roles: $Requester, $Manager of Requester, $Primary Site Collection Contact, and $Secondary Site Collection Contact. Then, click OK to save your configurations.

For detailed descriptions of roles, refer to Appendix A: Supported

Variable Roles.

Choose Assign by IT Admin to assign the group settings to site

collections created by this service. Then choose either Show as Read-

Only to Business User or Hide from Business User. Choose Assign by

Business User to allow business user to configure the group settings

when submitting requests for this service. You can also choose to

require the business user to configure the group settings by selecting

the Require Business User Input checkbox.

Optionally, select the Enforce Permission checkbox after a username. In the request page, the user cannot be deleted and the user permissions cannot be modified. For the enforced permission user, you can hide the enforced permission user from the request page by selecting the Hide checkbox.

▪ Permissions – Configure the permissions for this group. Select your desired permission levels by selecting the corresponding checkboxes.

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▪ Optionally, select the Allow Business User to change the permission level of this group checkbox, so that the business users can modify the permission level when creating a request.

▪ Click Save to save the group settings.

o Grant Permissions – Click Grant Permissions to grant permissions to specific users. In the Grant User Permissions window, configure the following settings:

a. Select Users – Enter the names of the users that you are about to grant permissions.

b. Assign By – Choose who will assign the user permissions, IT Admin or Business User.

c. Permissions – Configure the permissions for the users. Select your desired permission levels by selecting the corresponding checkboxes.

d. Click Save to save your configurations.

• Reset All – Click Reset All to clear your configurations and reset all configured site collection permissions settings to the initial state.

• Business User action control – Choose how to control the business user actions on the site collection permissions.

o Allow Business User to create Active Directory groups (This option is only available when you select a SharePoint on-premises farm in Web Applications and Managed Paths) – Select this checkbox to allow business users to create Active Directory groups in the request. Then select an Active Directory profile from the drop-down list. For more information about configuring Active Directory profiles, refer to the Configuring Active Directory Profiles. Note that the type of the Active Directory groups created via this service is Global.

o Allow Business User to grant user permissions directly – Select this checkbox to allow business users to directly grant permissions to specific users in the request.

o Prevent Business User from requesting to grant permissions with the following permission levels – Select this checkbox and select your desired permission levels. The selected permission levels will not be displayed in the request.

11. Click the arrow on the right-hand side to proceed to the next step.

12. Primary Site Collection Administrator – Assign a user to be the primary site collection administrator by entering the username into the text box. Press Enter to check that the name is valid. You can also enter $ to select one of the following roles:

• $Requester

• $Manager of Requester

• $Primary Site Collection Contact

• $Secondary Site Collection Contact

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

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Choose to assign the primary site collection administrator to site collections created by this

service or allow the business user to choose the primary site collection administrator when

submitting a request for this service. Choose from the following:

• Assign by IT Admin – The primary site collection administrator configured here will be applied to all site collections created through requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows the business user to configure the primary site collection administrator when submitting a request for this service.

You can also send an e-mail to notify the primary site collection administrator when the site

collection is created successfully. Select the Notify the site collection administrator upon site

collection creation checkbox and select an e-mail template from the drop-down list. By default,

the Built-in Administrator Notification E-mail Template is selected.

13. Secondary Site Collection Administrator (only for SharePoint on-premises site collections) – Assign a user to be the secondary site collection administrator by entering the username into the text box. Press Enter to check that the name is valid. You can also enter $ to select one of the following roles:

• $Requester

• $Manager of Requester

• $Primary Site Collection Contact

• $Secondary Site Collection Contact

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

Choose to assign the secondary site collection administrator to site collections created by this

service or allow the business user to choose the secondary site collection administrator when

submitting a request for this service. Choose from the following:

• Assign by IT Admin – The secondary site collection administrator configured here will be applied to all site collections created through requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows the business user to configure the secondary site collection administrator when submitting a request for this service. You can choose to require the business user to configure the secondary site collection administrator by selecting the Require Business User Input checkbox.

You can also send an e-mail to notify the secondary site collection administrator when the site

collection is created successfully. Select the Notify the site collection administrator upon site

collection creation checkbox and select an e-mail template from the drop-down list. By default,

the Built-in Administrator Notification E-mail Template is selected.

14. Additional Site Collection Administrators – Assign one or more users or groups to be the additional site collection administrators. Enter the names of the users or groups into the text

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box. Press Enter to check that the names are valid. You can also enter $ to select one of the following roles:

• $Requester

• $Manager of Requester

• $Primary Site Collection Contact

• $Secondary Site Collection Contact

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

Choose to assign the additional site collection administrators to site collections created by this

service or to allow business users to choose additional site collection administrators when

submitting a service request. Choose from the following:

• Assign by IT Admin – The additional site collection administrators configured here will be applied to all site collections created through requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows the business user to configure the additional site collection administrators when submitting a service request. You can choose to require the business user to configure the additional site collection administrators by selecting the Require Business User Input checkbox.

You can also send an e-mail to notify the additional site collection administrators when the site

collection is created successfully. Select the Notify the site collection administrator upon site

collection creation checkbox and select an e-mail template from the drop-down list. By default,

the Built-in Administrator Notification E-mail Template is selected.

15. Primary Site Collection Contact – The primary site collection contact will be the user designated for managing the lifecycle of the site collection created by this service. Assign a user to be the primary site collection contact by entering the username into the text box. Press Enter to check that the name is valid. You can also enter $ to select the role $Requester or $Manager of Requester.

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

Choose to assign the primary site collection contact to site collections created by this service or

allow the business user to choose the primary site collection contact when submitting a request

for this service. Choose from the following:

• Assign by IT Admin – The primary site collection contact configured here will be applied to all site collections created through requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows the business user to configure the primary site collection contact when submitting a service request.

You can also send an e-mail to notify the primary site collection contact when the site collection

is created successfully. Select the Notify the contact upon site collection creation checkbox and

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select an e-mail template from the drop-down list. By default, Built-in Object Ownership

Notification E-mail Template is selected.

16. Secondary Site Collection Contact – The secondary site collection contact will be the user designated for managing the lifecycle of the site collection created by this service if the primary site collection contact is unable to respond to a notification. Assign a user to be the secondary site collection contact by entering the username into the text box. Press Enter to check that the name is valid. You can also enter $ to select the role $Requester or $Manager of Requester.

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

Choose to assign the secondary site collection contact to site collections created by this service

or allow the business user to choose the secondary site collection contact when submitting a

request for this service. Choose from the following:

• Assign by IT Admin – The secondary site collection contact configured here will be applied to all site collections created through requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows the business user to configure the secondary site collection contact when submitting a service request.

You can send an e-mail to notify the secondary site collection contact when the site collection is

created successfully. Select the Notify the contact upon site collection creation checkbox and

select an e-mail template from the drop-down list. By default, Built-in Object Ownership

Notification E-mail Template is selected.

17. Click the arrow on the right-hand side to proceed to the next step.

18. DocAve Deployment Manager Plan – Select the Apply DocAve Deployment Manager Plan checkbox to apply a DocAve Manager plan to the new site collection. The template or pattern in the Deployment Manager plan will be used to create the new site collection. Select Deployment Manager plans from the table.

*Note: When Governance Automation creates a site collection, the Deployment Manager plan

you select here will overwrite the Deployment Manager plan selected in the site collection

policy that is applied to this service.

Before you select a plan here, AvePoint recommends that you select a site collection policy

without any Deployment Manager plan applied.

Governance Automation retrieves Deployment Manager plans that meet certain conditions.

• The plans created from DocAve Deployment Manger Home tab will be displayed if they meet all of the following conditions:

o Both of the source node and destination node in every mapping are in SharePoint on-premises or SharePoint Online.

o The SharePoint versions of the source farm and destination farm are the same.

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o The source nodes in the mappings are site collections or objects lower than site collections.

o The deployment type of the mappings in the plan is Design Element.

o The destination nodes in the mappings are site collections.

o All of the mappings in the plan are enabled and meet all of the conditions above.

• The plans created from Deployment Manager patterns will be displayed if they meet all of the following conditions:

o Both of the source node and destination node in every mapping are in SharePoint on-premises or SharePoint Online.

o The SharePoint versions of the source farm and destination farm are the same.

o The scope of the pattern is site collection.

o The source nodes in the mappings are site collections or objects lower than site collections.

o The destination nodes in the mappings are site collections.

o All of the mappings in the pattern are enabled and meet all of the conditions above.

• The DocAve Deployment Manager plans for solution deployment will be displayed if they meet all of the following conditions:

o Both of the source node and destination node in every mapping are in SharePoint on-premises.

o The SharePoint versions of the source farm and destination farm are the same.

o The source nodes in the mappings are within the User Solution Gallery node.

o The destination nodes in the mappings are site collections.

o All of the mappings in the plan are enabled and meet all of the conditions above.

If more than one Deployment Manager plans are selected, choose a default Deployment

Manager plan from the Default Selection drop-down list.

Assign the Deployment Manager plans in this service or allow the business user to choose the

Deployment Manager plans when submitting a service request. Choose from the following:

• Assign by IT Admin – The Deployment Manager plan selected in the Default Selection drop-down list will be applied to all site collections created through requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business user to choose from the Deployment Manager plans you have selected in the Select plan area. You can choose to require the business user to select the Deployment Manager plans by selecting the Require Business User Input checkbox.

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*Note: The Deployment Manager plan must not have a schedule set up in order for Governance

Automation to run the Deployment Manager job when the site collection is created.

19. Manage Site Collection Lifecycle – Select the Enable site collection lease period checkbox to enable a lease period for the site collection. Specify the lease period by entering a number in the provided text box and choose Day(s), Week(s), Month(s), or Year(s) from the drop-down list

Choose to assign the site collection lease period to site collections created by this service or

allow the business user to choose the site collection lease period when submitting a request for

this service. Choose from the following:

• Assign by IT Admin – The site collection lease period configured here will be applied to all site collection created through requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows the business user to configure the site collection lease period when submitting a request for this service.

When the site collection lease period is enabled, you can choose to enable lease expiration

warning to configure when to send the warning e-mail before the site collection reaches

expiration by selecting the Enable lease expiration warning checkbox. Then enter a number in

the provided text box and choose Day(s), Week(s), Month(s), or Year(s) from the drop-down

list.

Choose to assign the lease expiration warning to site collections created by this service or allow

the business user to choose the lease expiration warning when submitting a request for this

service. Choose from the following:

• Assign by IT Admin – The lease expiration warning configured here will be applied to all site collections created through requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows the business user to configure the lease expiration warning when submitting a request for this service.

Select the Approval Process from the drop-down list for the site collection lease period task, or

click Create New to create a new approval process for the site collection lease period task. Note

that multiple stages approval is supported for the site collection lease period task.

If the configurations of the selected approval process do not meet your requirements, click

Create from This Existing Approval Process to create a new approval process on the basis of the

selected approval process.

20. Governance Automation App and App Parts – Choose to automatically enable Governance Automation App during site collection creation. If enabling this feature, first make sure that the Governance Automation App has been properly deployed to your farm or SharePoint Online environment. For more information about the environment configuration and deployment, refer to Installing the Governance Automation App for SharePoint 2013/SharePoint 2016 On-Premises or Installing the Governance Automation App for SharePoint Online. If you choose Automatically enable Governance Automation App, you can also automatically add

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Governance Automation app part Site Information Card and/or Site Directory into the homepage of the site collection that will be created by this service. Select the Automatically add Governance Automation app parts into the homepage checkbox and then select the checkbox of the corresponding app part.

21. Request Access via Governance Automation Grant Permissions Service – Choose how to apply the request access feature to site collections created by this service.

*Note: To apply the request access feature, make sure the operations in Preparing SharePoint

are complete.

• Inherit the request access settings from its parent Web application – Choose this option to inherit the request access settings from the site collection’s parent Web application. Select this option and click the here link to view the Grant Permissions services that are applied to the Web applications in your farm. If a Web application has no Grant Permissions service applied to it, or if you want to change the Grant Permissions services applied to the Web application, click the Request Access Settings link to select a Grant Permissions service in the Request Access Settings window. For more information about how to configure the Request Access Settings window, refer to Configuring Request Access Settings.

• Apply a unique Grant Permissions service to the newly created site collection – Select a Grant Permissions service from the drop-down list to enable the request access feature and apply a unique Grant Permissions service to the site collection created by this service.

22. URL – Choose one of the following methods to define the site collection URL.

• Manually input URL – Allows the requester to manually enter the site collection URL. You can choose the following options:

o URL validation – Select the checkbox to enable site collection URL validation. Then, select a text validation rule from the drop-down list. The site collection URL defined by the requester will be validated according to the regular expression set in the text validation rule.

o Construct URL – Select the checkbox to build the site collection URL using specific rules. Click Add and select a rule from the drop-down list. The following rules are available:

▪ Site Collection Title

▪ Custom metadata with the types of Single line of text, Choice, Person or Group, Managed metadata, and Lookup.

*Note: If the metadata with the type of Choice - Checkboxes, Person or

Group, or Managed metadata has multiple values, the values will be

separated with semicolons in the constructed URL.

In the request form, the constructed URL will be automatically provided as the

default site collection URL. The requester can modify the URL if desired.

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• Automatically generate URL – Allows Governance Automation to automatically generate the site collection URL. You can enter a prefix in the Prefix text box; the automatically generated site collection URL will have the prefix before the automatically generated portion of the URL. Choose one of the following options:

o Sequential numbering – Choose this option to automatically generate the site collection URL by adding a number, starting from 1 and increasing by 1 for each URL.

o Random string – Choose this option to automatically generate the site collection URL by randomly adding characters and numbers. Enter the Minimum length of the URL name and the Maximum length of the URL name in the corresponding text boxes. Note that the value entered here cannot exceed 50.

23. When you have finished configuring settings for this service, choose one of the following options:

• Click the arrow on the left-hand side to go to the previous steps to review and modify your configurations.

• Click Save to save all of the configurations and return to the Service Management interface.

• Click Save and Activate to save all of the configurations and activate this service, which allows users to submit requests for this service.

• Click Cancel to return to the Service Management interface without saving any configurations.

Create Site Service

Configure Create Site services to define the Create Site service request template for business users. You

can customize the settings for sites created by this service as well as configure available options for

business users to choose from when requesting this service. Sites created by Governance Automation

inherit data protection and content retention policies from the site collection they live in. Sites created

by Governance Automation use the same DocAve Granular Backup and Recovery, DocAve Connector,

DocAve Archiver and lifecycle management settings as the site collections they are created in.

In the interface for creating or editing a Create Site service, configure the following settings.

*Note: For information about common service settings that exist in all types of services, refer to

Common Service Settings.

1. Scope – Choose the site collections you wish to be made available in this service. Business users will be able to choose which site collection to create the new site under.

a. Select a farm or My Registered Sites from the drop-down list.

b. Choose one of the following methods to configure the scope:

o Manually input URL – Select this option and click the Add Your Own URL link to enter the URL of the site collection in the URL text box. To add more site collections click Add Your Own URL after entering a URL.

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o Select scope from tree – Select this option and then select the site collections from the data tree.

Optionally, select Enable security trimming in the tree of the request for this service to

only allow requesters to view the node that they have permissions to access in the

scope tree. Note the following:

o Selecting this option may increase the time it takes to load the tree in the request.

o The security trimming does not support ADFS users. The node that an ADFS user has permissions to access is not displayed in the scope tree when the ADFS user submits a request via this service.

c. Site URL – You can choose the following options:

o Use site title in URL – Select this checkbox to have the site URL be filled automatically after entering the site title in the service request.

o Use SharePoint context to automatically populate the service request scope – Select this checkbox to retrieve and use SharePoint context in the service request scope. In the Governance Automation Web Part interface, the service request URL is set to the Web part URL, which will be used as the request scope. The same applies to the Site Information Card app part, so that the Site Information Card URL will be used as the request scope. Alternatively, a link can be created within SharePoint to this service request page and the request scope will be set to the parent URL. Make sure that the request URL is in the following format: https://servername:port/ProvSSRequest/NewRequest?serviceId={serviceID}&parent={parentsiteURL}.

Choose one of the following options:

▪ Allow Business User to Edit the URL – The retrieved URL will be automatically filled into the request scope, and the requester can edit it.

▪ Show as Read-Only to Business User – The retrieved URL will be displayed as read-only in the request scope, and the requester cannot edit it.

▪ Hide from Business User – The retrieved URL will not be displayed to the requester in the request scope.

*Note: If you select My Registered Sites, this function will take effect on the

Governance Automation App deployed on SharePoint Online. The URL of the

Governance Automation app part Site Information Card will be used as the

request scope.

o URL validation – Select this checkbox to enable site URL validation. Then, select a text validation rule from the drop-down list. The site URL define by the requester will be validated according to the regular expression set in the text validation rule.

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o Automatically generate URL – Allows Governance Automation to automatically generate the site URL by numbering from 1 or randomly adding characters and/or numbers. You can enter a prefix in the Prefix text box; the automatically generated site URL will have the prefix before the automatically generated number or before the randomly added characters and/or numbers. choose one of the following options:

▪ Sequential numbering – Choose this option to automatically generate the site URL by adding the number starting from 1, increasing in numerical value.

▪ Random string – Choose this option to automatically generate the site URL by randomly adding characters and/or numbers. Enter the Minimum length of the URL name and the Maximum length of the URL name in the corresponding text box. Note that the value entered here cannot exceed 50.

*Note: If you allow business users to request for creating sites in your Office 365 tenant’s root

site collection or self-service created sites, you must enable Custom Script settings. With

enabled Custom Script settings, Governance Automation can successfully apply metadata to

newly created sites. For more information about SharePoint Online Custom Script settings, refer

to http://go.microsoft.com/fwlink/?LinkId=397546.

Complete the following steps to enable Custom Script settings:

a. Navigate to SharePoint admin center > settings > Custom Script.

b. Choose the Allow users to run custom script on self-service created sites option.

c. Click OK to save your change.

*Note: Changes to Custom Script settings might take up to 24 hours to take effect.

2. Site Title Validation – You can select the Title validation checkbox to enable site title validation. Then, select a text validation rule from the drop-down list. The site title defined by the requester will be validated according to the regular expression set in the text validation rule.

3. Language (This option is only available if you have language packs installed on the Web server) – Specify the language for the sites. If more than one language is selected, choose a default language from the Default Selection drop-down list.

Choose to assign a language to sites created by this service or allow the business user to choose

the language when submitting a request for this service from the languages selected in the

Select Language configuration area. Choose from the following:

• Assign by IT Admin – The language selected in the Default Selection drop-down list will be applied to all sites created through requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business user to choose from the languages you have selected in the Select Language configuration area.

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4. Site Template – Specify the templates which can be used to create the site. In the Template store text box, enter the site collection URL where all of your site templates are centrally stored. Then click Retrieve to retrieve the available templates and select the desired templates by selecting corresponding checkboxes. Select a template as the default template from the drop-down list in the Default Selection section.

Choose to assign a template to sites created by this service or allow the business user to choose

the template when submitting a request for this service

• Assign by IT Admin – The site template selected in the Default Selection drop-down list will be applied to all sites created through requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows the business user to select the site template when submitting a request for this service. The template selected in the Default Selection drop-down list will be displayed as a default template and the business user can change it to other template.

5. Click the arrow on the right-hand side to proceed to the next step.

6. Site Permissions – Select to inherit permissions from parent site or use the unique permissions.

• Use same permissions as parent site – Select the Use same permissions as parent site to inherit the parent site’s permissions settings. Assign by IT Admin will be the default selection for the Assign by drop-down list. Choose to Show as Read-Only to Business User or Hide from Business User.

• Use unique permissions – Select the Use unique permissions checkbox and customize the site permissions for sites created by this service:

o The Common tab – Configure the common permission settings to assign permissions to specific groups and users. By default, the common groups are

displayed. Click the edit ( ) button to edit the settings of a specific group or

click the delete ( ) button to delete a specific group.

▪ Create Group – Click Create Group to create a new group and add it into the common permission settings. In the Add a Group window, configure the following settings:

a. Custom Group Name – Enter a name for the group and enter an optional description for future reference. Enter $SiteName to automatically add the site title as the group name prefix in Create Site service request.

b. Select Users – Select your desired users to add into the group. Click Add a User and enter the usernames in the pop-up window. You can also enter $ to select the following roles: $Requester, $Manager of Requester, $Primary Site Collection Contact, $Secondary Site Collection Contact, $Primary Site Contact, and $Secondary Site Contact. Then, click OK to save your configurations.

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

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Choose Assign by IT Admin to assign the group settings to sites created by this service. Then choose either Show as Read-Only to Business User or Hide from Business User. Choose Assign by Business User to allow business user to configure the group settings when submitting requests for this service. You can choose to require the business user to configure the group settings by selecting the Require Business User Input checkbox.

Optionally, select the Enforce Permission checkbox after a username. In the request page, the user cannot be deleted and the user permissions cannot be modified. For the enforced permission user, you can hide the enforced permission user from the request page by selecting the Hide checkbox.

c. Permissions – Configure the permissions for this group. Select your desired permission levels by selecting the corresponding checkboxes.

Optionally, select the Allow Business User to change the permission level of this group checkbox, so that the business users can modify the permission level when creating a request.

d. Click Save to save the group settings.

▪ Grant Permissions – Click Grant Permissions to grant permissions to specific users. In the Grant User Permissions window, configure the following settings:

a. Select Users – Enter the names of the users that you are about to grant permissions.

b. Assign By – Choose who will assign the user permissions, IT Admin or Business User. If Assign by IT Admin is selected from the drop-down list, choose either Show as Read-Only to Business User or Hide from Business User.

c. Permissions – Configure the permissions for the users. Select your desired permission levels by selecting the corresponding checkboxes.

d. Click Save to save your configurations.

o The specific template tab – The template tab depends on the selected site template. The default groups of the site template are displayed. Click the edit (

) button to edit the settings of a specific group or click the delete ( ) button to delete a specific group.

▪ Use common permission settings – Select the checkbox to apply the permission settings in the Common tab. If there are group names that already exist in the Common tab, the group settings will be replaced by those of the Common tab.

▪ Create Group – Click Create Group to create a new group and add it into the common permission settings. In the Add a Group window, configure the following settings:

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a. Custom Group Name – Enter a name for the group and enter an optional description for future reference.

b. Select Users – Select your desired users to add into the group. Click Add a User and enter the usernames in the pop-up window. You can also enter $ to select the following roles: $Requester, $Manager of Requester, $Primary Site Collection Contact, $Secondary Site Collection Contact, $Primary Site Contact, and $Secondary Site Contact. Then, click OK to save your configurations.

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

Choose Assign by IT Admin to assign the group settings to sites created by this service. Then choose either Show as Read-Only to Business User or Hide from Business User. Choose Assign by Business User to allow business user to configure the group settings when submitting requests for this service. You can also choose to require the business user to configure the group settings by selecting the Require Business User Input checkbox.

Optionally, select the Enforce Permission checkbox after a username. In the request page, the user cannot be deleted and the user permissions cannot be modified. For the enforced permission user, you can hide the enforced permission user from the request page by selecting the Hide checkbox.

c. Permissions – Configure the permissions for this group. Select your desired permission levels by selecting the corresponding checkboxes.

Optionally, select the Allow Business User to change the permission level of this group checkbox, so that the business users can modify the permission level when creating a request.

d. Click Save to save the group settings.

▪ Grant Permissions – Click Grant Permissions to grant permissions to specific users. In the Grant User Permissions window, configure the following settings:

a. Select Users – Enter the names of the users that you are about to grant permissions.

b. Assign By – Choose who will assign the user permissions, IT Admin or Business User. If Assign by IT Admin is selected from the drop-down list, choose either Show as Read-Only to Business User or Hide from Business User.

c. Permissions – Configure the permissions for the users. Select your desired permission levels by selecting the corresponding checkboxes.

d. Click Save to save your configurations.

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o Business User action control – Choose how to control the business user actions on the site permissions.

▪ Allow Business User to grant user permissions directly – Select this checkbox to allow business users to directly grant permissions to specific users in the request.

▪ Prevent Business User from requesting to grant permissions with the following permission levels – Select this checkbox and select your desired permission levels. The selected permission levels will not be displayed in the request.

7. Navigation – Configure navigation options for sites created using this service:

• Choose whether or not to Display this site on the Quick Launch of the parent site.

• Choose whether or not to Display this site on the top link bar of the parent site.

Choose to apply the option to sites created by this service or allow the business user to choose

the option when submitting a request for this service. Choose from the following:

• Assign by IT Admin – The navigation options configured here will be applied to all sites created through requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows the business user to configure the navigation options.

8. Navigation Inheritance – Choose whether or not to have sites created by this service Use the top link bar from the parent site by choosing the corresponding option.

Choose to apply the option to sites created by this service or allow the business user to choose

the option when submitting a request for this service. Choose from the following:

• Assign by Business User – Allows business user to choose the option when submitting a request for this service.

• Assign by IT Admin – The selected option will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

9. Click the arrow on the right-hand side to proceed to the next step.

10. Primary Site Contact – The primary site contact will be the user designated for managing the site created by this service. Assign a user to be the primary site contact by entering the username into the text box. Press Enter to check that the name is valid.

You can also enter $ to select one of the following roles:

• $Requester

• $Manager of Requester

• $Primary Site Collection Contact

• $Secondary Site Collection Contact

• $Primary Site Collection Administrator

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• $Secondary Site Collection Administrator

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

Choose to assign the primary site contact to sites created by this service or allow the business

user to designate one when submitting a request for this service. Choose from the following:

• Assign by IT Admin – The primary site contact configured here will be applied to all sites created through requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows the business user to configure the primary site contact.

You can send an e-mail to notify the primary site contact when the site is created successfully.

Select the Notify the contact upon site creation checkbox and select an e-mail template from

the drop-down list. By default, Built-in Object Ownership Notification E-mail Template is

selected.

11. Secondary Site Contact – The secondary site contact will be the user designated for managing sites created by this service in case the primary site contact is unable to respond to a notification. Assign a user to be the secondary site contact by entering the username into the text box. Press Enter to check that the name is valid.

You can also enter $ to select one of the following roles:

• $Requester

• $Manager of Requester

• $Primary Site Collection Contact

• $Secondary Site Collection Contact

• $Primary Site Collection Administrator

• $Secondary Site Collection Administrator

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

Choose to assign the secondary site contact to sites created by this service or allow the business

user to designate one when submitting a request for this service. Choose from the following:

• Assign by IT Admin – The secondary site contact configured here will be applied to all sites created through requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows the business user to configure the secondary site contact.

You can send an e-mail to notify the secondary site contact when the site is created successfully.

Select the Notify the contact upon site creation checkbox and select an e-mail template from

the drop-down list. By default, Built-in Object Ownership Notification E-mail Template is

selected.

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12. DocAve Deployment Manager Plan – Select the Apply DocAve Deployment Manager Plan checkbox to apply a DocAve Manager plan to the new site. The template or pattern in the Deployment Manager plan will be used to create the new site. Select Deployment Manager plans from the table.

• The plans created from DocAve Deployment Manger Home tab will be displayed if they meet all of the following conditions:

o Both of the source node and destination node in every mapping are in SharePoint on-premises or SharePoint Online.

o The SharePoint versions of the source farm and destination farm are the same.

o The source nodes in the mappings are sites or objects lower than sites.

o The deployment type of the mappings in the plan is Design Element.

o The destination nodes in the mappings are sites.

o All of the mappings in the plan are enabled and meet all of the above conditions.

• The plans created from Deployment Manager patterns will be displayed if they meet all of the following conditions:

o Both of the source node and destination node in every mapping are in SharePoint on-premises or SharePoint Online.

o The SharePoint versions of the source farm and destination farm are the same.

o The scope of the pattern is site.

o The source nodes in the mappings are sites or objects lower than sites.

o The destination nodes in the mappings are sites.

o All of the mappings in the pattern are enabled and meet all of the conditions above.

Assign the Deployment Manager plans in this service or allow the business user to choose the

Deployment Manager plans when submitting a service request. Choose from the following:

• Assign by IT Admin – The Deployment Manager plans selected in the Default Selection drop-down list will be applied to all sites created by this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business user to choose from the Deployment Manager plans you have selected in the Select plan area. You can also select the Require Business User Input checkbox to require the business user to select the Deployment Manager plans.

13. Governance Automation App and App Parts – Choose to automatically enable Governance Automation App during site creation. If enabling this feature, first make sure that the Governance Automation App has been properly deployed to your farm. For more information about the environment configuration and deployment, refer to Installing the Governance Automation App for SharePoint 2013/SharePoint 2016 On-Premises or Installing the Governance Automation App for SharePoint Online. If you choose Automatically enable Governance

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Automation App, you can also choose to automatically add Governance Automation app part Site Information Card and/or Site Directory into the homepage of the site that will be created by this service. Select the Automatically add Governance Automation app parts into the homepage checkbox and then select the checkbox for the corresponding checkbox.

14. Metadata – Choose to inherit parent site’s metadata or use unique metadata.

• Inherit parent metadata – The new site will inherit its parent site’s metadata.

• Unique metadata – The new site will use unique metadata. Select the metadata to be made available to users when submitting a request for this service. Click Add Metadata to open the Add Metadata window. In the Add Metadata window:

o Create – Click Create to create new metadata in the Create Metadata window. For more information about how to configure metadata, refer to Configuring Metadata.

o Edit – Select metadata and click Edit. For more information about how to configure metadata, refer to Configuring Metadata.

o Add to List – Select desired metadata and click Add to List. The metadata displayed here is configured in Settings > Metadata.

You can select the Copy metadata from its parent site checkbox. With this option

selected, the newly created site, which is based on this service, will copy its parent site’s

metadata.

15. When you have finished configuring settings for this service, choose one of the following options:

• Click the arrow on the left-hand side to go to the previous steps to review and modify your configurations.

• Click Save to save all of the configurations and return to the Service Management interface.

• Click Save and Activate to save all of the configurations and activate this service which allows users to submit requests for this service.

• Click Cancel to return to the Service Management interface without saving any configurations.

Create Library/List Service

Configure Create Library/List services to define the Create Library/List service request templates for

business users. You can predefine the settings for libraries or lists created by this service as well as

configure available options for business users to choose from when requesting this service. Libraries or

lists created by Governance Automation are included in the data protection plan and content retention

rules of the site collection they live in.

In the interface for creating or editing a Create Library/List service, configure the following settings.

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*Note: For information about common service settings that exist in all types of services, refer to

Common Service Settings.

1. Bulk Mode – Choose to enable bulk mode. Select the Enable bulk creation of libraries/lists to allow users to request the creation of multiple libraries and lists in one service request.

2. Scope – Choose the site you wish to be made available in this service. Business users will be able to choose which site to create the new library or list under.

a. Select a farm or My Registered Sites from the drop-down list.

b. Choose one of the following methods to configure the scope:

o Manually input URL – Select this option and click the Add Your Own URL link to enter the URL of the site in the URL text box. To add more sites click Add Your Own URL after entering a URL.

o Select scope from tree – Select this option and then expand the tree to select the sites.

Optionally, select Enable security trimming in the tree of the request for this service to

only allow requesters to view the node that they have permissions to access in the

scope tree. Note the following:

o Selecting this option may increase the time it takes to load the tree in the request.

o The security trimming does not support ADFS users. The node that an ADFS user has permissions to access is not displayed in the scope tree when the ADFS user submits a request via this service.

c. Use SharePoint context to automatically populate the service request scope – You can

select this checkbox to retrieve and use SharePoint context in the service request scope.

In the Governance Automation Web Part interface, the service request URL is set to the

Web part URL, which will be used as the request scope. The same applies to the Site

Information Card app part, so that the Site Information Card URL will be used as the

request scope. Alternatively, a link can be created within SharePoint to this service

request page and the request scope will be set to the parent URL. Make sure that the

request URL is in the following format:

https://servername:port/Request/NewListCreationRequest?serviceId={serviceID}&pa

rent={parentsiteURL}.

Choose one of the following options:

o Allow Business User to Edit the URL – The retrieved URL will be automatically filled into the request scope, and the requester can edit it.

o Show as Read-Only to Business User – The retrieved URL will be displayed as read-only in the request scope, and the requester cannot edit it.

o Hide from Business User – The retrieved URL will not be displayed to the requester in the request scope.

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*Note: If you select My Registered Sites, this function will take effect on the

Governance Automation App deployed on SharePoint Online. The URL of the

Governance Automation app part Site Information Card will be used as the request

scope.

3. Library/List Name Validation – You can select the Name validation checkbox to enable library or list name validation. Then, select a text validation rule from the drop-down list. The library or list name defined by the requester will be validated according to the regular expression set in the text validation rule.

4. Navigation – Choose whether or not to Display this library or list on the Quick Launch of its parent site.

Choose to assign the navigation option to the library or list created by this service or allow the

business user to choose this option when submitting a request for this service. Choose from the

following:

• Assign by IT Admin – The option selected here will be applied to all libraries or lists created through requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business user to choose the option when submitting a request for this service.

5. Type – Select the type of the object that you allow to be create, Library or List.

Choose to assign the type to the library or list created by this service or allow the business user

to choose the type when submitting a request for this service. Choose from the following:

• Assign by IT Admin – The type selected here will be applied to all libraries or lists created through requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business user to choose the type when submitting a request for this service.

6. Click the arrow on the right-hand side to proceed to the next step.

7. Library/List Template – Enter the site collection URL in which all of the library or list templates are centrally stored in the Template store text box, then click outside of the text box to remove the cursor from it and retrieve the templates. Select the available templates that your business users may use to create a new library or list. You can select multiple templates. Use the Default template drop-down list to designate the default template for the new library or list created by this service.

Choose to assign the template to the library or list created by this service or allow the business

user to choose the template when submitting a request for this service. Choose from the

following:

• Assign by IT Admin – The template selected here will be applied to all libraries or lists created through requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

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• Assign by Business User – Allows business user to choose the template when submitting a request for this service.

8. Document Version History (This section appears when you select Library as the Type.)– Specify whether a version is created each time you edit a file in this library.

• Require content approval for submitted items? – Specify whether new files or changes to existing files should remain in a draft state until they have been approved.

• Create a version each time you edit a file in this library?

o No versioning – Do not create a version when a file in this library is edited.

o Create major versions – Create a major version each time a file in this library is edited.

o Create major and minor (draft) versions – Create major and minor versions each time a file in this library is edited.

• Optionally limit the number of versions to retain – Allows you to limit the number of versions that you wish to retain. To limit the number of major versions, select the checkbox before Keep the following number of major versions and enter a number in the provided text box. You can also keep drafts for major versions by selecting the checkbox before Keep drafts for the following number of major versions and enter a number in the provided text box.

Choose to assign the configured settings to the library created by this service or allow the

business user to configure these settings when submitting a request for this service. Choose

from the following:

• Assign by IT Admin – The settings configured here will be applied to all libraries created through requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business user to configure the settings when submitting a request for this service.

9. Item Version History (This section appears when you select List as the Type.) – Specify whether a version is created each time you edit an item in this list.

• Require content approval for submitted items? – Specify whether new items or changes to existing items should remain in a draft state until they have been approved.

• Choose whether to Create a version each time you edit an item in this list.

• Optionally limit the number of versions to retain – Allows you to limit the number of versions that you wish to retain. To limit the number of versions, select the Keep the following number of versions checkbox and enter a number in the provided text box. You can also keep drafts for approved versions by selecting the Keep drafts for the following number of approved versions checkbox and entering a number in the provided text box.

Choose to assign the configured settings to the list created by this service or allow the business

user to configure these settings when submitting a request for this service. Choose from the

following:

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• Assign by IT Admin – The settings configured here will be applied to all lists created through requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business user to configure the settings when submitting a request for this service.

10. Click the arrow on the right-hand side to proceed to the next step.

11. Library or List Address – You can choose the following options to validate or construct the library or list URL.

• URL validation – Select the checkbox to enable library or list URL validation. Then, select a text validation rule from the drop-down list. The library or list URL defined by the requester will be validated according to the regular expression set in the text validation rule.

• Construct URL – Select the checkbox to build the library or list URL using specific rules. Click Add and select a rule from the drop-down list. The following rules are available:

o Library or List Name

o Custom metadata with the types of Single line of text, Choice, Person or Group, Managed metadata, and Lookup.

*Note: If the metadata with the type of Choice - Checkboxes, Person or Group,

or Managed metadata has multiple values, the values will be separated with

semicolons in the constructed URL.

In the request form, the constructed URL will be automatically provided as the default

library or list URL. The requester can modify the URL if desired.

*Note: If Bulk Mode is enabled in the service and the requester wants to create libraries

or lists in bulk, the construct URL rules will not take effect.

12. When you have finished configuring settings for this service, choose one of the following options:

• Click the arrow on the left-hand side to go to the previous steps to review and modify your configurations.

• Click Save to save all of the configurations and return to the Service Management interface.

• Click Save and Activate to save all of the configurations and activate this service which allows users to submit requests for this service.

• Click Cancel to return to the Service Management interface without saving any configurations.

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Create Office 365 Group Service

Configure Create Office 365 Group services to define the Create Office 365 Group service request

templates for business users. You can predefine the settings for Office 365 groups created by this service

as well as configure available options for business users to choose from when requesting this service.

In the interface for creating or editing a Create Office 365 Group service, configure the following

settings.

*Note: For information about common service settings that exist in all types of services, refer to

Common Service Settings.

1. App Profile – Select an app profile from the drop-down list. The app profile was configured in Settings > App Management. The app profile represents a tenant in Office 365, and new Office 365 groups will be created in this tenant.

2. Privacy – Choose one of the following privacy options for new Office 365 groups.

• Public – Anyone can see Office 365 group content

• Private – Only members can see Office 365 group content

Choose to apply your selection to requests for this service, or allow business users to configure

this when submitting requests for this service. Choose from the following:

• Assign by IT Admin – The privacy option selected here will be applied to new Office 365 groups. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business users to select the privacy option when submitting requests for this service.

3. Subscribe Members – The Send copies of Office 365 group conversations and events to Office 365 group members’ inboxes option decides whether to allow Office 365 group members to receive copies of Office 365 group conversations and events.

Choose to apply your selection to requests for this service, or allow business users to configure

this when submitting requests for this service. Choose from the following:

• Assign by IT Admin – Your selection here will be applied to new Office 365 groups. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business users to configure this setting when submitting requests for this service.

4. Outside Senders – The Allow outside senders option decides whether to allow users outside the organization to send e-mails to Office 365 groups.

Choose to apply your selection to requests for this service, or allow business users to configure

this when submitting requests for this service. Choose from the following:

• Assign by IT Admin – Your selection here will be applied to new Office 365 groups. Select either Show as Read-Only to Business User or Hide from Business User.

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• Assign by Business User – Allows business users to configure this setting when submitting requests for this service.

5. Language – Select one or more languages for new Office 365 groups created via this service. If more than one language is selected, you must select a default language from the Default language drop-down list.

Choose to assign a language to Office 365 groups created via this service, or allow business users

to select the language when submitting requests for this service. Choose from the following:

• Assign by IT Admin – The language selected from the Default language drop-down list will be used as the language of new Office 365 groups. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business users to select languages when submitting requests for this service. The default language selected in this service will become the default option, and business users can change it to another language.

6. Office 365 Group Classification – Select one or more group classifications for new Office 365 groups created via this service. If you select more than one group classification, you must select a default group classification from the Default Office 365 group classification drop-down list.

Choose to assign a group classification to Office 365 groups created via this service, or allow

business users to select the group classification when submitting requests for this service.

Choose from the following:

• Assign by IT Admin – The group classification selected from the Default Office 365 group classification drop-down list will be applied to new Office 365 groups. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business users to select group classifications when submitting requests for this service. The default group classification selected in this service will become the default option, and business users can change it to another group classification. You can select the Require Business User Input checkbox to require business users to select a group classification.

7. Click the arrow on the right-hand side to proceed to the next step.

8. Primary Group Contact – The primary group contact is the user designated to manage the lifecycle of new Office 365 groups created via this service.

Choose to assign a user as the primary group contact, or allow business users to assign the

primary group contact when submitting requests for this service. Choose from the following:

• Assign by IT Admin – If you select Assign by IT Admin, enter a username in the text box and press Enter to validate it. This user will become the primary group contact of all Office 365 groups created via this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Business users will assign the primary group contact when submitting requests for this service.

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9. Secondary Group Contact – The secondary group contact is the user designated to manage the lifecycle of new Office 365 groups in the event the primary group contact is unable to respond to a notification.

Choose to assign a user as the secondary group contact, or allow business users to assign the

secondary group contact when submitting requests for this service. Choose from the following:

• Assign by IT Admin – If you select Assign by IT Admin, enter a username in the text box and press Enter to validate it. This user will become the secondary group contact of all Office 365 groups created via this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Business users will assign the secondary group contact when submitting requests for this service.

10. Office 365 Group Owners – Choose to assign group owners for Office 365 groups created via this service, or allow business users to assign group owners when submitting requests for this service. Choose from the following:

• Assign by IT Admin – If you select Assign by IT Admin, enter one or more usernames in the text box. You can also enter $ to select the following roles:

o $Requester

o $Manager of Requester

o $Primary Group Contact

o $Secondary Group Contact

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Business users will assign group owners when submitting requests for this service.

11. Office 365 Group Members – Choose to assign group members for Office 365 groups created via this service, or allow business users to assign group members when submitting requests for this service. Choose from the following:

• Assign by IT Admin – If you select Assign by IT Admin, enter one or more usernames in the text box. You can also enter $ to select the following roles:

o $Requester

o $Manager of Requester

o $Primary Group Contact

o $Secondary Group Contact

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

Select either Show as Read-Only to Business User or Hide from Business User.

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• Assign by Business User – Allow business users to assign group members when submitting requests for this service. You can select the Require Business User Input checkbox to require business users to assign group members.

You can also choose whether to Enable hidden group membership to hide the members of the

Office 365 group from users who are not members of the group. Choose to apply your

selection to requests for this service, or allow business users to configure this when submitting

requests for this service. Choose from the following:

• Assign by IT Admin – The enabled or disabled hidden group membership will be applied to new Office 365 groups created via this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Business users will choose whether to enable hidden group membership.

12. Office 365 Group Policy – Select one or more Office 365 group policies that can be applied to Office 365 groups created via this service. If you select more than one policy, you must select a default policy.

Choose to apply your selection, or allow business users to select Office 365 group policies.

Choose from the following:

• Assign by IT Admin – The Office group policy selected from the Default Selection drop-down list will be applied to Office 365 groups created via this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Business users will select the Office 365 group policy when submitting requests for this service. The default policy selected in this service will become the default option, and business users can change it to another policy.

13. Click the arrow on the right-hand side to proceed to the next step.

14. Office 365 Group Name/ID – If groups names/group IDs of your tenant’s Office 365 groups require rules, select the Construct Office 365 group name checkbox and/or the Construct Office 365 group ID checkbox. Otherwise, leave the checkbox as deselected and business users can enter desired content as groups names and group IDs.

If you select the checkboxes, follow the steps below to set rules for constructing group name

and/or group ID:

a. Click Add under the Office 365 group name prefix, Office 365 group name suffix, Office

365 group ID prefix, or Office 365 group ID suffix label.

b. Select Text, Metadata, or Attribute as a rule from the drop-down list, and then enter or

select a value for the selected rule.

c. You can repeat the steps above to add more rules.

Choose to define group names/group IDs for Office 365 groups created via this service, or allow

business users to define group names/group IDs based on the prefixes/suffixes in your rules.

Choose from the following:

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• Assign by IT Admin – The prefixes/suffixes you set here will be used to build group names/group IDs for Office 365 groups created via this service. Group names/group IDs will be displayed to business users as read-only.

• Assign by Business User – The prefixes/suffixes you set here will be displayed to business users as read-only. Apart from the prefixes/suffixes, business users can enter additional content to build groups names/group IDs. You can select the Require Business User Input checkbox to require business users to enter additional content for groups names/group IDs.

15. Links in Request/Task Details Page – When a new Office 365 group is created, several tools are created together with the new group. Choose whether to display links for the following tools on the View Details of the corresponding service requests and tasks: Planner, Site, Files, Conversations, and/or Notebook.

16. When you have finished configuring settings for this service, choose one of the following options:

• Click the arrow on the left-hand side to go to the previous steps to review and modify your configurations.

• Click Save to save all of the configurations and return to the Service Management page.

• Click Save and Activate to save all of the configurations and activate this service, which allows business users to submit requests for this service.

• Click Cancel to return to the Service Management page without saving any configurations.

Deploy Patterns Service

To define the Deploy Patterns service request templates for business users, configure Deploy Patterns

services. You can customize the settings for business users to deploy patterns in DocAve Deployment

Manager plan to the defined site collections or sites.

In the interface for creating or editing a Deploy Patterns service, configure the following settings.

*Note: For information about common service settings that exist in all types of services, refer to

Common Service Settings.

1. Scope – Select a farm or My Registered Sites from the drop-down list and expand the tree. Select the desired Web applications by selecting the corresponding checkboxes.

Optionally, configure the following:

• Enable security trimming in the tree of the request for this service – Select this checkbox to only allow requesters to view the node that they have permissions to access in the scope tree. Note the following:

o Selecting this option may increase the time it takes to load the tree in the request.

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o The security trimming does not support ADFS users. The node that an ADFS user has permissions to access is not displayed in the scope tree when the ADFS user submits a request via this service.

• User SharePoint context to automatically populate the service request scope – Select this checkbox to retrieve and user SharePoint context in the service request scope. In the Governance Automation Web Part interface, the service request URL is set to the Web part URL, which will be used as the request scope. The same applies to Site Information Card app part, so that the Site Information Card URL will be used as the request scope. Alternatively, a link can be created within SharePoint to this service request page and the request scope will be set to the Parent URL. Make sure that the request URL is in the following format:

https://servername:port/DeploymentManagementPatternRequest/New?serviceId={s

erviceID}&parent={parentsiteURL}

*Note: If you select My Registered Sites, this function will take effect on the

Governance Automation App deployed on SharePoint Online. The URL of the

Governance Automation app part Site Information Card will be used as the request

scope.

2. Pattern Level – Select the Site collection checkbox and/or Site checkbox as the pattern level. Then, select one or more patterns retrieved from the farms or SharePoint Online sites groups you selected in the Scope field. The patterns will be applied to the site collection or site specified in the request form. You must select a default pattern from the Default Selection drop-down list for each pattern level.

3. Pattern Applying Method – Choose one of the following methods that will be used for applying patterns to the site collection or site.

• By URL – Choose this option to allow business users to define one or more site collections or sites. The patterns that are currently deployed to these site collections or sites will be retrieved. Then, business users can apply new patterns to the defined site collections or sites.

• By Pattern – Choose this option allow business users to select an original pattern to retrieve site collections or sites currently deployed with this pattern. Then, business users can select the site collections or sites and select new patterns that will be applied to these site collections or sites.

Choose to apply the selected pattern applying method to requests for this service or allow

business users to select the pattern applying method when submitting requests for this service.

Choose from the following:

• Assign by Business User – Allows business user to select the pattern applying method for site collections or sites when submitting a request for this service.

• Assign by IT Admin – The patter applying method selected in this service will be applied to requests for this service.

4. Click the arrow on the right-hand side to proceed to the next step.

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5. Conflict Resolution – Conflict resolution determines the action that DocAve takes when the name of a container or content in the new pattern is identical to that in site collections or sites. Select one of the following resolutions for the container level conflict from the drop-down list:

• Skip – Ignores the conflict and keeps the container in site collections or sites as it is.

• Merge – Updates the container in site collections or sites based on the container in the new pattern.

• Replace – Substitutes the container in site collections or sites with the container in the new pattern.

Note the following:

o If you selected Skip as the conflict resolution for the container level, you can select the Check lower objects checkbox to check conflicts of lower objects.

o If you selected Merge as the conflict resolution for the container level, you must select a resolution for the content level conflict.

Select one of the following resolutions from the Content level conflict resolution drop-

down list for the content level conflict:

o Skip – Ignores the conflict and keep the content in site collections or sites as it is.

o Overwrite – Substitutes the content in site collections or sites with the content in the new pattern.

o Overwrite by Last Modified Time – Substitutes the content in site collections or sites with the content that has the latest modification.

Choose to apply the selected conflict resolutions to requests for this service or allow business

users to select the conflict resolution when submitting requests for this service. Choose from

the following:

• Assign by IT Admin – The conflict resolutions selected in this service will be used as the conflict resolutions in requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business users to select the conflict resolutions for container level and/or content level in the request form.

6. Apps – Choose whether to deploy apps in a pattern to site collections or sites. If you enable it, you must select a resolution for the apps conflict from the App conflict resolution drop-down list:

• Skip – Ignores the conflict and keep the apps and AppData in site collections or sites as they are.

• Update App Only – The apps in site collections or sites will be overwritten except for the AppData, if the apps in the new pattern have more recent versions than the apps in site collections or sites.

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• Replace App and AppData – Substitutes the apps and AppData in site collections or sites with the apps in the new pattern.

Choose to apply the configurations to requests for this service or allow business users to

configure the settings when submitting requests for this service. Choose from the following:

• Assign by IT Admin – The Apps settings configured in this service will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business users to configure the Apps settings in the request form.

7. Mappings – Mappings allows you to map properties of the new pattern to site collections or sites. Select a domain mapping, user mapping, and/or language mapping from the corresponding checkboxes.

Choose to apply the configurations to requests for this service or allow business users to

configure the settings when submitting requests for this service. Choose from the following:

• Assign by IT Admin – Mappings selected in this service will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allow business users to select mappings in the request form.

8. Workflow – Choose to select the Include workflow definition checkbox to deploy existing workflow definition in a new pattern to site collections or sites.

Choose to apply the configurations to requests for this service or allow business users to

configure the settings when submitting requests for this service. Choose from the following:

• Assign by IT Admin – The Workflow settings configured in this service will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business users to choose whether to configure the Workflow settings in the request form.

9. Deploy to Relative Lists and Sites – Choose to select the Deploy the content type to relative lists and sites checkbox to deploy the content types of the new pattern to the relative lists and sites.

Choose to apply the configurations to requests for this service or allow business users to

configure the settings when submitting requests for this service. Choose from the following:

• Assign by IT Admin – The Deploy to Relative Lists and Sites settings configured in this service will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business users to choose whether to configure the Deploy to Relative Lists and Sites settings in the request form.

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10. Preserve the Null Column Values – Choose whether or not to preserve the null value of the item columns in the new patterns by choosing Yes or No. If you choose Yes, the null value will be preserved for those items. If you choose No, the null value will be replaced with the value in the site collection or site.

Choose whether or not to apply the configurations to requests for this service or allow business

user to choose whether configure the settings when submitting requests for this service. Choose

from the following:

• Assign by IT Admin – The Preserve the Null Column Values settings configured in this service will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business user to choose whether or not to configure the Preserve the Null Column Values settings in the request form.

11. Managed Metadata Service Settings – Choose whether to enable copying managed metadata service. By default, the Copy managed metadata service checkbox is selected. Then, choose to copy Term, Term set, or the entire Managed metadata service with the content from the new pattern to the site collection or site by choosing the corresponding options. By default, Term set is chosen.

*Note: Copying the managed metadata service will activate the service in the site collection or

site if it is not activated.

Choose whether apply the configurations to requests for this service or allow business users to

choose whether to configure this settings when submitting requests for this service. Choose

from the following:

• Assign by IT Admin – The Managed Metadata Service Settings configured in this service will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business users to choose whether to configure the Managed Metadata Service Settings in the request form.

12. Site Title and Description (This section only appears when the version of your DocAve instance is DocAve 6 Service Pack 9 or later) – Choose whether to Copy site title and description from the new pattern to the site collection or site that will be specified in the request form.

Choose to apply the configuration to requests for this service or allow business users to

configure the setting when submitting requests for this service. Choose from the following:

• Assign by IT Admin – Your configuration in this service will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business users to choose whether to copy site title and description in the request form.

13. When you have finished configuring settings for this service, choose one of the following options:

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• Click the arrow on the left-hand side to go to the previous steps to review and modify your configurations.

• Click Save to save all of the configurations and return to the Service Management interface.

• Click Save and Activate to save all of the configurations and activate this service which allows users to submit requests for this service.

• Click Cancel to return to the Service Management interface without saving any configurations.

Site Collection Lifecycle Management Service

Site Collection Lifecycle Management services provide business users with control over the lifecycle of

their site collections created/managed by Governance Automation. You can configure the settings to

notify site collection owners of lease expiration and lack of use of their site collections.

In the interface for creating or editing a Site Collection Lifecycle Management service, configure the

following settings:

1. Scope – Select the desired Web applications. Select a farm or My Registered Sites from the drop-down list and expand the tree. Select the desired Web applications by selecting the corresponding checkboxes.

Optionally, configure the following:

• Enable security trimming in the tree of the request for this service – Select this checkbox to only allow requesters to view the node that they have permissions to access in the scope tree.

o Selecting this option may increase the time it takes to load the tree in the request.

o The security trimming does not support ADFS users. The node that an ADFS user has permissions to access is not displayed in the scope tree when the ADFS user submits a request via this service.

• Use SharePoint context to automatically populate the service request scope – Select this checkbox to retrieve and use SharePoint context in the service request scope. In the Governance Automation Web Part interface, the service request URL is set to the Web part URL, which will be used as the request scope. The same applies to the Site Information Card app part, so that the Site Information Card URL will be used as the request scope. Alternatively, a link can be created within SharePoint to this service request page and the request scope will be set to the parent URL. Make sure that the request URL is in the following format: https://servername:port/Request/NewSCLifecycle?serviceId={serviceID}&parent={parentsiteURL}.

Choose one of the following options:

o Allow Business User to Edit the URL – The retrieved URL will be automatically filled into the request scope, and the requester can edit it.

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o Show as Read-Only to Business User – The retrieved URL will be displayed as read-only in the request scope, and the requester cannot edit it.

*Note: If you select My Registered Sites, this function will take effect on the

Governance Automation App deployed on SharePoint Online. The URL of the

Governance Automation app part Site Information Card will be used as the request

scope.

2. Lifecycle Management Actions – Select the type of lifecycle management service to create:

• Extend Site Collection Lease – Allows business users to request an extension to the lease of their site collection. Note the following:

o If a business user requests a lease extension when a site collection’s lease has expired, the new lease will be calculated from the date the Site Collection Lifecycle Management request is approved.

o If a business user requests a lease extension when a site collection’s lease has not expired, the lease that the site collection will have is the extended lease period plus the remaining time of the old lease.

• Delete Site Collection – Allows business users to request their site collection be deleted.

• Archive Site Collection – Allows business users to request their site collection to be extracted from SharePoint and stored in more economical storage devices.

*Note: If the archived site collection is restored to SharePoint using DocAve Archiver,

the restored site collection is still regarded as “archived” in the Governance Automation

Configuration Database. This means that the site collection is not managed by

Governance Automation. To manage the restored site collection using Governance

Automation you must import the site collection to Governance Automation. For more

information about how to import site collections, refer to Importing Existing Objects.

• Change Site Collection Policy – Allows business users to request a different Governance Automation policy be associated with the site collection they own, or request that a different Governance Automation policy associated with a My Site by specifying the My Site owner.

*Note: During a policy change, the content database settings within the original policy

settings cannot be changed.

• Lock Site Collection – Allows business users to submit a request to lock an unlocked site collection. Configure the following settings for locking site collection:

i. Lock status for the site collection – Choose the lock status for the site

collection, Adding content prevented, Read-only (blocks additions, updates,

and deletions), or No access.

Choose to assign a lock status for the site collection in this service or allow the

business user to choose the lock status when submitting a service request.

Choose from the following:

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▪ Assign by IT Admin – The lock status for the site collection selected here will be the lock status of site collection in this service request. Select either Show as Read-Only to Business User or Hide from Business User.

▪ Assign by Business User – Allows business user to choose the lock status for the site collection when submitting a request for this service.

ii. Start an additional site collection lifecycle action as an escalation step – You

can select this checkbox to generate a site collection lifecycle action task after

the site collection is locked at a certain time. Enter a number in the text box and

select Day(s), Week(s), Month(s), or Year(s) as a time unit.

iii. Lifecycle action – Select a lifecycle action (Delete Site Collection or Archive Site

Collection) from the drop-down list for the escalation.

Choose to assign a lifecycle action for site collections managed by this service or

allow the business user to choose a lifecycle action when submitting a request

for this service. Choose from the following:

▪ Assign by IT Admin – The lifecycle action selected here will be applied to site collections managed by this service. Select either Show as Read-Only to Business User or Hide from Business User.

▪ Assign by Business User – Allows business user to choose the lifecycle action for escalation when submitting a request for this service.

iv. Notify the following people about site collection locking and escalation – You

can select this checkbox to notify the selected people about the site collection

locking and escalation at a certain time before the site collection lifecycle action

task is generated. Enter the names of the users or groups you want to notify.

You can also enter $ to select the following roles:

▪ $Primary Site Collection Contact

▪ $Secondary Site Collection Contact

▪ $Primary Site Collection Administrator

▪ $Secondary Site Collection Administrator

▪ $Approvers

▪ $Site Members

▪ $Site Owners

▪ $Designers

▪ $Hierarchy Managers

▪ $Quick Deploy Users

▪ $Additional Site Collection Administrators

▪ $Site Collection Metadata ("Metadata Name")

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For detailed descriptions of roles, refer to Appendix A: Supported Variable

Roles.

Then, enter a number in the next text box and select Day(s), Week(s), Month(s),

or Year(s) as a time unit. This notification e-mail uses the e-mail template

selected from the E-mail template drop-down list.

v. Repeat notification before escalation – You can select this checkbox to repeat

sending notification e-mail to the selected people in schedule until the lifecycle

action is executed. Enter a number in the text box and select Day(s), Week(s),

Month(s), or Year(s) as a time unit. This notification e-mail uses the e-mail

template selected from the E-mail template drop-down list.

• Unlock Site Collection – Allows business users to request to unlock a locked site collection.

• Change Site Collection Quota – Allows business users to request a change of the quota template or quota size of site collections.

3. Site Collection Records Settings – When you select Delete Site Collection or Archive Site Collection as the lifecycle management action, you can configure the site collection records settings.

Choose whether to Remove the site collection record from the Governance Automation

Database once this site collection is deleted or archived, or allow business users to configure

this in the request form. If you select this option, you can also select the Remove all of the

request/task records related to the site collection from the Governance Automation Database

checkbox. Note that if you choose to remove all of the request/task records from the

Governance Automation Database, the in-progress requests/tasks will also be deleted.

Choose from the following options:

• Assign by IT Admin – The site collection records settings configured here will be applied to the site collection managed by this service. Select either Show as Read-Only to Business User to display the site collection records settings to business users in the request form or Hide from Business User to not display the settings to business users.

• Assign by Business User – Allows business users to configure the site collection records settings when submitting requests for this service.

4. When you have finished configuring settings for this service, choose one of the following options:

• Click the arrow on the left-hand side to go to the previous steps to review and modify your configurations.

• Click Save to save all of the configurations and return to the Service Management interface.

• Click Save and Activate to save all of the configurations and activate this service allowing users to submit service requests for this service.

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• Click Cancel to return to the Service Management interface without saving any configurations.

Site Lifecycle Management Service

Site Lifecycle Management services provide business users with control over the lifecycle of their sites

created/managed by Governance Automation.

In the interface for creating or editing a Site Lifecycle Management service, configure the following

settings.

*Note: For information about common service settings that exist in all types of services, refer to

Common Service Settings.

1. Action Mode – You can choose to Enable site deletion/archiving in bulk. If enabled, a requester can choose to delete/archive a single site, or delete/archive multiple sites in bulk.

2. Scope – Configure the scope for this service. Select a farm or My Registered Sites from the drop-down list first, then you can choose to input URLs manually or select the scope from the tree.

• Manually input URL – Click Add Your Own URL to add the URL, then enter the URL in the text box. Repeat the step to add multiple URLs.

• Select scope from tree – Click the farm or My Registered Sites to expand the tree and select your desired nodes by selecting the corresponding checkboxes.

Optionally, configure the following:

• Enable security trimming in the tree of the request for this service – Select this checkbox to only allow requesters to view the node that they have permissions to access in the scope tree. Note the following:

o Selecting this option may increase the time it takes to load the tree in the request.

o The security trimming does not support ADFS users. The node that an ADFS user has permissions to access is not displayed in the scope tree when the ADFS user submits a request via this service.

• Use SharePoint context to automatically populate the service request scope – Select this checkbox to retrieve and use SharePoint context in the service request scope. In the Governance Automation Web Part interface, the service request URL is set to the Web part URL, which will be used as the request scope. The same applies to the Site Information Card app part, so that the Site Information Card URL will be used as the request scope. Alternatively, a link can be created within SharePoint to this service request page and the request scope will be set to the parent URL. Make sure that the request URL is in the following format: https://servername:port/SSLMRequest/New?serviceId={serviceID}&parent={parentsiteURL}.

Choose one of the following options:

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o Allow Business User to Edit the URL – The retrieved URL will be automatically filled into the request scope, and the requester can edit it.

o Show as Read-Only to Business User – The retrieved URL will be displayed as read-only in the request scope, and the requester cannot edit it.

*Note: If you select My Registered Sites, this function will take effect on the

Governance Automation App deployed on SharePoint Online. The URL of the

Governance Automation app part Site Information Card will be used as the request

scope.

3. Lifecycle Management Actions – Choose the type of lifecycle management service to create:

• Delete Site – Allows business users to request to delete their sites.

• Archive Site – Allows business users to request for their sites to be extracted from SharePoint and stored in more economical storage devices.

*Note: If you choose Archive Site, you must select an Archiver profile from the drop-

down list. Archiver profiles are configured in DocAve. The Archiver profile that has a rule

with the Enable manual approval option enabled is filtered out here.

*Note: If the archived site is restored to SharePoint using DocAve Archiver, the restored

site is still regarded as “archived” in the Governance Automation Configuration

Database. This means that the site is not managed by Governance Automation. To

manage the restored site using Governance Automation, you must import the site to

Governance Automation. For more information about how to import sites, refer to

Importing Existing Objects.

4. Site Records Settings – Choose whether to Remove the site record from the Governance Automation Database once this site is deleted or archived, or allow business users to configure this in the request form. If you select this option, you can also select the Remove all of the request/task records related to the site from the Governance Automation Database checkbox. Note that if you choose to remove all of the request/task records from the Governance Automation Database, the in-progress requests/tasks will also be deleted.

Choose from the following options:

• Assign by IT admin – The site records settings configured here will be applied to the site managed by this service. Select either Show as Read-Only to Business User to display the site records settings to business users in the request form or Hide from Business User to not display the settings to business users.

• Assign by Business User – Allows business users to configure the site records settings when submitting requests for this service.

5. When you have finished configuring settings for this service, choose one of the following options:

• Click the arrow on the left-hand side to go to the previous steps to review and modify your configurations.

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• Click Save to save all of the configurations and return to the Service Management interface.

• Click Save and Activate to save all of the configurations and activate this service allowing users to submit service requests for this service.

• Click Cancel to return to the Service Management interface without saving any configurations.

Office 365 Group Lifecycle Management Service

Configure Office 365 Group Lifecycle Management services to define the Office 365 Group Lifecycle

Management service request templates for business users. Business users can manage the lifecycle of

their Office 365 groups.

In the interface for creating or editing an Office 365 Group Lifecycle Management service, configure the

following settings.

*Note: For information about common service settings that exist in all types of services, refer to

Common Service Settings.

1. App Profile – Select an app profile for Office 365 from the drop-down list. The app profile was configured in Settings > App Management. The app profile represents a tenant in Office 365, and it provides the scope for Office 365 groups whose lifecycle can be managed.

2. Lifecycle Management Action – Select a lifecycle management action that can be triggered from requests for this service.

• Delete Office 365 Group – Allows business users to request to delete Office 365 groups.

• Extend Office 365 Group Lease – Allows business users to request to extend the lease of Office 365 groups. Note the following:

o If a business users requests a lease extension when an Office 365 group’s lease has expired, the new lease will be calculated from the date when the Office 365 Group Lifecycle Management service request is approved.

o If a business user requests a lease extension when an Office 365 group’s lease has not expired, the lease that the Office 365 group will have is the extended lease plus the remaining time of the old lease.

• Change Office 365 Group Policy – Allow business users to request to apply a different Office 365 group policy to Office 365 groups.

• Change Office 365 Group Team Site Quota – Allow business users to change the quota of Office 365 group team sites.

3. Office 365 Group Records Settings – If you select Delete Office 365 Group as the lifecycle management action, you can configure this section.

Choose whether to Remove the Office 365 group record from the Governance Automation

Database, or allow business users to configure this in the request form. If you select this option,

you can also choose whether to Remove all of the request/task records related to the Office

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365 group from the Governance Automation Database. Note that if you choose to remove all

of the request/task records from the Governance Automation Database, the in-progress

requests/tasks will also be deleted.

Choose to apply your configurations to requests for this service, or allow business users to

configure the settings in the request form:

• Assign by IT Admin – The Office 365 group records settings configured here will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows business users to configure the Office 365 group records settings when submitting requests for this service.

4. When you have finished configuring settings for this service, choose one of the following options:

• Click the arrow on the left-hand side to go to the previous steps to review and modify your configurations.

• Click Save to save all of the configurations and return to the Service Management page.

• Click Save and Activate to save all of the configurations and activate this service, which allows business users to submit requests for this service.

• Click Cancel to return to the Service Management page without saving any configurations.

Change Site Collection Contact or Administrator Service

Configure Change Site Collection Contact or Administrator services to define the Change Site Collection

Contact or Administrator service request for business users. You can change the Site Collection Contact

or Administrator when the site collection expires to transfer the responsibilities to another user.

In the interface for creating or editing a Change Site Collection Contact or Administrator service,

configure the following settings.

*Note: For information about common service settings that exist in all types of services, refer to

Common Service Settings.

1. Scope – Select the nodes where the requester can request for changing the site collection contact or administrator.

• For SharePoint on-premises, select a Farm and expand the farm tree to select the desired Web applications by selecting the corresponding checkboxes.

• For SharePoint Online, click My Registered Sites to expand it and select your desired SharePoint Sites groups by selecting the corresponding checkboxes.

Optionally, configure the following:

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• Enable security trimming in the tree of the request for this service – Select this checkbox to only allow requesters to view the node that they have permissions to access in the scope tree. Note the following:

o Selecting this option may increase the time it takes to load the tree in the request.

o The security trimming does not support ADFS users. The node that an ADFS user has permissions to access is not displayed in the scope tree when the ADFS user submits a request via this service.

• Use SharePoint context to automatically populate the service request scope – Select this checkbox to retrieve and use SharePoint context in the service request scope. In the Governance Automation Web Part interface, the service request URL will be set to the Web part URL, which will be used as the request scope. The same applies to the Site Information Card app part, so that the Site Information Card URL will be used as the request scope. Alternatively, a link can be created within SharePoint to this service request page and the request scope will be set to the parent URL. Make sure that the request URL is in the following format: https://servername:port/ChangeSCContactRequest/New?serviceId={serviceID}&parent={parentsiteURL}.

Choose one of the following options:

o Allow Business User to Edit the URL – The retrieved URL will be automatically filled into the request scope, and the requester can edit it.

o Show as Read-Only to Business User – The retrieved URL will be displayed as read-only in the request scope, and the requester cannot edit it.

*Note: If you select My Registered Sites, this function will take effect on the

Governance Automation App deployed on SharePoint Online. The URL of the

Governance Automation app part Site Information Card will be used as the request

scope.

2. Change Contact/Administrator Settings – This option allows business users to change primary and secondary site collection contacts, or primary, secondary, and additional site collection administrators. You can define whether to allow business users to change primary My Site contact and primary My Site administrator.

*Note: In SharePoint Online site collections, only the primary site collection administrator and

the additional site collection administrators can be changed. The secondary site collection

administrator cannot be changed. If Site collection administrators is selected in the service, and

a SharePoint Online site collection URL is entered in the request page, only the Primary

administrator text box and the Additional administrators are available in the request.

3. Change Method – Choose By URL or By User as a change method for this service or allow business users to decide when submitting requests for this service. Choose from the following:

• Assign by Business User – Allows business users to choose the change method when submitting requests for this service.

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• Assign by IT Admin – The selected change method will be applied to requests for this service. The selected change method will not be displayed to business users in the service request.

4. When you have finished configuring settings for this service, choose one of the following options:

• Click the arrow on the left-hand side to go to the previous steps to review and modify your configurations.

• Click Save to save all of the configurations and return to the Service Management interface.

• Click Save and Activate to save all of the configurations and activate this service allowing users to submit service requests for this service.

• Click Cancel to return to the Service Management interface without saving any configurations.

Change Site Contact Service

You can change the Site Contact when the corresponding site collection expires to transfer the

responsibilities to another user.

In the interface for creating or editing a Change Site Contact service, configure the following settings.

*Note: For information about common service settings that exist in all types of services, refer to

Common Service Settings.

1. Scope – Define the scope by manually inputting URLs or selecting from the tree.

• Manually input URL – Click Add Your Own URL and then input the URL in the text box. Repeat to add more URLs.

• Select from tree – Expand the farm tree or My Registered Sites to select the desired nodes by selecting the corresponding checkboxes.

Optionally, configure the following:

• Enable security trimming in the tree of the request for this service – Select this checkbox to only allow requesters to view the node that they have permissions to access in the scope tree. Note the following:

o Selecting this option may increase the time it takes to load the tree in the request.

o The security trimming does not support ADFS users. The node that an ADFS user has permissions to access is not displayed in the scope tree when the ADFS user submits a request via this service.

• Use SharePoint context to automatically populate the service request scope – Select this checkbox to retrieve and use SharePoint context in the service request scope. In the Governance Automation Web Part interface, the service request URL is set to the Web part URL, which will be used as the request scope. The same applies to the Site

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Information Card app part, so that the Site Information Card URL will be used as the request scope. Alternatively, a link can be created within SharePoint to this service request page and the request scope will be set to the parent URL. Make sure that the request URL is in the following format: https://servername:port/ChangeSSContactRequest/New?serviceId={serviceID}&parent={parentsiteURL}.

Choose one of the following options:

o Allow Business User to Edit the URL – The retrieved URL will be automatically filled into the request scope, and the requester can edit it.

o Show as Read-Only to Business User – The retrieved URL will be displayed as read-only in the request scope, and the requester cannot edit it.

*Note: If you select My Registered Sites, this function will take effect on the

Governance Automation App deployed on SharePoint Online. The URL of the

Governance Automation app part Site Information Card will be used as the request

scope.

2. Change Method – Choose By URL or By User as a change method for this service or allow business users to decide when submitting request for this service. Choose from the following:

• Assign by Business User – Allows business users to choose the change method when submitting requests for this service.

• Assign by IT Admin – The selected change method will be applied to requests for this service. The selected change method will not be displayed to business users in the service request.

3. When you have finished configuring settings for this service, choose one of the following options:

• Click the arrow on the left-hand side to go to the previous steps to review and modify your configurations.

• Click Save to save all of the configurations and return to the Service Management interface.

• Click Save and Activate to save all of the configurations and activate this service allowing users to submit service requests for this service.

• Click Cancel to return to the Service Management interface without saving any configurations.

Content Move Service

Configure Content Move services to define the Content Move service request template for business

users. You can configure the settings to copy or move SharePoint contents, so the content and topology

of your SharePoint environment can be restructured easily and accurately.

Note the following:

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• If the source object is not managed by Governance Automation, the destination object will not be managed by Governance Automation.

• If the source object is a top-level site, Governance Automation will check whether or not the top-level site’s site collection is managed by Governance Automation, and then follow the rule above.

• If a new site is created in the destination, the new site will be managed by Governance Automation.

In the interface for creating or editing a Content Move service, configure the following settings.

*Note: For information about common service settings that exist in all types of services, refer to

Common Service Settings.

1. Scope – Select the source scope and the destination scope. They can be identified as a source or destination in a Content Move request.

• In Source Scope:

o For SharePoint on-premises, expand the farm tree and select the desired Web applications by selecting the corresponding checkboxes.

o For SharePoint Online, click My Registered Sites to expand it and select your desired SharePoint Sites groups by selecting the corresponding checkboxes.

• In Destination Scope:

You can define the data destination by selecting the Specify a destination URL option or

selecting a destination scope.

o Specify a destination URL – Select the option to specify a destination URL.

▪ Set a destination starting URL – Select the option and enter a valid URL as a destination starting URL. In the Content Move request page, the entered destination starting URL will be used as the starting node of the destination scope tree.

▪ Set a specific destination URL – Select the option and enter a valid URL as the destination URL. The requester can only copy or move content to this object.

o Select a destination scope – Select the option and configure the following settings:

▪ For SharePoint on-premises, expand the farm tree and select the desired Web applications by selecting the corresponding checkboxes.

▪ For SharePoint Online, click My Registered Sites to expand it and select your desired SharePoint Sites groups by selecting the corresponding checkboxes.

Optionally, configure the following:

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• Enable security trimming in the tree of the request for this service – Select this checkbox only allow requesters to view the node that they have permissions to access in the scope tree. Note the following:

o Selecting this option may increase the time it takes to load the tree in the request.

o The security trimming does not support ADFS users. The node that an ADFS user has permissions to access is not displayed in the scope tree when the ADFS user submits a request via this service.

• Use SharePoint context to automatically populate the service request scope – Select this checkbox to retrieve and use SharePoint context in the service request scope. In the Governance Automation Web Part interface, the service request URL is set to the Web part URL, which will be used as the request scope. The same applies to the Site Information Card app part, so that the Site Information Card URL will be used as the request scope. Alternatively, a link can be created within SharePoint to this service request page and the request scope will be set to the parent URL. Make sure that the request URL is in the following format: https://servername:port/ContentManagerRequest/New?serviceId={serviceID}&parent={parentsiteURL}.

Choose one of the following options:

o Allow Business User to Edit the URL – The retrieved URL will be automatically filled into the request scope, and the requester can edit it.

o Show as Read-Only to Business User – The retrieved URL will be displayed as read-only in the request scope, and the requester cannot edit it.

*Note: If you select My Registered Sites, this function will take effect on the

Governance Automation App deployed on SharePoint Online. The URL of the

Governance Automation app part Site Information Card will be used as the request

scope.

2. Method – Select Copy or Move for this service or allow the business user to decide when submitting the request:

• Assign by Business User – Allows business user to choose the method when submitting a request for this service.

• Assign by IT Admin – The selected method will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

If you select Move, you may also configure the following settings:

• Source Documents/Items Deleted Method – Select Manually to delete the source content yourself once the move job is complete in DocAve (select the move job in Job Monitor, then click Delete on the ribbon and select Delete Content from the drop-down list), or select Automatically to have DocAve delete the source content once the move job is complete.

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Choose to apply the method to requests for this service or allow the business user to

choose the method when submitting a request for this service. Choose from the

following:

o Assign by Business User – Allows business user to choose the method when submitting a request for this service.

o Assign by IT Admin – The selected method will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Delete Checked Out Documents From Source – By default, No is selected. Select Yes if you want to have the checked out documents on the source node deleted when the source content is deleted.

Choose to apply this option to requests for this service or allow the business user to

choose the option when submitting a request for this service. Choose from the

following:

o Assign by Business User – Allows business user to choose the option when submitting a request for this service.

o Assign by IT Admin – The selected option will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

3. Action – Select Attach to transfer the source node as a child node underneath the destination node, or select Merge to add the content, securities, and configurations of the source node to the destination node.

Choose to apply this option to requests for this service or allow the business user to choose the

action when submitting a request for this service. Choose from the following:

• Assign by Business User – Allows business user to choose the action when submitting a request for this service.

• Assign by IT Admin – The selected action will be applied to requests for this service.

4. Click the arrow on the right-hand side to proceed to the next step.

5. Filter Policy – Select a filter policy you previously created in DocAve from the drop-down list. Filter policies allow you to select specific objects or data within each SharePoint level from the Web application down to the item level.

Choose to apply this option to requests for this service or allow the business user to choose the

option when submitting a request for this service. Choose from the following:

• Assign by Business User – Allows the business user to choose the option when submitting a request for this service.

• Assign by IT Admin – The selected option will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

6. Configuration – Choose whether to migrate configuration to the destination.

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• Select Copy/Move configuration to copy/move the properties, descriptions, titles, settings, and features from the source node to the destination node.

o If you want to keep the look and feel of the source site, including the quick launch, top link bar, tree view, site themes, and master page, select the Keep look and feel checkbox.

*Note: This function will only take effect if the source node is a site, the

destination node is a top-level site or a site collection, and if you chose Merge

as the action.

• Select Do not copy/move configuration if you don’t want to migrate configuration to the destination. Then, choose from the following options:

o Select Copy/Move the item-dependent columns and content types to maintain item integrity. Then, select a conflict resolution method for these items’ columns and content types from the drop-down list:

▪ Do not copy/move the columns and content types, or the corresponding items – Ignore the conflicting columns, content types, and the corresponding items, and do nothing on the source and destination node.

▪ Overwrite the columns and content types to destination – Overwrite the destination columns and content types with the source node.

▪ Append the columns and content types to destination – Keep the destination columns and content types when there is a conflict. In addition, copy the source columns and content types to the destination node with a numerical suffix added (for example, ColumnName_1, ColumnName_2, etc.).

o Select Do not copy/move the item-dependent columns or content types. Report the items if the corresponding column or content type is not found in destination. The corresponding items are not copied to the destination. The job report will show items if the corresponding column or content type is not found in the destination node.

*Note: If a source node is associated with a Managed Metadata column and there is no

Managed Metadata column in the destination node, Governance Automation do not copy or

move the source Managed Metadata column to the destination.

Choose to apply this option to requests for this service or allow the business user to choose the

option when submitting a request for this service. Choose from the following:

• Assign by Business User – Allows business user to choose the option when submitting a request for this service.

• Assign by IT Admin – The selected option will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

7. Security – Select the Copy/Move security checkbox to copy the user and/or group permissions from the source node to the destination node, including SharePoint permission level and

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permission inheritance of SharePoint objects. Select the Exclude user/group without permission checkbox to not copy users and/or groups that have no permissions to the destination.

Choose to apply this option to requests for this service or allow the business user to choose the

option when submitting a request for this service. Choose from the following:

• Assign by Business User – Allows business user to choose the option when submitting a request for this service.

• Assign by IT Admin – The selected option will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

8. Content – Select the Copy/Move content checkbox to copy content from the source node to the destination node, including files and items. Select the Include list attachment checkbox to also copy attached content in lists from the source node to the destination node.

Choose to apply this option to requests for this service or allow the business user to choose the

option when submitting a request for this service. Choose from the following:

• Assign by Business User – Allows business user to choose the option when submitting a request for this service.

• Assign by IT Admin – The selected option will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

9. Workflow – Select the Include workflow definition checkbox to copy/move the definition of existing workflows for the selected content from the source node to the destination node, and/or select the Include workflow instance to copy/move the state, history and tasks of existing workflows for the selected content from the source node to the destination node.

If you select Include workflow instance, Include completed instances is mandatory and the

source completed instances will be copied/moved to the destination.

You can also select the Include running instances checkbox to copy/move the source running

instances to the destination. With this checkbox selected, choose from the following options:

• Cancel workflows – After the source workflows are copied or moved to the destination, these workflows are cancelled in the destination.

• Restart workflows – After the source workflows are copied or move to the destination, these workflows are restarted in the destination.

Choose to apply this option to requests for this service or allow the business user to choose the

option when submitting a request for this service. Choose from the following:

• Assign by Business User – Allows business user to choose the option when submitting a request for this service.

• Assign by IT Admin – The selected option will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

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10. Managed Metadata Service Setting – Select the Copy Managed Metadata Service checkbox to copy the related Managed Metadata Services from the source node to the destination node, and then select one of the following options:

• Term – Copy terms that are used in the source, their parent terms, the term sets where the used terms reside, and the names of the groups where the used terms reside to the destination.

• Term set – Copy the whole term sets where the used terms reside in the source (regardless of whether or not the terms in the term sets are used by the source node or not) to the destination.

• Managed Metadata Service – Copy the whole Managed Metadata Services that are related to the source node to the destination.

*Note: Copying the Managed Metadata Service will automatically activate the service in

the destination, if the service in the destination is not already activated.

Choose to apply this option to requests for this service or allow the business user to choose the

option when submitting a request for this service. Choose from the following:

• Assign by Business User – Allows business user to choose the option when submitting a request for this service.

• Assign by IT Admin – The selected option will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

11. Click the arrow on the right-hand side to proceed to the next step.

12. Preserve the Null Column Values – Select Yes to preserve the null values of item columns even if the columns on the destination have default values configured, or select No to replace null values with default values in the destination node.

Choose to apply this option to requests for this service or allow the business user to choose the

option when submitting a request for this service. Choose from the following:

• Assign by Business User – Allows business user to choose the option when submitting a request for this service.

• Assign by IT Admin – The selected option will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

13. Data Compression – Select the Compression checkbox if you want to compress the data when it is copied. If you choose to compress the data, use the slider to select the compression rate. Fastest compression rate results in a larger data set. Best compression rate results in a smaller, better quality data set, but the compression takes more time to perform.

Choose to apply this option to requests for this service or allow the business user to choose the

option when submitting a request for this service. Choose from the following:

• Assign by Business User – Allows business user to choose the option when submitting a request for this service.

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• Assign by IT Admin – The selected option will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

14. Data Encryption – Select the Encryption checkbox if you want to encrypt the data. Then select the default security profile or a security profile which is previously configured in DocAve from the drop-down list to protect your backup data using the security keys generated by the specified encryption method.

Choose to apply this option to requests for this service or allow the business user to choose the

option when submitting a request for this service. Choose from the following:

• Assign by Business User – Allows business user to choose the option when submitting a request for this service.

• Assign by IT Admin – The selected option will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

15. Mappings – Select previously configured profiles for column mapping, content type mapping, user mapping, domain mapping, and language mapping. Mapping profiles are created in DocAve and are optional.

• Column mapping – Allows you to map source columns to destination columns. The destination column name will be replaced by the configured source column name, and you can add value mapping. According to column type, the source column and the destination column can be the same or different.

• Content type mapping – Allows you to map source content types to the specified content types in destination, or change the content type name to another one, according to the condition that you set up.

• User mapping – Allows you to replace an existing source node username with an existing destination node username or a default username in the destination, or add a place holder account to keep user metadata even if the user no longer exists.

• Domain mapping – Allows you to map a source domain to a destination domain. The destination domain name will be replaced by the configured source domain name, and the user in the source domain will be mapped to the destination user which has the same login name.

• Language mapping – Allows you to choose if you want to display destination node in a different language than source node after the plan has been executed.

Choose to apply this option to requests for this service or allow the business user to choose the

option when submitting a request for this service. Choose from the following:

• Assign by Business User – Allows business user to choose the option when submitting a request for this service.

• Assign by IT Admin – The selected option will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

16. Back Up Environment Before Running Plan – Allows you to keep a copy of the source or destination node before copying/moving content.

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• Back up the source environment (for Move only) – Create a copy of the source node prior to performing the move.

• Back up the destination environment – Create a copy of the destination node prior to performing the copy (allows you to undo the copy).

*Note: If you choose Back up the source environment and/or Back up the destination

environment, you must select a storage policy from the drop-down list.

Choose to apply this option to requests for this service or allow the business user to choose the

option when submitting a request for this service. Choose from the following:

• Assign by Business User – Allows business user to choose the option when submitting a request for this service.

• Assign by IT Admin – The selected option will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

17. Conflict Resolution – If the item name in the source node is the same as that of an existing item in the destination node, a conflict occurs. This setting allows you to handle conflicts at both the container and content level. Container level conflict resolution contains Skip, Merge, and Replace. Skip will keep the destination container as is and you can choose to set content level conflict resolution by clicking the checkbox next to Check lower objects. Merge will add the source container to the destination, but you must set content level conflict resolution. Replace will substitute the container in the destination with the one in source and you cannot set content level conflict resolution. Content level conflict resolution includes Skip, Overwrite, Overwrite by Last Modified Time, and Append.

Choose to apply this option to requests for this service or allow the business user to choose the

option when submitting a request for this service. Choose from the following:

• Assign by Business User – Allows business user to choose the option when submitting a request for this service.

• Assign by IT Admin – The selected option will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

18. Agent Group – Select a source Agent group and a destination Agent group from the drop-down lists to execute the copy or move job. Agent groups can contain multiple Agents for load balancing and performance improvements.

19. When you have finished configuring settings for this service, choose one of the following options:

• Click the arrow on the left-hand side to go to the previous steps to review and modify your configurations.

• Click Save to save all of the configurations and return to the Service Management interface.

• Click Save and Activate to save all of the configurations and activate this service allowing users to submit service requests for this service.

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• Click Cancel to return to the Service Management interface without saving any configurations.

Change Site Collection Settings Service

Configure Change Site Collection Settings services to define the Change Site Collection Settings service

request template for business users. You can change the title, description, and metadata of site

collections.

In the interface for creating or editing a Change Site Collection Settings service, configure the following

settings.

*Note: For information about common service settings that exist in all types of services, refer to

Common Service Settings.

1. Scope – Specify the Web applications where site collection settings are allowed to change.

• For SharePoint on-premises, click a farm to expand the farm tree. Then, select the desired Web applications by selecting the corresponding checkboxes.

• For SharePoint Online, click My Registered Sites to expand it and select your desired SharePoint Sites groups by selecting the corresponding checkboxes.

Optionally, configure the following:

• Enable security trimming in the tree of the request for this service – Select this option to only allow requesters to view the node that they have permissions to access in the scope tree. Note the following:

o Selecting this option may increase the time it takes to load the tree in the request.

o The security trimming does not support ADFS users. The node that an ADFS user has permissions to access is not displayed in the scope tree when the ADFS user submits a request via this service.

• Use SharePoint context to automatically populate the service request scope – Select this option to retrieve and use SharePoint context in the service request scope. In the Governance Automation Web Part interface, the service request URL is set to be the Web part URL, which will be used as the request scope. The same applies to the Site Information Card app part, so that the Site Information Card URL will be used as the request scope. Alternatively, a link can be created within SharePoint to this service request page and the request scope will be set to the parent URL. Make sure that the request URL is in the following format: https://servername:port/ChangeSCMetadataRequest/New?serviceId={serviceID}&parent={parentsiteURL}.

Choose one of the following options:

o Allow Business User to Edit the URL – The retrieved URL will be automatically filled into the request scope, and the requester can edit it.

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o Show as Read-Only to Business User – The retrieved URL will be displayed as read-only in the request scope, and the requester cannot edit it.

*Note: If you select My Registered Sites, this function will take effect on the

Governance Automation App deployed on SharePoint Online. The URL of the

Governance Automation app part Site Information Card will be used as the request

scope.

2. Changed Site Collection Settings – Choose to allow business users to change the Title, Description, and Metadata of site collections by selecting the corresponding checkboxes.

• If you select the Title checkbox, you can select the Title validation checkbox to enable the site collection title validation. Then, select a text validation rule from the drop-down list. The changed site collection title will be validated by the regular expression set in the text validation rule.

• If you select the Metadata checkbox, click Add Metadata to add metadata to the site collection that can be edited by business users in the pop-up window. Select the Enable adding or deleting metadata checkbox to allow business users to add or delete metadata when submitting a request for this service.

3. When you have finished configuring settings for this service, choose one of the following options:

• Click the arrow on the left-hand side to go to the previous steps to review and modify your configurations.

• Click Save to save all of the configurations and return to the Service Management interface.

• Click Save and Activate to save all of the configurations and activate this service allowing users to submit service requests for this service.

• Click Cancel to return to the Service Management interface without saving any configurations.

Change Site Metadata Service

Configure Change Site Metadata services to define the Change Site Metadata service request template

for business users. You can change the site metadata when you want to update the site information.

In the interface for creating or editing a Change Site Metadata service, configure the following settings.

*Note: For information about common service settings that exist in all types of services, refer to

Common Service Settings.

1. Scope – Specify the scope by manually inputting URLs or selecting from the tree.

• Manually input URL – Click Add Your Own URL and then input the URL in the text box. Repeat to add more URLs.

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• Select scope from tree – Select a farm or My Registered Sites from the drop-down list and expand the tree to select the desired nodes by selecting the corresponding checkboxes.

Optionally, configure the following:

• Enable security trimming in the tree of the request for this service – Select this option to only allow requesters to view the node that they have permissions to access in the scope tree. Note the following:

o Selecting this option may increase the time it takes to load the tree in the request.

o The security trimming does not support ADFS users. The node that an ADFS user has permissions to access is not displayed in the scope tree when the ADFS user submits a request via this service.

• Use SharePoint context to automatically populate the service request scope – Select this option to retrieve and use SharePoint context in the service request scope. In the Governance Automation Web Part interface, the service request URL is set to the Web part URL, which will be used as the request scope. The same applies to the Site Information Card app part, so that the Site Information Card URL will be used as the request scope. Alternatively, a link can be created within SharePoint to this service request page and the request scope will be set to the parent URL. Make sure that the request URL is in the following format: https://servername:port/ChangeSSMetadataRequest/New?serviceId={serviceID}&parent={parentsiteURL}.

Choose one of the following options:

o Allow Business User to Edit the URL – The retrieved URL will be automatically filled into the request scope, and the requester can edit it.

o Show as Read-Only to Business User – The retrieved URL will be displayed as read-only in the request scope, and the requester cannot edit it.

*Note: If you select My Registered Sites, this function will take effect on the

Governance Automation App deployed on SharePoint Online. The URL of the

Governance Automation app part Site Information Card will be used as the request

scope.

2. Click the arrow on the right-hand side to proceed to the next step.

3. Change Metadata – Click Add Metadata to add metadata to the site that can be edited by business users in the pop-up window. You can choose to enable the following options:

• Enable inheriting metadata – Allow business users to choose whether or not the requested site will inherit its parent site’s metadata when submitting requests for this service.

• Enable adding or deleting metadata – Allow business users to add or delete metadata when submitting requests for this service.

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4. When you have finished configuring settings for this service, choose one of the following options:

• Click the arrow on the left-hand side to go to the previous steps to review and modify your configurations.

• Click Save to save all of the configurations and return to the Service Management interface.

• Click Save and Activate to save all of the configurations and activate this service allowing users to submit service requests for this service.

• Click Cancel to return to the Service Management interface without saving any configurations.

Change Library/List Settings Service

Configure Change Library/List Settings services to define the Change Library/List Settings service request

templates for business users. You can choose the library/list settings that are available for business users

to choose from when requesting this service. Library/list settings include name, description, navigation,

and versioning settings.

In the interface for creating or editing a Change Library/List Settings service, configure the following

settings.

*Note: For information about common service settings that exist in all types of services, refer to

Common Service Settings.

1. Scope – Select a farm or My Registered Sites from the drop-down list, and then define the scope by manually entering URLs or selecting nodes from the tree.

• Manually input URL – Click Add Your Own URL and then enter the URL in the text box. Repeat to add more URLs.

• Select scope from tree – Expand the tree to select the desired nodes by selecting the corresponding checkboxes.

Optionally, configure the following:

• Enable security trimming in the tree of the request for this service – Select this option to only allow requesters to view the node that they have permissions to access in the scope tree. Note the following:

o Selecting this option may increase the time it takes to load the tree in the request.

o The security trimming does not support ADFS users. The node that an ADFS user has permissions to access is not displayed in the scope tree when the ADFS user submits a request via this service.

• Use SharePoint context to automatically populate the service request scope – Select this option to retrieve and use SharePoint context in the service request scope. In the Governance Automation Web Part interface, the service request URL is set to the Web

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part URL, which will be used as the request scope. The same applies to the Site Information Card app part, so that the Site Information Card URL will be used as the request scope. Alternatively, a link can be created within SharePoint to this service request page and the request scope will be set to the parent URL. Make sure that the request URL is in the following format: https://servername:port/Request/NewListCreationRequest?serviceId={serviceID}&parent={parentsiteURL}.

Choose one of the following options:

o Allow Business User to Edit the URL – The retrieved URL will be automatically filled into the request scope, and the requester can edit it.

o Show as Read-Only to Business User – The retrieved URL will be displayed as read-only in the request scope, and the requester cannot edit it.

*Note: If you select My Registered Sites, this function will take effect on the

Governance Automation App deployed on SharePoint Online. The URL of the

Governance Automation app part Site Information Card will be used as the request

scope.

2. Change Library/List Settings – Select the library/list settings that you allow business users to change by selecting the corresponding checkboxes, including Name, Description, Navigation, and Versioning settings.

If you select the Name checkbox, you can select the Name validation checkbox to enable the

library or list name validation. Then, select a text validation rule from the drop-down list. The

changed library or list name will be validated by the regular expression set in the text validation

rule.

3. When you have finished configuring settings for this service, choose one of the following options:

• Click the arrow on the left-hand side to go to the previous steps to review and modify your configurations.

• Click Save to save all of the configurations and return to the Service Management interface.

• Click Save and Activate to save all of the configurations and activate this service which allows users to submit requests for this service.

• Click Cancel to return to the Service Management interface without saving any configurations.

Change Office 365 Group Settings Service

Configure Change Office 365 Group Settings services to define the Change Office 365 Group Settings

service request templates for business users. You can choose the Office 365 group settings that are

available for business users to change when requesting this service.

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In the interface for creating or editing a Change Office 365 Group Settings service, configure the

following settings.

*Note: For information about common service settings that exist in all types of services, refer to

Common Service Settings.

1. App Profile – Select an app profile for Office 365 from the drop-down list. The app profile was configured in Settings > App Management. The app profile represents a tenant in Office 365, and it provides the scope for Office 365 groups whose settings can be changed.

2. Change Office 365 Group Name and Description – Choose whether to allow business users to change the Name and Description of Office 365 groups.

3. Change Membership Subscription Settings – Choose whether to allow business users to Change settings for sending copies of Office 365 group conversations and events to Office 365 group members’ inboxes. If you select this checkbox, business users can enable or disable member subscription in the request form.

4. Change Outside Senders Settings – Choose whether to allow business users to Change outside senders. If you select this checkbox, business users can decide whether to allow outside senders.

5. Change Office 365 Group Classification – Choose whether to allow business users to Change Office 365 group classification.

6. Change Office 365 Group Contacts – Choose whether to allow business users to Change primary group contact and/or Change secondary group contact.

7. Change Office 365 Group Owners – Choose whether to allow business users to Add Office 365 group owners and/or Remove Office 365 group owners.

8. Change Office 365 Group Members – Choose whether to allow business users to Add users to Office 365 groups and/or Remove users from Office 365 groups.

9. Change Office 365 Group Metadata – Choose whether to allow business users to change Office 365 group metadata. If you select the Metadata checkbox, click Add Metadata, and then select the metadata whose values can be changed by business users. You can also choose whether to allow business users to add or delete metadata.

10. When you have finished configuring settings for this service, choose one of the following options:

• Click the arrow on the left-hand side to go to the previous steps to review and modify your configurations.

• Click Save to save all of the configurations and return to the Service Management page.

• Click Save and Activate to save all of the configurations and activate this service, which allows business users to submit requests for this service.

• Click Cancel to return to the Service Management page without saving any configurations.

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Grant Permissions Service

Configure Grant Permissions services to define the Grant Permissions service request template for the

business users. You can specify users in a specific site or a library who you wish to grant permissions to.

In the interface for creating or editing a Grant Permissions service, configure the following settings.

*Note: For information about common service settings that exist in all types of services, refer to

Common Service Settings.

1. Scope – Select the Web applications you wish to enable.

• For SharePoint on-premises Web applications, select a farm and expand the farm tree. Then, select the desired Web applications by selecting the corresponding checkboxes.

• For SharePoint Online, click My Registered Sites to expand it and select your desired SharePoint Sites groups by selecting the corresponding checkboxes.

Optionally, select the Use SharePoint context to automatically populate the service request

scope checkbox to retrieve and use SharePoint context in the service request scope. In the

Governance Automation Web Part interface, the service request URL is set to the Web part URL,

which will be used as the request scope. The same applies to the Site Information Card app part,

so that the Site Information Card URL will be used as the request scope. Alternatively, a link can

be created within SharePoint to this service request page and the request scope will be set to

the parent URL. Make sure that the request URL is in the following format:

https://servername:port/GRPermRequest/New?serviceId={serviceID}&parent={parentsiteURL

}.

Choose one of the following options:

• Allow Business User to Edit the URL – The retrieved URL will be automatically filled into the request scope, and the requester can edit it.

• Show as Read-Only to Business User – The retrieved URL will be displayed as read-only in the request scope, and the requester cannot edit it.

• Hide from Business User – The retrieved URL will not be displayed to the requester in the request scope.

*Note: If you select My Registered Sites, this function will take effect on the Governance

Automation App deployed on SharePoint Online. The URL of the Governance Automation app

part Site Information Card will be used as the request scope.

2. Select Users – Select the users to which you want to grant permissions. Choose from the following:

• Allow domain group permissions assignment only – Choose this option to only allow the business user to grant permissions to a domain group.

• Allow permissions assignment to user/group – Choose this option to allow the business user to grant permissions to users or groups.

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o Allow any user/group – Choose this option to allow the business user to grant permissions to any user or AD group of the selected scope.

o Allow peers and direct or indirect reports – Choose this option to allow the business user to grant permissions to users managed by the requester and the users of the same title as the requester.

o Allow direct or indirect reports – Choose this option to allow the business user to grant permissions to users managed by the requester.

o Set requester as the default user – Select this checkbox to add the requester as the default user in a request for this service.

• Allow business users to add members to Active Directory groups – Select this checkbox to allow business users to add members to Active Directory groups via a Grant Permissions request.

3. Permission Duration – Choose the permission duration for the selected users/groups.

• Permanent permissions – The permissions will be granted to the selected users/groups permanently.

• Temporary permissions – The permissions will be granted to the selected users/groups temporarily.

Choose to apply either of the options above to requests for this service or allow the business

user to choose the option when submitting a request for this service. Choose from the

following:

• Assign by IT Admin – The Permission Duration option configured here will be applied to requests for this service.

• Assign by Business User – Allows the business user to configure the Permission Duration option.

If Temporary permissions is selected, you can further configure the Temporary permissions

settings:

• Specify the default duration – Enter a number in the text box and select Day(s), Month(s), or Year(s) from the drop-down list.

• If Temporary permissions is assigned by IT Admin, you can choose one of the following options:

o Allow business users to specify the duration – When submitting requests for this service, business users can enter desired permission duration, regardless of the default duration.

o Business users can only request with default duration – When submitting requests for this service, the default duration is mandatory and business users cannot change the permission duration.

• If Temporary permissions is assigned by business user, you can set the maximum permission duration. Enable The permission cannot be granted longer than, then enter

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a number in the text box and select Day(s), Month(s), or Year(s) from the drop-down list.

• Notify the person who was granted the permissions about permission expiration – Select this checkbox and define the specified time that the person will be notified in advance. Enter a number and select Day(s) or Month(s) from the drop-down list. Then, select an E-mail Template for the notification to be sent.

4. Grant Permissions – Specify the permissions for the selected users/groups.

• Add users to a SharePoint group (This option is only available when you select Permanent permissions in Permission Duration) – Grants the group permissions to a user by adding the user into a SharePoint group.

• Grant users permission directly – Assigns the explicit permission to a user.

Choose to apply this option to requests for this service or allow the business user to choose the

option when submitting a request for this service. Choose from the following:

• Assign by IT Admin – The Grant Permissions option configured here will be applied to requests for this service.

• Assign by Business User – Allows the business user to configure the Grant Permissions option.

Optionally, configure the following:

• Permissions above the requester's own permissions cannot be granted to others – Select this checkbox to not allow the requester to grant to others permissions that are higher than the requester’s own permissions.

*Note: If the requesters grant permissions to themselves, the permissions higher than

the requester’s own permissions can be granted.

• Exclude specified permission levels from the request page – Select this checkbox and select your desired permission levels by selecting the corresponding checkboxes. The selected permission levels will be excluded from the business user’s request page.

*Note: The displayed permission levels are retrieved from Governance Automation

Configuration Database. To select your desired permission levels, add the permission

levels in Settings > SharePoint Permission Level Management first.

5. Send E-Mail – Choose to send an e-mail to the new users for notifying the new permission. Select the Send welcome e-mail to the new users checkbox, and then enter the Subject and the Personal message of the e-mail.

Choose to apply this option to requests for this service or allow the business user to choose the

option when submitting a request for this service. Choose from the following:

• Assign by IT Admin – The Send E-Mail option configured here will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows the business user to configure the Send E-Mail option.

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6. Click the arrow on the right-hand side to proceed to the next step.

7. When you have finished configuring settings for this service, choose one of the following options:

• Click the arrow on the left-hand side to go to the previous steps to review and modify your configurations.

• Click Save to save all of the configurations and return to the Service Management interface.

• Click Save and Activate to save all of the configurations and activate this service allowing users to submit service requests for this service.

• Click Cancel to return to the Service Management interface without saving any configurations.

Change Permissions Service

Configure Change Permissions services to define the Change Permissions service request template for

the business users. You can specify the users in a certain site collection whose permission you wish to

change.

In the interface for creating or editing a Change Permissions service, configure the following settings.

*Note: For information about common service settings that exist in all types of services, refer to

Common Service Settings.

1. Scope – Select the scope you wish to enable:

• For SharePoint on-premises, select a loaded farm and expand the farm tree. Then, select the desired Web applications by selecting the corresponding checkboxes.

• For SharePoint Online, click My Registered Sites to expand it and select your desired SharePoint Sites groups by selecting the corresponding checkboxes.

Optionally, configure the following:

• Enable security trimming in the tree of the request for this service – Select this checkbox to only allow requesters to view the node that they have permissions to access in the scope tree. Note the following:

o Selecting this option may increase the time it takes to load the tree in the request.

o The security trimming does not support ADFS users. The node that an ADFS user has permissions to access is not displayed in the scope tree when the ADFS user submits a request via this service.

• Use SharePoint context to automatically populate the service request scope – Select this checkbox to retrieve and use SharePoint context in the service request scope. In the Governance Automation Web Part interface, the service request URL is set to the Web part URL, which will be used as the request scope. The same applies to the Site Information Card app part, so that the Site Information Card URL will be used as the

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request scope. Alternatively, a link can be created within SharePoint to this service request page and the request scope will be set to the parent URL. Make sure that the request URL is in the following format: https://servername:port/GRPermRequest/New?serviceId={serviceID}&parent={parentsiteURL}.

Choose one of the following options:

o Allow Business User to Edit the URL – The retrieved URL will be automatically filled into the request scope, and the requester can edit it.

o Show as Read-Only to Business User – The retrieved URL will be displayed as read-only in the request scope, and the requester cannot edit it.

o Hide from Business User – The retrieved URL will not be displayed to the requester in the request scope.

*Note: If you select My Registered Sites, this function will take effect on the

Governance Automation App deployed on SharePoint Online. The URL of the

Governance Automation app part Site Information Card will be used as the request

scope.

2. Select Users – Specify the users from which you want to change the permissions. Choose from the following:

• Allow any user/group – Choose this option to allow the business user to change permissions of any user or AD group of the selected scope.

You can also select the Show members of Active Directory groups or of Form-based

Authentication roles that appear in results checkbox. With this option selected, the

members of Active Directory groups or Form-based Authentication roles will be

displayed in the generated permission review task for changing permissions. Note that

this feature is only supported on SharePoint on-premises.

• Allow peers and direct or indirect reports – Choose this option to allow the business user to change permissions of users managed by the requester and the users of the same title as the requester.

• Allow direct or indirect reports – Choose this option to allow the business user to change permissions of users managed by the requester.

*Note: A User Profile Service must be configured in Governance Automation, or an External Role Source Service must be configured by users.

3. Task Notification for Requester – Select an e-mail template for the notification e-mail. The e-mail notifies the requester to review or change permissions in the generated permission review task.

4. Excluded Permissions – Select the Exclude specified permission levels from the task checkbox to exclude permission levels from the permission review task. Select your desired permission levels by selecting the corresponding checkboxes. The selected permission levels will not be available in the permission review task.

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5. When you have finished configuring settings for this service, choose one of the following options:

• Click the arrow on the left-hand side to go to the previous steps to review and modify your configurations.

• Click Save to save all of the configurations and return to the Service Management interface.

• Click Save and Activate to save all of the configurations and activate this service allowing users to submit service requests for this service.

• Click Cancel to return to the Service Management interface without saving any configurations.

Clone or Transfer User Permission Service

Configure Clone or Transfer User Permission services to request having one person’s permissions be the

same as another user. Role changes happen frequently in most organizations. This puts permission

control in the hands of business users based on predefined settings set by IT administrators.

In the interface for creating or editing a Clone or Transfer User Permissions service, configure the

following settings.

*Note: For information about common service settings that exist in all types of services, refer to

Common Service Settings.

1. Scope – Select the nodes from which the requester can request for cloning or transferring user permissions. Select a farm or My Registered Sites and expand the tree to select the desired nodes by selecting the corresponding checkboxes.

Optionally, select the Use SharePoint context to automatically populate the service request

scope checkbox to retrieve and use SharePoint context in the service request scope. In the

Governance Automation Web Part interface, the service request URL is set to the Web part URL,

which will be used as the request scope. The same applies to the Site Information Card app part,

so that the Site Information Card URL will be used as the request scope. Alternatively, a link can

be created within SharePoint to this service request page and the request scope will be set to

the parent URL. Make sure that the request URL is in the following format:

https://servername:port/Request/NewCloneUserPermRequest?serviceId={serviceID}&parent

={parentsiteURL}.

Choose one of the following options:

• Allow Business User to Edit the URL – The retrieved URL will be automatically filled into the request scope, and the requester can edit it.

• Show as Read-Only to Business User – The retrieved URL will be displayed as read-only in the request scope, and the requester cannot edit it.

• Hide from Business User – The retrieved URL will not be displayed to the requester in the request scope.

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*Note: If you select My Registered Sites, this function will take effect on the Governance

Automation App deployed on SharePoint Online. The URL of the Governance Automation app

part Site Information Card will be used as the request scope.

2. Restrict Source User Selection – Define the users which can be selected as the source user to clone permissions from. Choose from the following:

• Allow any user/group – Select this option to allow the business user to select any user or AD group of the selected scope as the source user.

• Allow peers and direct or indirect reports – Select this option to allow the business user to select the users managed by the requester and the users of the same title as the requester to be the source user.

• Allow direct or indirect reports – Select this option to allow the business user to select the users managed by the requester to be the source user.

*Note: A User Profile Service must be configured in Governance Automation, or an

External Role Source Service must be configured by users. Otherwise this setting will not

take effect.

3. Restrict Target User Selection – Define the users which can be selected as the target user to clone permissions to. Choose from the following:

• Allow any user/group – Select this option to allow the business user to select any user or AD group of the selected scope as the source user.

• Allow peers and direct or indirect reports – Select this option to allow the business user to select the users managed by the requester and the users of the same title as the requester to be the source user.

• Allow direct or indirect reports – Select this option to allow the business user to select the users managed by the requester to be the source user.

*Note: A User Profile Service must be configured in Governance Automation, or an

External Role Source Service must be configured by users. Otherwise this setting will not

take effect.

4. Click the arrow on the right-hand side to proceed to the next step.

5. Permission Option – Select a method from the drop-down list to determine how you will assign the source user’s/group’s permission to the target user/group.

• Append – Adds the permission of the source user/group to the destination user/group.

• Replace – Replaces the permission of the target user with the source user’s permission.

Choose to apply this option to requests for this service or allow the business user to choose the

option when submitting a request for this service. Choose from the following:

• Assign by IT Admin – The Permission Option configured here will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

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• Assign by Business User – Allows the business user to configure the Permission Option.

6. User Alert Option – Choose to send the user alerts settings set by the source user to the target users.

Select the Send source user alerts to target user checkbox to enable this option in requests for

this service.

Choose to apply this option to requests for this service or allow the business user to choose the

option when submitting a request for this service. Choose from the following:

• Assign by IT Admin – The User Alert Option configured here will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows the business user to configure the User Alert Option.

7. Change Metadata – Choose to Change source user metadata to target user. If you select this option, then click Add Source User Metadata to add the source user metadata you want to change. Enter the metadata you want to allow to be changed for this service, and then click Insert.

Choose to apply this option to requests for this service or allow the business user to choose the

option when submitting a request for this service. Choose from the following:

• Assign by IT Admin – The Change Metadata configured here will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows the business user to configure the option. You can select the Require Business User Input checkbox to require the business user to configure the Change Metadata option.

8. Additional Option – Choose how to deal with the permissions of the source user that is a member of a SharePoint group. Choose from the following:

• Add target user to the same group in destination – Adds the target user to the SharePoint group to which the source user belongs.

• Clone source user’s permission to the target user directly – Copies the permissions of the group that the source user is a member of to the target user.

Choose to apply this option to requests for this service or allow the business user to choose the

option when submitting a request for this service. Choose from the following:

• Assign by IT Admin – The Additional Option configured here will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows the business user to configure the Additional Option.

9. Options for Transfer – Select the options to manage the source user/group when transferring permissions. The selected options will be the default selections in requests for this service. Choose from the following:

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• Remove source user’s explicit permission – Removes the source user’s or group’s permission after transferring the permission successfully.

• Remove source user from SharePoint groups – Deletes the source user from the SharePoint groups that the user belongs to after transferring the permission successfully.

• Delete source user from site collection – Deletes the source user or group from the site collection after transferring the permission successfully.

Choose to apply this option to requests for this service or allow the business user to choose the

option when submitting a request for this service. Choose from the following:

• Assign by IT Admin – The Options for Transfer configured here will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

• Assign by Business User – Allows the business user to configure the Options for Transfer. You can select the Require Business User Input checkbox to require the business user to configure Options for Transfer.

10. When you have finished configuring settings for this service, choose one of the following options:

• Click the arrow on the left-hand side to go to the previous steps to review and modify your configurations.

• Click Save to save all of the configurations and return to the Service Management interface.

• Click Save and Activate to save all of the configurations and activate this service allowing users to submit service requests for this service.

• Click Cancel to return to the Service Management interface without saving any configurations.

Manage Permissions Service

Configure Manage Permissions services to define the Manage Permissions service request template for

the business users. You can choose to allow business users to manage SharePoint groups and manage

permissions.

In the interface for creating or editing a Manage Permissions service, configure the following settings.

*Note: For information about common service settings that exist in all types of services, refer to

Common Service Settings.

1. Service Scope – Select the scope you wish to enable:

• For SharePoint on-premises, select a loaded farm and expand the farm tree. Then, select the desired Web applications by selecting the corresponding checkboxes.

• For SharePoint Online, click My Registered Sites to expand it and select your desired SharePoint Sites groups by selecting the corresponding checkboxes.

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Optionally, select the Use SharePoint context to automatically populate the service request

scope checkbox to retrieve and use SharePoint context in the service request scope. In the

Governance Automation Web part interface, the service request URL is set to the Web part URL,

which will be used as the request scope. The same applies to the Site Information Card app part,

so that the Site Information Card URL will be used as the request scope. Alternatively, a link can

be created within SharePoint to this service request page and the request scope will be set to

the parent URL. Make sure the request URL is in the following format:

https://servername:port/ManagePermissions/New?serviceId={serviceID}&parent={parentsite

URL}.

*Note: If you select My Registered Sites, the function will take effect on the Governance

Automation App deployed on SharePoint Online. The URL of the Governance Automation app

part Site Information Card will be used as the request scope.

2. User/Group Scope – Choose how you want to allow requesters to manage users’ and/or groups’ permissions on specific SharePoint objects within the selected scope above. Select one of the following options from the drop-down list:

• Users and Groups – Allows requesters to manage permissions of users/groups.

• Only Users – Only allows requesters to manage permissions of users.

• Only Groups – Only allows requesters to manage permissions of groups.

Then, choose one of the following options to define the scope of the users and/or groups whose

permissions can be managed:

• Allow any user/group – Choose this option to allow business users to manage permissions of any user/group.

• Allow peers and direct or indirect reports – Choose this option to allow business users to manage permissions of users managed by the requester and the users of the same title as the requester.

• Allow direct or indirect reports – Choose this option to allow the business user to manage permission of users managed by the requester.

Note the following:

• If you selected Users and Groups or Only Groups above, you can also select the Show members of Active Directory groups or of Form-based Authentication roles that appear in retrieved results checkbox under the Allow any user/group option. Note that this feature is only supported on SharePoint on-premises.

• If User Profile Service is not configured in DocAve Governance Automation, or an External Role Source Service is not configured by users, Governance Automation cannot find the corresponding peers, direct reports, or indirect reports.

3. Permissions to Exclude – Choose whether to Exclude specified permissions levels from the request page. With this option enabled, select your desired permission levels by selecting the

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corresponding checkboxes. The selected permission levels will be excluded from the business user’s request page.

*Note: The displayed permission levels are retrieved from Governance Automation

Configuration Database. To select your desired permission levels, add the permission levels in

Settings > SharePoint Permission Level Management first.

4. SharePoint Group Management Options – Choose how you want to manage SharePoint groups by selecting the Create SharePoint group, Delete SharePoint group, Manage group settings, and/or Manage group members checkboxes. By default, these checkboxes are all selected. If you select the Create SharePoint group and/or Manage group settings checkboxes, complete the following settings:

a. Group owner – Enter one of the following roles to be assigned as the group owner. By

default, the $Requester role is specified as the group owner.

o $Requester

o $Manager of Requester

o $Primary Site Collection Administrator

o $Secondary Site Collection Administrator

o $Primary Site Collection Contact

o $Secondary Site Collection Contact

o $Primary Site Contact

o $Secondary Site Contact

o $Approvers

o $Site Owners

o $Site Members

o $Designers

o $Hierarchy Managers

o $Quick Deploy Users

o $SharePoint Group (“Group Name”)

o $Site Collection Metadata ("Metadata Name")

o $Site Metadata ("Metadata Name")

Note the following:

o The roles of SharePoint groups are not supported in SharePoint Online environment.

o The roles of SharePoint groups can be assigned as the group owner and the SharePoint group itself will become the group owner.

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles

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Choose to assign a group owner to requests for this service or allow business users to

assign the group owner when submitting requests for this service. Choose from the

following:

o Assign by IT Admin – The user role specified in this service will be assigned as the group owner of the SharePoint group. Select either Show as Read-Only to Business User or Hide from Business User. By default, Hide from Business User is chosen.

o Assign by Business User – Allows business user to assign a user or group as the SharePoint group owner when submitting a request for this service.

b. Who can view the membership of the group – Choose Group members or All users to

be allowed to view the membership of the group.

c. Who can edit the membership of the group – Choose Group owner or Group members

to be allowed to edit the membership of the group.

Choose to apply your options for Who can view the membership of the group and Who

can edit the membership of the group to requests for this service, or allow business

users to configure these settings when submitting requests for this service. Choose from

the following:

o Assign by IT Admin – The options you selected here will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User.

o Assign by Business User – Allows business users to select the options when submitting requests for this service.

d. Allow users to request for joining or leaving this group – Choose whether or not to

allow users to request for joining or leaving the group within SharePoint. Choose Yes or

No. By default, No is chosen to not allow users to request for joining or leaving this

group.

e. Automatically accept requests – If you chose Yes above to allow users to request for

joining or leaving this group, you must choose whether or not to allow those requests to

be accepted automatically by choosing Yes or No. By default, No is chosen to not allow

requests to be accepted automatically.

f. Send membership requests to the following e-mail address – If you chose No above to

not allow requests to be accepted automatically, enter an e-mail address used to

receive membership requests in the text box.

Choose whether to apply your options for Allow users to request for joining or leaving

this group, Automatically accept requests, and Send membership requests to the

following e-mail address to requests for this service. Choose from the following:

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o Assign by IT Admin – The options you selected here will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User. By default, Hide from Business User is chosen.

o Assign by Business User – Allows business user to select the options when submitting requests for this service.

5. Permission Management Options – Choose how you want to manage permissions by selecting the following options. By default, these checkboxes are all selected.

• Grant permissions – Select this option to allow business users to grant permanent permissions or temporary permissions to Active Directory users/groups, Office 365 users/groups, or SharePoint groups in the request form.

• Edit permissions – Select this option to allow business users to edit permissions of Active Directory users/groups, Office 365 users/groups, or SharePoint groups in the request form.

• Remove permissions – Select this option to allow business users to remove permissions from Active Directory users/groups, Office 365 users/groups, or SharePoint groups in the request form.

• Stop inheriting permissions – Select this option to allow business users to break permission inheritance for the defined scope.

• Delete unique permissions – Select this option to allow business users to delete the unique permissions from the defined scope and inherit permissions from its parent.

If you select the Grant permissions checkbox, you must choose one of the following options:

• Permanent permissions – The permissions will be granted to the selected users/groups permanently.

• Temporary permissions – The permissions will be granted to the selected users/groups temporarily.

Choose to apply either of the options above to requests for this service or allow the business

user to choose the option when submitting a request for this service. Choose from the

following:

• Assign by IT Admin – The Permanent permissions or Temporary permissions option configured here will be applied to the requests for this service.

• Assign by Business User – Allows the business user to configure the Permanent permissions or Temporary permissions.

If you chose the Temporary permissions option, you can further configure the Temporary

permissions settings:

• Specify the default duration – Enter a number in the text box and select Day(s), Month(s), or Year(s) from the drop-down list.

• If Temporary permissions is assigned by IT Admin, you can choose one of the following options:

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o Allow business users to specify the duration – When submitting requests for this service, business users can enter desired permission duration, regardless of the default duration.

o Business users can only request with the default duration – When submitting requests for this service, the default duration is mandatory and business users cannot change the permission duration.

• If Temporary permissions is assigned by business users, you can set the maximum permission duration. Enable The permission cannot be granted longer than, then enter a number in the text box and select Day(s), Week(s), Month(s), or Year(s) from the drop-down list.

• Notify the person who was granted the permissions about permission expiration – Select this checkbox and define the time that the person will be notified in advance. Enter a number and select Day(s) or Month(s) from the drop-down list. Then, select an E-mail Template for the notification to be sent.

Whether you chose Permanent permissions or Temporary permissions, you can enable Send

welcome e-mail to the new users. Then, enter an optional Subject and Personal message in the

corresponding text boxes.

Choose to apply the Send welcome e-mail to the new users settings to requests for this service

or allow business users to configure the settings when submitting requests for this service.

Choose from the following:

• Assign by IT Admin – The Send welcome e-mail to the new users settings configured in this service will be applied to requests for this service. Select either Show as Read-Only to Business User or Hide from Business User. By default, Hide from Business User is chosen.

• Assign by Business User – Allows business user to configure the settings when submitting requests for this service.

6. When you have finished configuring settings for this service, choose one of the following options:

• Click the arrow on the left-hand side to go to the previous steps to review and modify your configurations.

• Click Save to save all of the configurations and return to the Service Management interface.

• Click Save and Activate to save all of the configurations and activate this service, which allows users to submit requests for this service.

• Click Cancel to return to the Service Management interface without saving any configurations.

Custom Service

Use the Custom Service to capture required service information as metadata and to execute the desired

actions through an executable file, PowerShell script file, or assembly file.

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In the interface for creating or editing a Custom service, configure the following settings:

1. Service Name and Description – Enter a Name for the service and an optional Description for future reference.

2. Language – Choose one or more languages for this service. When starting a request, a requester can filter the services according to their languages.

3. Service Category – Categories are used to organize your Governance Automation services. Select an existing category from the drop-down list or create a new category for this service by clicking Create New then configuring the new category in the Create Category interface.

4. Service Contact – Specify a user to be the Service Contact. This should be a business user who is the owner of the business process for this service. Enter the username in the Service Contact text box. Press Enter to check that the name is valid.

5. Administrator Contact – Specify a user or group to be the Administrator Contact. This user or group should be an administrator of Governance Automation and is responsible for service management. Governance Automation will assign a task to the Administrator Contact when an error occurs after the approval process starts. Enter the name of a user or group in the Administrator Contact text box. Press Enter to check that the name is valid. To also have an e-mail notification be sent to the Administrator Contact when this service encounters an error, configure the Administrator Notification section of Settings. For more information on how to configure the Administrator Notification, see Configuring Administrator Notifications.

6. Click the arrow on the right-hand side to proceed to the next step.

7. Metadata – Select the metadata to be made available to users when submitting a request for this service. Click Add Metadata to go to the Add Metadata window. In the Add Metadata window:

• Create – Click Create to create new metadata in the Create Metadata window. For more information about how to configure metadata, refer to Configuring Metadata.

• Edit – Select metadata and click Edit. For more information about how to configure metadata, refer to Configuring Metadata.

• Add to List – Select desired metadata and click Add to List. The metadata displayed here is configured in Settings > Metadata.

8. Approval Process – Select an approval process from the drop-down list, or create a new one by clicking Create New to redirect to the Approval Process Settings interface without saving any configurations on the current page. After selecting the approval process, you can click the

information ( ) icon to view the approval stage, approver, and approval order in a pop-up window.

• If the configurations of the selected approval process do not meet your requirements, you can create a new approval process on the basis of the selected approval process. Click Create from This Existing Approval Process and the Approval Process Settings window appears. Configure the settings, and then save and activate the approval process. For more information on configuring the approval process, refer to Creating or Editing Approval Processes.

• Optionally, select the Allow all approvers to edit this service request checkbox to allow all of the approvers to edit the service request for this service when viewing the service

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request. You can Notify the requester when the service request is edited by selecting the checkbox and then selecting an E-mail template.

*Note: If you select an approval process with Auto-approve or Integrate with K2

Workflow enabled, the Allow all approvers to edit this service request option is

invisible.

9. Custom Action – Choose the desired custom action Before approval and/or After approval by using an executable file, PowerShell script file, or assembly. Select the corresponding checkboxes and enter the required information.

• Executable file (.exe) – Enter the executable file name in the text box.

• PowerShell script file (.ps1) – Enter the PowerShell script file name in the text box.

• Assembly (.dll) – Enter Assembly name, Namespace.class, and Method in the corresponding text boxes.

10. Execution Schedule – Select Enable service request execution schedule to define when Governance Automation executes the service request. Then, choose a previously configured execution schedule from the drop-down list or click Create New to create a new one.

11. Schedule Date – Select Enable requesters to schedule the request execution date to allow business users to configure a schedule date to execute the service request for this service.

• Allow business users to override IT Admin’s execution schedule (This section only appears when Enable service request execution schedule is selected) – If Enable service request execution schedule is selected in the Execution Schedule section, you can choose to allow business users to override the execution schedule selected by IT Admin and define their own scheduled request execution time.

• Notify the approvers about upcoming scheduled request in advance by – Choose to send an e-mail to notify the approvers in advance when it reaches a specified time. If Notify the approvers about upcoming scheduled request in advance by is selected, enter a number in the text box and select Day(s) or Week(s) from the drop-down list. Then, select an E-mail Template for the notification sent to the approvers.

12. When you have finished configuring settings for this service, choose one of the following options:

• Click the arrow on the left-hand side to go to the previous steps to review and modify your configurations.

• Click Save to save all of the configurations and return to the Service Management interface.

• Click Save and Activate to save all of the configurations and activate this service allowing users to submit service requests for this service.

• Click Cancel to return to the Service Management interface without saving any configurations.

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Configuring Dynamic Mode Services

A dynamic service is a set of configured settings containing specific conditions that will be executed in

service requests, in order to achieve various purposes upon the service requests. For example, a Create

Site Collection service of the dynamic mode allows you to configure basic service settings, metadata,

and in-request custom actions as conditions will be executed in service requests. By using conditions in

Dynamic Mode Services, different site collections can be created based on different information

provided by business users in the service request form, which means that multiple services do not need

to be created for minor differences in the service configurations.

There are four types of dynamic mode services:

• Create Site Collection service

• Custom Service

• Create Site service

• Create Library/List service

To create or manage dynamic mode services, click Service in the Administrator landing page, or click

Service Management in the side bar.

In Service Management, click the Dynamic Mode tab and all of the Governance Automation dynamic

mode services you have configured are displayed. You may change the number of the services displayed

per page, as well the order they are displayed in. To change the number of services displayed per page,

select the desired number from the Show rows drop-down list in the upper-right corner. To sort the

services, click the sort ( ) button in a column heading such as Service, Category, Last Modified Time,

and Created By then select Ascending or Descending.

You can customize how the services are displayed in the following ways:

• Search – Allows you to filter services displayed by the keyword you designate. The Service column and the Created By column support to search for the desired services, and only the content in the column displayed in the current view can be searched.

• Manage columns ( ) – You can manage which columns are displayed in the list so that

only information you want to see is displayed. Click the manage columns ( ) button, and then select the checkbox next to the column name to have that column shown in the list.

• Filter items ( ) – This allows you to filter which item in the list is displayed. Click the

filter items ( ) button of the column you want to filter, then select the checkbox next to the item name to have that item shown in the list.

You can perform the following actions for dynamic mode services in Service Management:

• Create – Click Create on the ribbon to display the Create New interface. Select a service type to create the new service using corresponding template.

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• Edit – Select an inactive or a draft service, and click Edit on the ribbon to edit this service.

• Delete – Select an inactive or a draft service, and click Delete on the ribbon to delete this service. A confirmation window will appear for this deletion. Click OK to delete the selected service, or click Cancel to return to the Service Management interface without deleting the selected service.

• Activate – Select inactive services that you want to activate and click Activate on the ribbon. Active services are available to be requested.

• Deactivate – Select active services that you want to deactivate and click Deactivate on the ribbon. Inactive services will not be seen by business users and cannot be requested.

*Note: If a farm has been set in a service scope and the farm is deleted from your environment, the

service with this farm in the scope will be unavailable. You must edit the service and select a new farm.

Refer to the following instructions to create or edit a dynamic mode service.

1. Configure the common service settings. For information about common service settings that exist in all types of services, refer to Common Service Settings.

2. Click the arrow on the right-hand side to proceed to the next page.

Service settings of this page are divided into the following sections that can be used as

conditions in the service request form:

• Basic Service Settings – This section marked in blue includes the basic services settings, for example, site collection title validation, scope, and policy, etc.

• Metadata – This section marked in yellow indicates the metadata created in your Governance Automation environment. Metadata can be used as conditions of other sections.

• In-Request Custom Action – This section marked in grey indicates the in-request custom actions you are about to add to this service. The in-request custom actions will be executed in the service request form. The executed result can be used as conditions of other sections

The diagram below is an example and it shows how the dynamic mode service works.

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Audience Type

Internal Portal

External Portal

Yes

NoDisplay a

custom error message.

Continue

Metadata

Internal Users

External Users

Basic Service Settings: Scope - Web Application

Validate if the Primary Site Collection Contact

is in the Contoso All AD group.

In-Request Custom Action

Continue

Figure 19: An example for dynamic mode Create Site Collection service.

Note the following:

• The sections can be dragged up and down. The orders of the sections displayed in this service will become the order of the fields displayed in the service request form.

• A basic service setting, added metadata, or an in-request custom action cannot be dragged above the one that is being used as the condition for the basic service setting, added metadata, or the in-request custom actin you are about to drag.

• For detailed information about which section can be used as conditions, and which sections can be applied with conditions, refer to Appendix I: Dynamic Mode Service Sections.

3. Refer to the following instructions to add metadata or in-request custom actions that can be used as conditions:

• Click Add Metadata on the left pane and select your desired metadata. Then, click Add to List to add the selected metadata to the left pane. You can also click Create to create new metadata.

• Click Add In-Request Custom Action on the left pane and enter a name for the in-request custom action in the text box. Then, click Save to add the in-request custom action to the left pane, or click Cancel to return to not save any changes.

4. If a section does not need any conditions, refer to the following instructions to configure the default settings:

• Click a basic service setting or an added metadata on the left pane and configure the default settings. Then, click Save to save the default settings, or click Cancel to leave the configuration page. For more information about basic service settings, refer to the instructions about the corresponding classic mode services in the Configuring Classic Mode Services section.

• Click an added in-request custom action on the left pane and choose one of the following options on the Default Settings page:

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o Execute a custom action – Choose this option to execute a custom action in the service request form.

▪ Data provider – Values of the sections that used as sources will be leveraged as parameters by this in-request custom action, in order to execute the .exe, .ps1, or the .dll file. You must select a source type and select a source name respectively from the drop-down lists. Then, click Add to List to add the data provider to the table. Repeat these steps to add more data providers. You can also click Clear Settings to clear all of the conditions configured above or click Clear Table to delete all of the add data providers from the table.

▪ Execute a custom action on SharePoint – Choose whether to Execute a custom action on SharePoint or in the service request form.

If you select the Execute a custom action on SharePoint checkbox, the

custom action will be executed on SharePoint on-premises or

SharePoint Online. Note that if you choose the SharePoint on-premises

option, you must place the custom action files to the location specified

below on all of the servers where DocAve Agents are installed. When

the service request gets to this step, certain information will be

validated in SharePoint before the service request continues to the next

step.

If you deselect the Execute the custom action on SharePoint checkbox,

the custom action will be executed on Governance Automation server.

When the service request gets to this step, some information provided

by the requester will be validated before the service request continues

to the next step.

▪ Custom action – Allows you to define a desired custom action that will be executed on SharePoint or in the service request form. If you choose the Executable file (.exe) or the PowerShell script file (.ps1) option, enter an executable file name or a PowerShell script name in the corresponding text boxes. If you choose the Assembly (.dll) option, enter Assembly name, Namespace.class, and Method in the corresponding text boxes.

*Note: If you chose to execute the custom action on SharePoint on-

premises, make sure that the executable file and the PowerShell script

file exist in the …\Agent\bin\GovernanceAutomation directory on the

DocAve Agent servers and the assembly file exists in

the …\AvePoint\GovernanceAutomation\bin directory on the

Governance Automation server. If you chose to execute the custom

action on SharePoint Online or in the service request form, make sure

that the executable file and the PowerShell file exist in the

…\GovernanceAutomation\CustomActionFiles directory on the

Governance Automation server, and the assembly file exists in

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Governance Automation Directory

…\AvePoint\GovernanceAutomation\bin.

o Keep the service request from proceeding and display the following error message – Choose this option to prevent the service request from proceeding. Enter your desired error message in the text box below that will be displayed in the service request form when the request stops proceeding.

Click Save to save the configurations or click Cancel to leave the configuration page

without saving any changes.

5. If a section needs conditions, complete the following steps to apply conditions and set a default action in case none of the pre-defined conditions are met:

a. Click the option ( ) button of a basic service setting, added metadata, or an added in-

request custom action, then, select Apply Condition from the drop-down menu to

configure conditions that will be executed in the service request form. Complete the

following settings to configure conditions:

i. Condition name – Enter a condition name in the text box. Note that the names

of the conditions that have been applied will be loaded when you enter a key

word of the condition name. You can select a condition name to have the

condition settings automatically filled.

ii. Source type – Select a source type from the drop-down list.

iii. Source name – Select a source name from the drop-down list.

iv. Condition – Select a condition from the drop-down list.

v. Value – Select a value from the drop-down list or enter a value in the text box.

vi. Click Add to List to add the condition to the table below. You can repeat the

steps above to add multiple conditions.

If you add multiple criteria, select And or Or from the Logic option drop-down

list. If you select And, the basic service settings, metadata settings, or action you

are about to configure below will be applied to the service request when all of

the conditions are met. If you select Or, the basic service settings, metadata

settings, or action below will be applied to the service request when any of the

conditions is met.

You can also click Clear Settings to clear all of the conditions configured above

or click Clear Table to clear all of the added conditions from the table.

vii. Configure the basic service settings, metadata settings, or action that will be

applied to requests, when the conditions configured above are met.

viii. Click Save to save the configurations, or click Cancel to leave the configuration

page without saving any changes.

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b. After configuring the conditions for a section, you must configure the default action for

this section in case none of the pre-defined conditions are met.

Click the option ( ) button of a basic service setting, added metadata, or an added in-request custom action, then, select Default Action from the drop-down menu and choose one of the following options from the Default Action Settings page:

o Apply the following settings when none of the pre-defined conditions are met – When you select a basic service setting or an added metadata, choose this option to apply the default settings when none of the pre-defined conditions are met in the service request. If necessary, you can modify the settings.

o Keep the service request from proceeding and display the following error message – When you select a basic service setting, an added metadata, or an added in-request custom action, choose this option to prevent the service request from proceeding.

o Execute a custom action when none of the pre-defined conditions are met – When you select an added in-request custom action, choose this option to execute a custom action when none of the pre-defined conditions are met.

Click Save to save the configurations or click Cancel to leave the configuration page

without saving any changes.

6. When you have finished configuring settings for this service, choose one of the following options:

• Click Save as Draft to save all of the configurations as a draft and return to the Service Management interface.

• Click Save and Activate to save all of the configurations and activate this service allowing users to submit service requests for this service.

• Click Cancel to return to the Service Management interface without saving any configurations.

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Additional Governance Automation Configurations

The following sections detail additional configurations you can make to Governance Automation.

Importing Existing Objects

This feature allows you to use Governance Automation to manage existing objects that were not created

by Governance Automation, including SharePoint site collections/sites and Office 365 groups.

First, you will configure an export plan to scan for objects that were not created through Governance

Automation. A scan result file that contains the list of objects is sent to the selected export location.

Next, you will go to the export location to modify the scan result file and then import the modified scan

result file into Governance Automation.

To access Import Existing Objects, click Import Existing Objects in the SharePoint group within the

Settings interface.

Creating an Export Plan

To create a new export plan, click Create on the ribbon in the Export Mode tab.

In the Create Export Plan interface, configure the following settings:

1. Plan Name and Description – Enter the name of the plan that you are about to create. Enter an optional description for future reference.

2. Object Type – Select the type of objects that you want to export, Site Collection, Site, or Office 365 Group.

3. Source Environment – If you select Site Collection or Site as the object type, select the farm or My Registered Sites containing the site collections or sites you want to export. The farms displayed here are based on the logged in user’s permission set in the Account Manager of Governance Automation.

4. Scope – Select a scope that you wish to export objects from.

• If Site Collection is selected in the Object Type section, only SharePoint on-premises Web application or SharePoint online admin center can be selected from the tree.

• If Site is selected in the Object Type section and a SharePoint on-premises farm is selected in the Source Environment section, you can select Web applications/site collections/sites from the farm tree.

*Note: If you select Web applications or site collections, the Web applications or site

collections will not be included in the scan result file. Only the sites within the selected

Web applications or site collections will be included in the scan result file.

• If Site is selected in the Object Type section and My Registered Sites is selected in the Source Environment section, you can select SharePoint sites groups/site collections/sites from the tree.

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*Note: If you select SharePoint sites groups or site collections, the SharePoint sites

groups or site collections will not be included in the scan result file. Only the sites within

the selected SharePoint sites groups or site collections will be included in the scan result

file.

• If Office 365 Group is selected in the Object Type section, select an app profile from the drop-down list. The app profile was configured in Settings > App Management. The app profile represents a tenant in Office 365, and Office 365 groups within this tenant will be exported to the scan result file.

5. E-mail Notification – Choose the e-mail recipient who will receive the e-mail notification when there is new scan result. Enter the username in the E-mail recipient text box and press Enter to check that the name is valid. Then, select an E-mail template.

6. Schedule – Choose whether to execute the export plan on a schedule.

• No schedule – The export plan will be executed when you click Save and Export.

• Configure the schedule – Configure the schedule to execute the export plan.

o Start time – Select the time to start executing the schedule.

o Interval – Define the interval to execute the schedule by entering the value of the interval in the text box then selecting Minute(s), Hour(s), Day(s), Week(s), or Month(s).

7. Export Location – Select a previously configured export location from the drop-down list to store the scan result, or click Add New Location to create a new export location in the New Export Location interface. If No schedule is selected in the Schedule section, you can also choose Export to a local path.

8. File Type of the Exported Report – Select XLS or XLSX as the file type of the exported scan result file.

9. When you have finished configuring settings for this export plan, choose one of the following options:

• Click Save to save all of the configurations and return to the Export Mode interface.

• Click Save and Export to save all of the configurations and export the scan result.

• Click Cancel to return to the Export Mode interface without saving any configurations.

Modifying the Scan Result File

There are three types of scan result files: the scan site collection result file, the scan site result file, and

the scan Office 365 group result file.

*Note: Result files are case-sensitive.

Modifying the Scan Site Collection Result File

To modify a scan site collection result file, follow the instructions below:

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1. Navigate to the location on your local drive where the exported scan result file is saved or the export location where the scan result file is exported.

2. Open the scan result file to view and configure the following columns:

*Note: All information must be entered exactly, including spaces and capitalization.

• URL – Displays the full URL of the scanned site collection. You can also manually enter the full URLs of other existing site collections.

• Policy Name – Enter the name of the site collection policy that will be applied to the imported site collections.

*Note: If you selected a SharePoint 2007 farm in the export plan, the exported scan

result file does not have this field.

*Note: If the site collection policy has the site policy bar enabled, make sure the

Governance Automation Policy Bar solution has been deployed. For more information

about how to deploy the solution, refer to Deploying the Governance Automation Policy

Bar Solution.

• Primary Site Collection Contact (optional) – Enter a username to assign a user to be the primary site collection contact.

• Secondary Site Collection Contact (optional) – Enter a username to assign a user to be the secondary site collection contact.

• Apply the Site Information Card App Part (Yes/No) – Enter Yes if you want to add the Site Information Card app part into the homepage of each imported site collection. Otherwise, enter No.

• Apply the Site Directory App Part (Yes/No) – Enter Yes if you want to add the Site Directory app part into the homepage of each imported site collection. Otherwise, enter No.

*Note: If you enter Yes for the two fields above, make sure the Governance Automation

App has been properly deployed to your farm or SharePoint Online environment. For

more information about the environment configuration and deployment, refer to

Installing the Governance Automation App for SharePoint 2013/SharePoint 2016 On-

Premises or Installing the Governance Automation App for SharePoint Online.

• Custom Metadata – Enter the value for the custom metadata. Any site collection metadata created in Governance Automation Settings > Metadata can be entered here. For more information about how to configure metadata, refer to Creating or Editing Metadata.

3. Save the file when finished. Then, proceed to Importing the Configured Scan Result File to import the scan site collection result file into Governance Automation.

Modifying the Scan Site Result File

To modify a scan site result file, follow the instructions below:

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1. Navigate to the location on your local drive where the exported scan result file is saved or the export location where the scan result file is exported.

2. Open the scan result file to view and configure the following columns:

*Note: All information must be entered precisely, including spaces and capitalization.

• URL – Displays the full URL of the scanned site. You can also manually enter the full URLs of other existing sites.

• Site Collection ID – Displays the ID of the site collection that the site belongs to. If you manually enter URLs in the URL column, you must enter the IDs of the site collections where the sites reside.

• Site ID – Displays the ID of the site. If you manually enter URLs in the URL column, you must enter the IDs of the sites.

• Apply the Site Information Card App Part (Yes/No) – Enter Yes if you want to add the Site Information Card app part into the homepage of each imported site. Otherwise, enter No.

• Apply the Site Directory App Part (Yes/No) – Enter Yes if you want to add the Site Directory app part into the homepage of each imported site. Otherwise, enter No.

*Note: If you enter Yes for the two fields above, make sure the Governance Automation

App has been properly deployed to your farm or SharePoint Online environment. For

more information about the environment configuration and deployment, refer to

Installing the Governance Automation App for SharePoint 2013/SharePoint 2016 On-

Premises or Installing the Governance Automation App for SharePoint Online.

3. Save the file when finished. Then, proceed to Importing the Configured Scan Result File to import the scan site result file into Governance Automation.

Modifying the Scan Office 365 Group Result File

To modify a scan Office 365 group result file, follow the instructions below:

1. Navigate to the location on your local drive where the exported scan result file is saved or the export location where the scan result file is exported.

2. Open the scan result file to view and configure the following columns:

*Note: All information must be entered precisely, including spaces and capitalization.

• Office 365 Group Name – Displays the name of the scanned Office 365 group. You can also manually enter the names of other existing Office 365 groups.

• Office 365 Group ID – Displays the ID of the Office 365 group.

• Office 365 Group Policy – Enter the name of the Office 365 group policy that will be applied to the Office 365 group.

• Primary Group Contact – Enter the login ID of an Office 365 user to assign this user as the primary group contact.

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• Secondary Group Contact – Enter the login ID of an Office 365 user to assign this user as the secondary group contact.

• Custom Metadata – Enter the value for the custom metadata. Any site collection metadata created in Governance Automation Settings > Metadata can be entered here. For more information about how to configure metadata, refer to Creating or Editing Metadata.

3. Save the file when finished. Then, proceed to Importing the Configured Scan Result File to import the scan Office 365 group result file into Governance Automation.

Importing the Configured Scan Result File

Next, you will import the configured scan result file and apply it to Governance Automation.

On the Import Existing Objects page, follow the instructions below:

1. Click Import Mode on the ribbon to access the import mode.

2. Object Type – Select the type of objects that you want to import, Site Collection, Site, or Office 365 Group.

3. Destination Environment – Select a destination environment that the exported objects will be imported to.

• If you select Site Collection or Site in the Object Type section, select a SharePoint on-premises farm or My Registered Sites from the drop-down list.

• If you select Office 365 Group in the Object Type section, select an app profile from the drop-down list. The app profile represents a tenant in Office 365.

4. Site Collection Administrator (This section only appears when you select Site Collection in Object Type and select My Registered Sites in Destination Environment) – Specify the site collection administrator who is the administrator for all of the site collections that you wish to import. Enter the Username and Password in the corresponding text boxes.

*Note: The entered username must be the login name.

5. Import Location – Click Browse to locate the configured scan result file.

6. E-mail Notification – Enter the username of the recipient in the E-mail recipient text box. The recipient will receive an e-mail notification about the import result. Then, select an e-mail template from the E-mail template drop-down list.

7. Export Location – Select a configured export location from the drop-down list to store the report of the import result. You can also click Add New Location to add a new export location. For detailed information about configuring the export location, refer to Creating or Editing Export Locations.

8. Click Apply on the ribbon. After the import completes, an import result file is generated and will be saved in the export location configured above.

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Configuring Metadata

In Governance Automation, you can create metadata that will be available in services for users to select

when submitting a request to create a new site collection or site. The metadata created by Governance

Automation is stored in the property bag of the site collection/site and can be used to maintain

information such as purpose of creation, geography, for compliance and records standards purposes,

etc.

*Note: Publish to Directory is a pre-defined metadata which will be automatically added into the Create

Site Collection service. You can choose whether or not to add this metadata to the site collection

created by Governance Automation when submitting a service request. All of the site collections with

Publish to Directory metadata can be displayed in the Public Site Collection Directory. For information

on Public Site Collection Directory, see Public Site Collection Directory.

To access Metadata Management, click Metadata Management in the Request Management group

within the Settings interface.

Searching and Filtering Metadata

To change the number of rows displayed, use the Show rows drop-down list in the upper right-hand

corner. To sort the metadata, click the sort ( ) button in a column heading such as Metadata Name,

Default Value, Display Metadata on Reports, Last Modified Time, and Created By, then select

Ascending or Descending.

You can customize how the metadata are displayed in the following ways:

• Search – Allows you to filter metadata displayed by the keyword you designate. The Metadata Name column and the Created By column support to search for the desired metadata, and only the content in the column displayed in the current view can be searched.

• Manage columns ( ) – You can manage which columns are displayed in the list so that

only information you want to see is displayed. Click the manage columns ( ) button, and then select the checkbox next to the column name to have that column shown in the list.

• Filter items ( ) – This allows you to filter which item in the list is displayed. Click the

filter items ( ) button of the column you want to filter, and then select the checkbox next to the item name to have that item shown in the list.

To view details of a metadata, click the metadata name.

Creating or Editing Metadata

To create a new metadata, click Create on the ribbon. You can choose to create metadata for Create Site

Collection service requests or Create Site service requests by clicking corresponding hyperlinks under

the Metadata Type heading.

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To modify previously configured metadata, select the metadata, and click Edit on the ribbon.

Configure the following settings when creating or editing metadata:

1. Name and Type – Enter a name for the new metadata into the Metadata Name text box. All metadata created by Governance Automation will have the prefix GA_. Then select the type of information you wish to store in this metadata by choosing the corresponding option.

• Single line of text

• Multiple lines of text

• Yes/No (check box)

• Choice (menu to choose from)

• Person or Group

When Person or Group is chosen, you can Allow a variable role reference to this

metadata in the approval process. With the checkbox selected, when configuring an

approval process, you can enter a role in the format of $Service Metadata ("Metadata

Name") as the approver.

• Managed Metadata

• Date and Time

• Lookup

When Lookup is chosen, you can Allow a variable role reference to this metadata in

the approval process. With the checkbox selected, when configuring an approval

process, you can enter a role in the format of $Service Metadata ("Metadata Name") as

the approver. Make sure that the Lookup value is an available user or group. Otherwise,

an error task will be generated during approval of the request

*Note: When you edit the metadata, the metadata type is not allowed to be changed.

2. Additional Column Settings – Configure additional settings for the new metadata. Enter an optional description into the Description text box. For each type of metadata, select who assigns the metadata value. Choose from the following:

• Assign by Business User – Allows the business user to assign this metadata value when submitting requests via services. You can select the Require Business User Input checkbox to require the business user to assign the metadata value.

• Assign by IT Admin – The Default Value you set will be assigned to requests via services. Select either Show as Read-Only to Business User or Hide from Business User.

Then configure the following settings depending on your selection in The type of information in

this metadata:

• Single line of text – Enter the desired text into the Default Value text box.

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You can also validate the Single line of text value using a defined regular expression.

Select the Apply validation on the request page checkbox and then select a previously

configured text validation rule from the drop-down list. For more information about

how to create a text validation rule, refer to Creating or Editing Text Validation Rules.

• Multiple lines of text – Enter the desired text into the Default Value. You may enter multiple lines of text by hitting the Enter key on your keyboard.

You can also validate the Multiple lines of text value by a defined regular expression.

Select the Apply validation on the request page checkbox and then select a previously

configured text validation rule from the drop-down list. For more information about

how to create a text validation rule, refer to Creating or Editing Text Validation Rules.

• Yes/No (checkbox) – Choose to Enable Terms and Conditions Agreement by selecting the checkbox. If the option is enabled, enter the desired terms and conditions in the text box. Select Yes or No as the Default Value from the drop-down list.

• Choice (menu to choose from) – Enter the choices you wish to provide in the Type each choice on a separate line text box. Choose the type of selections to provide from the following: Drop-down Menu, Radio Buttons or Checkboxes (allow multiple selections).

• Person or Group – Enter the usernames or group names in the Default Value field. For multiple entries, separate each entry with a semicolon.

• Managed Metadata – Configure the following settings for Managed Metadata.

o Multiple Value Field – Select the Allow multiple values checkbox if you wish to create multiple terms for the site collection created by Governance Automation.

o Term Set Settings – Select a farm from the Select farm and term set drop-down list to load the term sets where you can retrieve the terms. Expand the Managed Metadata Service tree to select the term set where to choose the term by clicking the term set name. The selected term set is highlighted in orange.

o Default Value − Enter your desired terms as the default values in the text box or select a default value by selecting the select ( ) button to access the Select Metadata interface. Expand the term set tree to select the desired term and click the Add button in the lower left-corner of the Select Metadata interface.

• Date and Time – Choose Date and Time Format and Default Value.

o Date and Time Format – Choose one of the following format:

▪ Date Only – Only the date will be displayed in the metadata value.

▪ Date & Time – The date and time will be displayed in the metadata value.

o Default Value – Choose one of the following options:

▪ (None) – Do not define a default value for the metadata.

▪ Today’s Date (for Date Only) or Today’s Date & Time (for Date & Time) – “Today” refers to the request submission day. If Today's Date is

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selected, the request submission date will be the default value. If Today's Date & Time is selected, the request submission date & time will be the default value.

▪ Click the calendar ( ) button to select your desired date or date & time as the default metadata value.

*Note: The metadata value displayed in Governance Automation interface follows the

time zone and date/time format selected in Configure Personal Settings. The metadata

value stored in SharePoint site collection property bag is based on Universal Time

Coordinated (UTC).

• Lookup – Choose the data source type and configure the required settings.

o SharePoint User Profile Service – Choose this option and configure the following setting:

▪ Farm Name – Select a farm from the drop-down list.

▪ User Profile Service name – Select a User Profile Service from which the user profiles will be retrieved.

▪ Get user profile from system role/Person or Group metadata – Select a system role or a Peron or Group metadata to filter the user profiles. Only the user profiles of the selected role or Peron or Group metadata value will be looked up.

▪ Get value from user profile property – Select a user profile property whose value will be used as the metadata value.

o SharePoint library/list – Choose this option and configure the following setting:

▪ Farm Name – Select a farm from the drop-down list. Then, configure one of the following options:

Manually input library/list URL – Enter the URL of a library or list from

which the metadata value will be retrieved.

Select library/list from tree – Expand the farm node and select the

library or list from which the metadata value will be retrieved.

▪ Get value from SharePoint library/list property – Select a property name from the drop-down list. The value of the selected property will be used as the metadata value.

You can also select the Define an additional SharePoint list column as

filter checkbox and configure the following conditions to filter the

Lookup values.

Match SharePoint list column value with metadata – Select a metadata

name from the drop-down list. When the value of the selected

metadata is the same as that of the SharePoint list column selected

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below, the conditions are met. The property value of the file or item

that meets the conditions will be the metadata value.

Look up value from SharePoint list column – Select a column name

from the drop-down list. This column is used to match the metadata

selected above.

o Custom conditions – Choose this option and select an Executable file (.exe), PowerShell script file (.ps1), or Assembly (.dll) in which the custom conditions are defined.

▪ Executable file (.exe) – Enter the executable file name in the text box.

*Note: The executable file must exist in the directory

…\AvePoint\GovernanceAutomation\bin.

*Note: Make sure the executable file automatically generate a .txt file

that will be located in the same directory of the executable file, and that

the .txt file contains the metadata values and each metadata value is

placed in a line.

▪ PowerShell script file (.ps1) – Enter the PowerShell script file name in the text box.

*Note: The PowerShell script file must exist in the directory

…\AvePoint\GovernanceAutomation\bin.

*Note: Complete the following steps to make Governance Automation

have the permission retrieve the content of the PowerShell script file.

Navigate to the Governance Automation server and navigate to Start >

Windows PowerShell. Right-click Windows PowerShell and select Run

as administrator. In the Administrator: Windows PowerShell window,

enter Set-ExecutionPolicy Unrestricted and press Enter. Then, enter Y

and press Enter.

▪ Assembly (.dll) – Enter Assembly name, Namespace.class, and Method in the corresponding text boxes.

*Note: The assembly file must exist in the directory

…\AvePoint\GovernanceAutomation\bin.

3. Display Metadata on Reports – Choose whether or not to display this metadata on the Site Collection Report/Site Report of Governance Automation.

• Yes – The metadata will be displayed on Site Collection Report/Site Report, allowing for faster filtering, searching and sorting.

• No – The metadata will not be displayed on Site Collection Report/Site Report, and cannot be filtered, searched, or sorted.

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4. Click Save to save the configurations and return to the Create Metadata interface, and click Cancel to return to the Metadata Management interface without saving any configurations.

*Note: When you finish editing the metadata that is applied to existing services, click Save and

Update to All Applied Services to save and update this metadata for the corresponding services.

Deleting Metadata

To delete a metadata, select a previously configured metadata, and then click Delete on the ribbon. A

confirmation window will pop up and ask if you are sure you want to proceed with the deletion. Click OK

to delete the selected metadata, or click Cancel to return to the Metadata Management interface

without deleting the selected property.

Configuring Questionnaires

Use Questionnaire Management to configure questionnaires, which guide requesters to appropriate

services. In a questionnaire, you can add your desired questions, define the order that the questions

appear, customize the logical relationship for the questions, add the answer criterion, and select the

services that will be visible to the requesters.

*Note: The Questionnaire Management feature is not fully supported on Internet Explorer 8. To use this

feature, AvePoint recommends that you use Google Chrome or Internet Explorer 9 or above to manage

questionnaires.

To access Questionnaire Management, click Questionnaire Management in the Request Management

group within the Settings interface.

Displaying and Searching Questionnaires

To change the number of questionnaires displayed, use the Show rows drop-down list in the upper

right-hand corner.

To search the displayed questionnaire, enter the keyword in the Search text box and click the search

( ) button.

Creating or Editing Questionnaires

To create a new questionnaire, click Create on the ribbon. To modify a previously configured

questionnaire, select the desired questionnaire, and click Edit on the ribbon.

In the interface for creating or editing a questionnaire, configure the following settings:

1. Name and Description – Enter the name for the questionnaire that you are about to create. Enter an optional description for future reference.

2. Language – Choose one or more languages for this questionnaire. When starting a request, the questionnaires can be filtered according to their languages.

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3. Questionnaire Category – Categories are used to organize your questionnaires. Select an existing category from the drop-down list or create a new category for this questionnaire by clicking Create New then configuring the new category in the Create Category interface.

4. Questionnaire Permissions – Choose Allow all users to see and use this questionnaire in the service catalog to allow this questionnaire be viewed and used by any user in the service catalog. Choose Select users/groups to see and use this questionnaire in the service catalog to only allow this questionnaire to be viewed and used by specific users/groups in the service catalog. Enter the names of the users/groups in the text box. Press Enter to check that the names are valid.

5. Click the arrow on the right-hand side to proceed to the next step.

6. Questions – Define the questions for this questionnaire.

• To create a new question, click Add Question and then configure the following settings in the Add Question interface.

i. Question – Enter your desired question in the text box. Then, you can select the

Hide questions and answers from Site Information Card checkbox to hide the

entered question and the answers you are about to define from the Site

Information Card inserted to a site or site collection.

ii. Map to Metadata – Choose whether to map the question to metadata. If you

select the Map to Metadata checkbox, the question will become a field on the

request form. After a requester answers the question in a questionnaire, the

selected answer will be automatically set as the field value in the request form.

If you select the Map to metadata checkbox, choose one of the following

options:

▪ Save this question as new metadata – Choose this option to save the question entered above as a new metadata. You must enter a metadata name in the text box. Then, enter a description for future reference.

▪ Select from existing metadata – Choose this option to map the question to existing metadata selected from the drop-down list. You can set a user’s last answer as the default answer by selecting the Set default to user’s last answer checkbox.

iii. Answer Settings – If you chose Save this question as new metadata in the Map

to Metadata field above, configure the answer settings below:

▪ Type – You must select Drop-down Menu, Radio Buttons, or Managed Metadata as the answer type.

*Note: If Managed metadata is selected, select a farm, then, select a

term set group.

▪ Type each choice on a separate line – If you chose Drop-down Menu or Radio Buttons as the answer type, you must enter the answers for the question in the text box. Enter each answer on a separate line.

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▪ Default answer – Define a default answer for the question. Then, choose to set a user’s last answer as the default answer by selecting the Set default to user’s last answer checkbox.

iv. Click Save to save this question or click Cancel to return to the questionnaire

interface without saving any configurations.

• To edit a previously created question, click the edit ( ) button after the question name and then modify the settings in the Edit Question interface.

• To delete a previously created question, click the delete ( ) button after the question name.

7. Click the arrow on the right-hand side to proceed to the next step.

8. Follow the steps below to configure the logic diagram.

a. Drag your desired question from the left pane to the Start point of the right pane.

b. Drag another question under the arrow of one answer for the question above to

determine the logical relationship.

c. Repeat the step above to add multiple questions.

*Note: You can add the same question to multiple logical flows on the right pane, but a

question can only be added into a logical flow once.

d. Drag your desired service to the end point of each logical flow.

The previously created questions and the services in the left pane are supported to

search. Enter the keyword of the question name or service name in the text box under

Questions or Services and click the search ( ) button to search it.

Click the remove ( ) button to remove a question or service from the logic diagram.

e. If there are no services that fit the logical flow, click Add Default End Points to end all

points with No Service. For the No Service end point, you are allowed to continue with

another questionnaire or define a custom message that helps the requester find proper

solutions if there is no service available to the requester.

i. Click the edit ( ) button next to the No Service end point and the End Point

window appears. Choose one of the following methods:

▪ Questionnaire – Choose this option and select a questionnaire from the drop-down list to continue this questionnaire with another questionnaire.

▪ Custom Message – Choose this option to display a custom message to the requester after this questionnaire is finished. Enter the message in the text box.

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Optionally, select the Add URL checkbox and enter your desired URL in

the text box. The URL will be displayed to the requester and redirect the

requester to another site to continue the service request.

ii. Click Save on the ribbon to save your configurations.

*Note: You can click Full Screen on the upper-right corner to expand the logical diagram

configuration space. You can also click Exit Full Screen on the upper-right corner to

narrow the logical diagram configuration space back.

9. When you have finished configuring settings for this questionnaire, choose one of the following options:

• Click the arrow on the left-hand side to go to previous steps to review and modify your configurations.

• Click Save As Draft to save the questionnaire as a draft and return to the Questionnaire Management interface.

• Click Save and Activate to save all of the configurations and activate this questionnaire.

• Click Cancel to return to the Questionnaire Management interface without saving any configurations.

Activating, Deactivating, Copying, and Deleting Questionnaires

To activate an inactive questionnaire, select the questionnaire, and then click Activate on the ribbon.

To deactivate an active questionnaire, select the questionnaire, and then click Deactivate on the ribbon.

To copy a previously configured questionnaire, select the questionnaire, and then click Copy on the

ribbon.

To delete a questionnaire, select a previously configured questionnaire, and then click Delete on the

ribbon. A confirmation window will pop up and ask if you are sure you want to proceed with the

deletion. Click OK to delete the selected questionnaire, or click Cancel to return to the Questionnaire

Management interface without deleting the selected questionnaire.

Configuring E-mail Templates

*Note: For Governance Automation to send notification e-mails, outbound e-mail SMTP must be

configured in Send E-Mail Settings in DocAve. For information on configuring the Send E-Mail Settings in

DocAve, see the User Notification Settings section of the DocAve Control Panel Reference Guide.

Governance Automation comes with built-in e-mail templates. If desired, you can customize notification

e-mails sent by Governance Automation, such as when a request is approved or when a task is assigned.

Different e-mail templates are used for different notifications.

To access E-mail Templates, click E-mail Templates in the System group within the Settings interface.

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Searching and Filtering E-mail Templates

To change the number of rows displayed, use the Show rows drop-down list in the upper right-hand

corner. To sort the E-mail Templates, click the sort ( ) button in a column heading such as E-mail

Template, E-mail Template Type, and Description. You can also filter the E-mail Template Type by

clicking the filter ( ) button in the column heading.

To search displayed e-mail template, enter the keyword in the Search text box and then click the search

( ) button.

Creating or Editing E-mail Templates

To create a new e-mail template, click Create on the ribbon. To modify a previously configured e-mail

template, select the e-mail template, and click Edit on the ribbon.

In the interface for creating or editing an e-mail template, configure the following settings:

1. Enter a desired E-mail Template Name for e-mail template. Then enter an optional Description for the e-mail template for future reference.

2. Select an E-mail Template Type from the drop-down list to designate when the e-mail template can be used in Governance Automation.

3. Subject – Enter a subject name of the e-mail notification for the e-mail template. You can insert reference in the Subject by clicking the Insert Reference hyperlink. A Reference is a parameter that will call up the corresponding bit of information for which it is named specific to each individual service request.

4. Message Body – Customize the message body of the e-mail notification for the e-mail template. You can insert reference in the Message Body by clicking the Insert Reference hyperlink. A Reference is a parameter that will call up the corresponding bit of information for which it is named specific to each individual service request.

*Note: If you insert the Governance Automation Link reference and you do not want to display

the internal Governance Automation login URL to e-mail receivers, refer to the following

instructions to modify the internal Governance Automation login URL to an external login URL:

a. Go to the Governance Automation server.

b. Navigate to …\AvePoint\GovernanceAutomation\Config.

c. Find the Global.config file and open it with Notepad.

d. Find the following nodes:

<ContrlAddress value="External Host" />

<ControlPort value="External Port" />

e. Replace the following values with your desired values:

o External Host – Replace this external host with your desired value.

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o External Port – Replace the external port with your exact port of HTTPS. Note that the default port of HTTPS is 443. If you want to use the default port, you must replace the external port with 443.

f. Save and close the file.

Then, refer to the instructions below to restart the Governance Automation Workflow and the

Governance Automation Timer services, and recycle the application pool for Governance

Automation:

a. Navigate to Start > Application Tools > Services on each node, and restart Governance

Automation Timer service and Governance Automation Workflow service.

b. Navigate to Internet Information Services (IIS) Manager > Application pools.

c. Right-click the application pool for Governance Automation and select Recycle…. The

Governance Automation application pool restarts.

5. Click Save to save the configurations and return to the E-mail Templates interface, or click Cancel to return to the E-mail Templates interface without saving any configurations.

Deleting E-mail Templates

To delete an e-mail template from Governance Automation, select an e-mail template from the e-mail

template list, and then click Delete on the ribbon. A confirmation window will pop up and ask if you are

sure you want to proceed with the deletion. Click OK to delete the selected e-mail template, or click

Cancel to return to the E-mail Template interface without deleting the selected e-mail template.

Configuring Execution Schedules

Use the Execution schedule feature to define when Governance Automation executes service requests.

To access Execution Schedule, click Execution Schedule in the Request Management group within the

Settings interface

Displaying and Searching Execution Schedules

To change the number of execution schedules displayed, use the Show rows drop-down list in the upper

right-hand corner.

To search the displayed execution schedules, enter the keyword in the Search text box and click the

search ( ) button.

Creating or Editing Execution Schedules

To create a new execution schedule, click Create on the ribbon. To modify a previously configured

execution schedule, select the desired execution schedule, and click Edit on the ribbon.

In the interface for creating or editing an execution schedule, configure the following settings:

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1. Execution Schedule Name and Description – Enter a desired Name for the execution schedule. Then enter an optional Description for the execution schedule for future reference.

2. Define Execution Schedule – Define an execution schedule for a Service by selecting your desired days and hours. Then, click Add to List to add it to the execution schedule list below, or click Clear Settings to reset your execution schedule.

3. Time Zone – Select your time zone for the execution schedule.

4. Click Save to save the configurations and return to the Execution Schedule interface, or click Cancel to return to the Execution Schedule interface without saving any configurations.

Deleting Execution Schedules

To delete an execution schedule, select a previously configured execution schedule, and then click

Delete on the ribbon. A confirmation window will pop up and ask if you are sure you want to proceed

with the deletion. Click OK to delete the selected execution schedule, or click Cancel to return to the

Execution Schedule interface without deleting the selected execution schedule.

Configuring Request Access Settings

When business users attempt to access SharePoint 2010/SharePoint 2013/SharePoint 2016 site

collections or sites that they do not have permission to access, they are brought to the SharePoint

Access Denied page. With the Request Access solution deployed and the Request Access Settings

configured, SharePoint users are redirected from the SharePoint Access Denied page to the Governance

Automation Grant Permissions request interface, where they can then request access to the site

collection or site. This enables business users to submit Grant Permissions service requests without

having to leave their SharePoint environment.

To access Request Access Settings, click Request Access Settings in the Request Management group

within the Settings interface.

Preparing SharePoint

Before configuring Request Access Settings, you must complete the following preparations in

SharePoint:

1. Configuring Outgoing E-mail Settings

2. Configuring Access Request Settings

3. Deploying the Governance Automation Request Access Solution

Configuring Outgoing E-mail Settings

You can skip this section if you have completed these steps previously. To configure outgoing e-mail

settings, complete the following steps:

1. In SharePoint Central Administration, navigate to Application Management > Manage web applications.

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2. Select the Web application that you will apply the request access feature to and click General Settings > Outgoing E-mail.

3. In the Web Application Outgoing E-mail Settings interface, enter the Outbound SMTP server, From address, Reply-to address, and select the Character set.

4. Click OK to save your configurations.

Configuring Access Request Settings

After configuring the outgoing e-mail settings, follow the instructions below to configure the access

request settings:

1. In the site that you will apply the request access to, click Site Actions on the ribbon and click Site Permissions.

2. Click Manage Access Requests on the ribbon.

3. In the Manage Access Requests interface, configure the following settings:

a. Select the Allow requests for access checkbox.

b. Enter the e-mail address that will receive the requests for access.

c. Click OK to save your configurations.

Deploying the Governance Automation Request Access Solution

The solution GARequestAccessSP2010.wsp (for SharePoint 2010), GARequestAccessSP2013.wsp (for

SharePoint 2013), and GARequestAccessSP2016.wsp (for SharePoint 2016) reside in the directory

…\AvePoint\GovernanceAutomation\SharePoint Solutions on the Governance Automation server.

Complete the following steps to deploy this solution:

1. To deploy the solution on a SharePoint Web-front end server, copy the solution file to the SharePoint Web-front end server first.

2. On the SharePoint server, navigate to SharePoint 2010 Management Shell, SharePoint 2013 Management Shell, or SharePoint 2016 Management Shell. Right-click it and select Run as administrator.

3. Enter the following command:

stsadm –o addsolution –filename "C:\Program

Files\AvePoint\GovernanceAutomation\SharePoint

Solutions\GARequestAccessSP2010.wsp"

Figure 20: Deploying the Governance Automation Request Access Solution.

*Note: Replace C:\Program Files\AvePoint\GovernanceAutomation\SharePoint

Solutions\GARequestAccessSP2010.wsp with the path where the solution is stored.

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*Note: For the SharePoint 2013 or the SharePoint 2016environment, the solution file is

GARequestAccessSP2013.wsp or GARequestAccessSP2016.wsp.

4. Press Enter. You will see the message Operation completed successfully when the solution has been added to the solution store.

5. Navigate to SharePoint Central Administration > System Settings > Farm Management, and then click Manage farm solutions.

6. Click garequestaccesssp2010.wsp, garequestaccesssp2013.wsp, or garequestaccesssp2016.wsp, and then click Deploy Solution to deploy it.

7. Complete the following steps after the solution deployment is finished if you are using :

• The SharePoint 2013 environment:

i. Navigate to C:\Program Files\Common Files\Microsoft Shared\Web Server

Extensions\15\TEMPLATE\LAYOUTS\GA.

ii. Right-click the AccessDenied.aspx file and select Copy.

iii. Navigate to C:\Program Files\Common Files\Microsoft Shared\Web Server

Extensions\15\TEMPLATE\LAYOUTS and paste the copied .aspx file into this

directory.

*Note: If you want to apply the request access feature to site collections with the

experience version of SharePoint 2010, complete the following steps:

i. Navigate to C:\Program Files\Common Files\Microsoft shared\Web Server

Extensions\15\TEMPLATE\LAYOUTS\GA\Experience_Version10.

ii. Right-click the AccessDenied.aspx file and select Copy.

iii. Navigate to C:\Program Files\Common Files\Microsoft Shared\Web Server

Extensions\14\TEMPLATE\LAYOUTS and paste the copied .aspx file into this

directory.

• The SharePoint 2016 environment:

i. Navigate to C:\Program Files\Common Files\Microsoft Shared\Web Server

Extensions\16\TEMPLATE\LAYOUTS\GA.

ii. Right-click the AccessDenied.aspx file and select Copy.

iii. Navigate to C:\Program Files\Common Files\Microsoft Shared\Web Server

Extensions\16\TEMPLATE\LAYOUTS and paste the copied .aspx file into this

directory.

Configuring Request Access Settings

To access Request Access Settings, in the Settings page, click Request Access Settings. Then, complete

the following steps:

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1. Select a farm from the drop-down list on the left pane.

2. Expand the farm tree to select your desired Web application or site collection by selecting the corresponding option. The title and URL of the selected Web application or site collection are displayed on the right pane.

3. Select a previously configured Grant Permissions service from the drop-down list on the right pane. For information about how to configure a Grant Permissions service, refer to Grant Permissions Service.

*Note: If you select a site collection beneath a Web application that already had a Grant

Permissions service applied to it, the name of the Grant Permissions service is displayed. You

can also apply a unique Grant Permissions service to the selected site collection by selecting

Apply a unique Grant Permissions service to this node checkbox and selecting a previously

configured service from the drop-down list.

4. Click Apply on the bottom to apply the settings.

5. If you are configuring the Request Access Settings for a SharePoint 2010 Web application for the first time, proceed to Restarting IIS (for SharePoint 2010 Only).

Restarting IIS (for SharePoint 2010 Only)

If configuring Request Access Settings for a SharePoint 2010 Web application for the first time, you must

manually restart the IIS to apply your configurations on all of your SharePoint servers.

1. Navigate to Start > All Programs > Administrative Tools > Internet Information Services (IIS) Manager.

2. Right-click the Web application in Sites.

3. Click Manage Web Site, and then click Restart.

Exporting and Importing Configuration Data

Use Export and Import Configuration Data to manage Governance Automation configuration data

between different environments. The configuration data includes global settings, approval process,

policies, and services.

*Note: The source environment and the destination environment must be running identical versions of

Governance Automation.

To access Export and Import Configuration Data, click Export and Import Configuration Data in the

System group within the Settings interface.

Exporting Configuration Data

In the Export and Import Configuration Data page, follow the instructions below to export your desired

configuration data:

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1. Click Export Mode on the ribbon.

2. Export Location – Choose the path to store the exported file that contains the exported data.

• Select Export to a local path to store the exported file in a local path.

• Select Export to an export location to store the exported data in an export location. Select a previously configured export location from the drop-down list or click Add New Location to create a new one. This will bring you to the New Report Export Location interface without saving any of the configurations you have made for this service.

• Scope – Expand Global settings, Approval processes, Policies, and Services to select your desired configuration data by selecting the corresponding checkboxes.

3. Click Export on the ribbon to export the selected configuration data.

Importing Configuration Data

In the Export and Import Configuration Data page, follow the instructions below to import your desired

configuration data:

1. Click Import Mode on the ribbon.

2. Import Location – Click Browse to locate the configuration file that you wish to import.

3. Imported Data Conflict Resolution – Governance Automation objects refer to approval processes, policies, services, etc. If a Governance Automation object name in the source environment is the same as that of an existing object in the destination environment, a conflict occurs. Select a conflict resolution from the drop-down list:

• Skip – Keeps the destination object as it is.

• Overwrite – Substitutes the destination object with the one of the source environment.

4. Click Retrieve Data to retrieve the data in the imported configuration file.

5. Mappings – Configure mappings for the environment where the data is exported and the environment where the data will be imported.

• Domain mapping – Enter the domain name of the environment where the data will be imported.

• Farm mapping – Select the farm of the environment where the data will be imported.

• User Profile Service Application mapping – Expand the farm to view the User Profile Service Application of the environment where the data is exported. Then, select the User Profile Service Application of the environment where the data will be imported.

• Web application mapping – Select the Web application in which the data will be imported.

• Content database mapping – Expand the Web application to view the content database of the Web application from which the data is exported. Then, select the content database of the Web application in which the data will be imported.

6. Import Scope – Select the data that you wish to import by selecting the corresponding checkboxes.

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7. Click Apply on the ribbon to start importing the data to the selected environment.

Configuring SharePoint Workflow Integration Settings

Configure SharePoint Workflow Integration Management to integrate SharePoint on-premises

2010/2013 Designer Workflow or Nintex Workflow with Governance Automation approval process. The

SharePoint on-premises 2010/2013 Designer Workflow and the Nintex Workflow can be leveraged to

process service requests in Governance Automation. Currently, only the following services support

integration with SharePoint Designer Workflow or Nintex Workflow:

• Create Site Collection

• Create Site

• Create My Site

• Grant Permissions

• Content Move

• Content Migration

• Site Collection Lifecycle Management

• Site Lifecycle Management

To access SharePoint Workflow Integration Management, click SharePoint Workflow Integration

Management in the SharePoint group within the Settings interface.

Starting Microsoft SharePoint Foundation Sandboxed Code Service

Before configuring the SharePoint Workflow Integration Management settings, you must start Microsoft

SharePoint Foundation Sandboxed Code Service.

1. Navigate to SharePoint Central Administration > System Settings > Manage services on server.

2. In the Action column of Microsoft SharePoint Foundation Sandboxed Code Service, click Start.

To access SharePoint Workflow Integration Management settings, in the Settings page, click

SharePoint Workflow Integration Management.

In SharePoint Workflow Integration Management, you can create a new SharePoint Workflow

integration profile, edit a previously configured profile, or delete a previously configured profile. For

details on creating or editing a profile, refer to Creating or Editing SharePoint Workflow Integration

Profiles.

Displaying and Searching SharePoint Workflow Integration Profiles

To change the number of profiles displayed, use the Show rows drop-down list in the upper-right

corner.

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To search the displayed profiles, enter the keyword in the Search text box and click the search ( )

button.

Creating or Editing SharePoint Workflow Integration Profiles

To create a new profile, click Create on the ribbon. To modify a previously configured profile, select the

desired profile, and click Edit on the ribbon.

In the interface for creating or editing a SharePoint Workflow integration profile, configure the following

settings:

1. Name and Description – Enter the name and description for the SharePoint Workflow integration profile.

2. Farm – Select a farm to define the scope of the site collection whose workflow will be integrated with Governance Automation approval process.

3. Site URL – Enter a site URL in the text box. The solution GASPWorkflowIntegration.wsp will be automatically deployed to the site collection of this site. The workflow related lists will be created in this site.

4. Choose one of the options on the ribbon:

• Save – Click Save to save the configurations and deploy the solution later.

• Save and Deploy Solution – Click Save and Deploy Solution to save the configurations and have Governance Automation deploy the solution immediately.

• Cancel – Click Cancel to go back to the SharePoint Workflow Integration Management interface without saving any configurations.

Deleting SharePoint Workflow Integration Profiles

To delete a profile, select a previously configured profile, and then click Delete on the ribbon. A

confirmation window will pop up and ask if you are sure you want to proceed with the deletion. Click OK

to delete the selected profile, or click Cancel to return to the SharePoint Workflow Integration

Management interface without deleting the selected profile.

Creating SharePoint Workflows

After configuring the SharePoint Workflow integration profile, complete the following steps to create

the workflow in SharePoint:

Creating a SharePoint 2013 Designer Workflow

To create a SharePoint 2013 Designer Workflow that will be integrated with Governance Automation

approval process, complete the following steps:

1. Export Governance Automation IIS certificate. For more information about how to export the certificate, refer to Export Governance Automation IIS certificate.

2. Install Governance Automation IIS certificate on SharePoint Server.

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a. Navigate to the SharePoint server. Copy the exported certificate file to this server.

a. Double-click the certificate file and click Install Certificate… in the General tab.

b. In the Welcome to the Certificate Import Wizard interface, click Next.

c. In the Certificate Store window, choose Place all certificates in the following store.

d. Click Browse… and select Trusted Root Certification Authorities in the new window.

Then, click OK to go back to the Certificate Store window.

e. Click Next to go to the Completing the Certificate Import Wizard window. Click Finish to

finish the certificate installation.

f. A window appears to remind that the import is successful.

3. Navigate to Microsoft SharePoint Designer and open the site whose URL is entered in the configured SharePoint Workflow integration profile.

4. Click Workflows on the left pane.

5. Click List Workflow on the ribbon and select the Service Requests list.

6. In the Create List Workflow – Service Requests window, enter the name and description for the workflow that you are about to create. Select SharePoint 2013 Workflow as the platform type. Then, Click OK.

7. Click Action on the ribbon and select Call HTTP Web Service from Core Actions.

8. Click the this link and the Call HTTP Web Service window appears.

9. Click the ellipsis ( ) button to go to the String Builder window.

10. In the Name field, enter the URL in one of the following formats for approving or rejecting the request:

• Approve – https://GAhost:port /api/ApproveGARequest?workflowinstanceid=

• Reject – https://GAhost:port /api/RejectGARequest?workflowinstanceid=

o GAhost – Be replaced with the hostname of the machine where Governance Automation is installed.

o port – Be replaced with the port used to access Governance Automation Web site.

11. Click Add or Change Lookup to go to the Lookup for String window.

a. In the Data source field, select Workflow Context from the drop-down list.

b. In the Field from source field, select Instance ID from the drop-down list.

c. Click OK to go back to the Lookup for String window.

12. Click OK to save configurations and go back to the Call HTTP Web Service window.

13. Select HTTP GET as the HTTP method, then Click OK to save the action.

14. Configure other workflow settings if desired, then click Save on the ribbon to save the workflow.

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15. Click Publish on the ribbon to publish the workflow. The published workflow will be available to select in an approval process.

Creating a SharePoint 2010 Designer Workflow

To create a SharePoint 2010 Designer Workflow that will be integrated with Governance Automation

approval process, complete the following steps:

1. On the Governance Automation server, navigate to …\AvePoint\GovernanceAutomation\SharePointSolutions\SharePoint Workflow Integration.

2. Find the GASharePointWorkflowActivity.wsp file, right-click the file, and select Copy.

3. Navigate to the server where SharePoint is installed and paste the copied .wsp file into your desired directory.

4. Navigate to Start > Run > enter cmd in the Open text box and click OK.

5. Enter the following command:

cd C:\Program Files\Common Files\Microsoft Shared\Web Server Extensions\14\BIN

Figure 21: Deploying the solution (1).

6. Press Enter and continue the command in the following format:

stsadm.exe -o addsolution -filename C:\ GASharePointWorkflowActivity.wsp

Figure 22: Deploying the solution (2).

*Note: C:\GASharePointWorkflowActivity.wsp should be replaced with the path where the

solution is stored.

7. Press Enter. You will see the message Operation completed successfully when the solution has been added to the solution store.

8. On the Governance Automation server, navigate to …\AvePoint\GovernanceAutomation\SharePointSolutions\SharePoint Workflow Integration.

9. Find the CallGAWebService.Actions file, right-click the file, and select Copy.

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10. Go to the server where SharePoint is installed, navigate to …\Microsoft Shared\Web Server Extensions\14\TEMPLATE\1033\Workflow and paste the copied file into this directory.

11. Navigate to SharePoint Central Administration > System Settings > Manage farm solutions.

12. Click gasharepointworkflowactivity.wsp and click Deploy Solution.

13. In the Deploy Solution interface, choose to deploy the solution to all content Web applications or select a Web application to deploy the solution.

If the solution is deployed to a specific Web application, complete the following steps:

a. Navigate to Administrative Tools > Internet Information Services (IIS) Manager.

b. Expand the tree and find the Web application under the Sites node.

c. Right-click the Web application and select Explore.

d. In the pop-up window, find the web.config file and open it with Notepad.

e. Navigate to the server where Governance Automation is installed, navigate

to …\AvePoint\GovernanceAutomation\SharePointSolutions\SharePoint Workflow

Integration.

f. Find the Config.xml file, open it with Notepad, and copy the content of the file.

g. Go back to the web.config file, find the attribute </authorizedTypes> and paste the

copied content to the attribute.

Figure 23: Modifying the web.config file.

h. Save and close the web.config file.

If the solution is deployed to multiple Web applications, repeat the steps above to configure the

web.config file for each Web application.

14. Navigate to Start > Command Prompt, right-click Command Prompt and click Run as administrator.

15. In the Command Prompt window, enter iisreset and press Enter.

16. Navigate to Microsoft SharePoint Designer and open the site whose URL is entered in the configured SharePoint Workflow integration profile.

17. Click Workflows on the left pane.

18. Click List Workflow on the ribbon and select the Service Requests list.

19. In the Create List Workflow – Service Requests window, enter the name and description for the workflow that you are about to create. Then, Click OK.

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20. Click Action on the ribbon and select Call Governance Automation Web Service. The action contains two parameters:

• Governance Automation Web Service URL – Click Governance Automation Web Service URL to enter the URL in the format of https://GAhost:port/gawebservice.asmx.

o GAhost – Be replaced with the hostname of the machine where Governance Automation is installed.

o port – Be replaced with the port used to access Governance Automation Web site.

• Approval Result – Click Approval Result to select Approved or Rejected from the drop-down list.

21. Click Save on the ribbon to save the workflow.

22. Click Publish on the ribbon to publish the workflow. The published workflow will be available to select in an approval process.

Creating a Nintex Workflow

To create a Nintex Workflow that will be integrated with Governance Automation approval process,

complete the following steps:

1. Export Governance Automation IIS certificate.

a. On the Governance Automation service, navigate to Start > Internet Information

Services (IIS) Manager.

b. On the left pane, click the local host.

c. Double-click Server Certificates in the middle.

d. Find the IIS certificate of your Governance Automation and double-click it. The

Certificate window appears.

e. In the Details tab, click Copy to File…. The Certificate Export Wizard window appears.

f. In the Welcome to the Certificate Export Wizard interface, click Next.

g. In the Export Private Key interface, select No, do not export the private key. Click Next.

h. In the Export File Format interface, select DER encoded binary X.509 (.CER). Click Next.

i. In the File to Export interface, click Browse… to select the location where the certificate

file will be exported. Click Next.

j. In the Completing the Certificate Export Wizard interface, click Finish.

k. A window appears to remind that the export is successful.

2. Import Governance Automation IIS certificate to SharePoint Server.

a. Navigate to the SharePoint server. Copy the exported certificate file to this server.

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b. Navigate to SharePoint Central Administration > Security > General Security > Manage

trust. You are brought to the Trust Relationships tab.

c. Click New on the ribbon.

d. In the Establish Trust Relationship window, configure the following settings:

o Name – Enter the name for this trust relationship.

o Root Authority Certificate – Click Browse… and select the Governance Automation IIS certificate that has been copied to this server.

e. Click OK to finish the certificate import.

3. Activate Nintex Workflow.

a. Navigate to SharePoint Central Administration > Nintex Workflow Management > Web

Application activation.

b. Select the Web application on which you wish to activate Nintex Workflow. Click

Activate.

c. Go to the site whose URL has been entered in the SharePoint Workflow integration

profile.

d. Navigate to Site Settings > Site Collection Administration > Site collection features.

e. Find Nintex Workflow 2013 or Nintex Workflow 2010 and click Activate.

f. Navigate to Site Settings > Site Actions > Manage site features.

g. Find Nintex Workflow 2013 or Nintex Workflow 2010 and click Activate.

4. Create a Nintex Workflow in the list Service Requests.

a. Go to the site whose URL has been entered in the SharePoint Workflow integration

profile.

b. Navigate to the list Service Requests.

c. Click the List tab on the ribbon.

d. Click Workflow Settings and select Create a Workflow in Nintex Workflow.

e. Create a custom workflow that is associated with the action Call web service. Configure

the action settings:

i. URL – Enter the URL in the format of

https://GAHost:GAPort/gawebservice.asmx.

▪ GAHost – The hostname of the Governance Automation server.

▪ GAPort – The port number of Governance Automation Web site.

ii. Web method – Click Refresh and select FinishTask from the drop-down list.

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iii. WorkflowInstanceID (guid) – Click the insert reference ( ) button. The Insert

Reference window appears. In the Common tab, select Workflow Instance ID.

Click OK to insert the selected reference and close the Insert Reference

window.

iv. IsApproved (boolean) – Enter true or false. true means that the request will be

approved. false means that the request will be rejected.

v. Click Save on the ribbon to save your configurations.

f. Configure other desired actions and click Publish on the ribbon to publish the workflow.

The published workflow will be available to select in an approval process.

Hiding or Revealing Sections to Business Users

This feature helps you define which sections are visible to business users in the landing page.

To access Business User Features Activation or Deactivation, click Business User Features Activation or

Deactivation in the System group within the Settings interface.

In the Business User Features Activation or Deactivation interface, select the sections that you wish the

business users to view by selecting the corresponding checkboxes. Click Save on the ribbon to save your

configurations.

Configuring Export Locations

The Export Location allows you to select a storage location to export Governance Automation reports

and to store request attachments.

To access Export Location, click Export Location in the System group within the Settings interface.

Searching Report Export Locations

In this interface, you can search your desired Report Export Locations by designated keywords. Enter the

keyword in the Search text box and then click the search ( ) button. The Location Name and

Description column support to search for export locations, and only the content in the column displayed

in the current view can be searched.

Creating or Editing Export Locations

To create a new export location, click Create on the ribbon. To modify a previously configured export

location, select the export location, and click Edit on the ribbon.

In the interface for creating or editing an export location, configure the following settings:

1. Name and Description ‒ Enter a Name for the export location. Then enter an optional Description for the export location for future reference.

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2. Path ‒ The export location can be a file share, Storage Area Network (SAN), or Network-Attached Storage (NAS). Enter the UNC Path in the following format:

\\admin-PC\c$\data or \\admin-PC\shared folder

*Note: The path you entered must be an existing one.

3. Enter the Username and Password in the corresponding text boxes. Then click Validation Test. DocAve will test the path and user information to make sure they are valid.

4. Click Save to save the configurations and return to the Export Location interface, or click Cancel to return back to Export Location interface without saving any changes.

Deleting Export Locations

To delete an export location from Governance Automation, select an export location from the list of

previously configured export locations, and then click Delete on the ribbon. A confirmation window will

pop up to ask if you are sure you want to proceed with the deletion. Click OK to delete the selected

export location, or click Cancel to return to the Export Location interface without deleting the selected

export location.

Configuring SharePoint Permission Levels

Permission levels allow you to assign a particular set of permissions to users and SharePoint groups so

that they can perform specific actions on your site.

To access SharePoint Permission Level Management, click SharePoint Permission Level Management

in the SharePoint group within the Settings interface.

Displaying and Searching Permission Levels

To change the number of rows displayed, use the Show rows drop-down list in the upper-right corner.

To search the displayed SharePoint Permission Level, enter the keyword in the Search text box and click

the search ( ) button.

Creating or Editing Permission Levels

To create a new permission level, click Create on the ribbon. To modify a previously configured

permission level, select the desired permission level, and click Edit on the ribbon.

In the interface for creating or editing a SharePoint permission level, configure the following settings:

1. Name and Description – Enter a desired Name for the permission level. Then enter an optional Description for the permission level for future reference.

2. Permissions – Add permission to the permission level by selecting corresponding checkboxes. You can also select the Select All checkbox to select all of the permissions listed below.

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3. Click Save to save the configurations and return to the SharePoint Permission Level Management interface, or click Cancel to return to the SharePoint Permission Level Management interface without saving any configurations.

Deleting Permission Levels

To delete a permission level from Governance Automation, select a previously configured permission

level, and then click Delete on the ribbon. A confirmation window will pop up and ask if you are sure you

want to proceed with the deletion. Click OK to delete the selected permission level, or click Cancel to

return to the SharePoint Permission Level Management interface without deleting the selected

permission level.

Configuring Administrator Notifications

Administrator Notifications inform the Administrator Contact should any service request encounter an

error.

To access Administrator Notification, click Administrator Notification in the System group within the

Settings interface.

Follow the instructions below to configure the Administrator Notification settings:

1. Alternate Administrator Contact – Select a user or group to be an alternate Administrator Contact in case that the Administrator Contact is unavailable. Enter the name of a user or group in the text box. Press Enter to check that the name is valid.

2. E-mail Settings – Allows you to send an e-mail to the Administrator Contact once a task has been assigned to that Administrator Contact when an error occurs. Select the Notify the service request Administrator Contact when the error task is assigned checkbox, and select an e-mail template from the drop-down list for this e-mail notification.

3. Duration and Escalation – Select the Enable Duration and Escalation checkbox to notify another administrator contact if a task has not been handled within the specified amount of time. Make sure that the user receiving the escalated tasks has enough permission to handle all tasks.

a. Enter a number into the Duration text box for the deadline, and select either Day(s) or

Week(s) as the time unit for the duration.

b. Escalation – Select the action that the escalation will trigger from the drop-down list.

o Notify – The specified users will be notified when the task is escalated. Enter the usernames in the text box. Press Enter to check that the usernames are valid.

o Reassign to – The task will be re-assigned to the specified users when the task is escalated. Enter the username in the text box. Press Enter to check that the username is valid.

You can also enter $ to select from the following roles:

o $Managers of Approvers

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o $Current Stage Approvers

o $Approvers

o $Site Members

o $Site Owners

o Designers

o Hierarchy Managers

o Quick Deploy Users

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

c. E-mail Template – Select an e-mail template from the drop-down list.

4. Click Save to save the configurations and return to the Settings interface, or click Cancel to return to the Settings interface without saving any changes.

Configuring the Timer Service

The Governance Automation Timer Service runs synchronization and scans on a default schedule. If you

are about to set custom schedules to synchronize or scan, use Timer Service Configuration Management

to manually configure the Governance Automation Timer Service schedules. After saving the

configurations for the Timer Service settings, they take effect immediately without the need to restart

the Governance Automation Timer Service.

To access Timer Service Configuration Management, click Timer Service Configuration Management in

the System group within the Settings interface.

In the Timer Service Configuration Management interface, configure the following settings:

1. Site Collection Status Scan Job – Select Enable site collection status scan job to enable this job. The site collection status scan job monitors the status of site collections, including inactivity, lease expiration, locking, and deletion. Configure the interval to perform the job by entering your desired value and selecting Minute(s), Hour(s), Day(s), or Week(s).

2. Office 365 Group Status Scan Job – Select Enable Office 365 group status scan job to enable this job. The Office 365 group status scan job monitors the status of Office 365 groups, including inactivity, lease expiration, and deletion. Configure the interval to perform the job by entering your desired value and selecting Minute(s), Hour(s), Day(s), or Week(s).

3. Tree Cache Synchronization Job – Select Enable tree cache synchronization job to enable this job. The tree cache synchronization job synchronizes the tree cache information in Governance Automation database. Configure the interval to perform the job by entering your desired value and selecting Minute(s), Hour(s), Day(s), or Week(s).

4. Archive Site Collection Content Scan Job – Select Enable archive site collection content scan job to enable this job. The archive site collection content scan job checks if there are contents in the site collections need to be archived. Configure the interval to perform the job by entering your desired value and selecting Minute(s), Hour(s), Day(s), or Week(s).

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5. Site Information Synchronization Job – Select Enable site information synchronization job to enable this job. The site information synchronization job synchronizes the related site information in Governance Automation database. Configure the interval to perform the job by entering your desired value and selecting Minute(s), Hour(s), Day(s), or Week(s).

6. Site Collection Information Synchronization Job – Select Enable site collection information synchronization job to enable this job. The site collection information synchronization job synchronizes the related site collection information in Governance Automation database. Configure the interval to perform the job by entering your desired value and selecting Minute(s), Hour(s), Day(s), or Week(s).

7. User Profile Service Synchronization Job – Select Enable User Profile Service synchronization job to enable this job. The User Profile Service synchronization job synchronizes the User Profile Service information in the Governance Automation database. Configure the interval to perform the job by entering your desired value and selecting Minute(s), Hour(s), Day(s), Week(s), Month(s), or Year(s).

8. Temporary Permission Scan Job – Select Enable temporary permission scan job to enable this job. This job creates the temporary SharePoint groups, which contain users whose temporary permissions are granted via Manage Permissions service requests. The job also monitors and deletes the temporary SharePoint groups, which contain users whose temporary permissions are granted via Grant Permissions or Manage Permissions service requests. Configure the interval to perform the job by entering your desired value and selecting Minute(s), Hour(s), Day(s), or Week(s).

9. Content Database Information Synchronization Job – Select Enable content database information synchronization job to enable this job. The content database information synchronization job synchronizes the information of content databases created by Governance Automation into Content Database Report. Configure the interval to perform the job by entering your desired value and selecting Minute(s), Hour(s), Day(s), or Week(s).

10. SharePoint Workflow Integration Scan Job – Select Enable SharePoint Workflow integration scan job to enable this job. The SharePoint Workflow integration scan job checks the status of SharePoint Workflow and synchronizes custom metadata. Configure the interval to perform the job by entering your desired value and selecting Minute(s), Hour(s), Day(s), or Week(s).

11. Task Reminder Scan Job – Select Enable task reminder scan job to enable this job. The task reminder scan job checks if it is time to remind the approvers that their pending tasks will expire. Configure the interval to perform the job by entering your desired value and selecting Minute(s), Hour(s), Day(s), or Week(s).

12. Recertification Scan Job – Select Enable recertification scan job to enable this job. The recertification scan job checks the recertification profiles to see if it is time to run a recertification process. Configure the interval to perform the job by entering your desired value and selecting Minute(s), Hour(s), Day(s), or Week(s).

13. Click Save to save the configurations and return to the Settings page, or click Cancel to return to the Settings page without saving any configurations.

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Configuring System General Settings

Use System General Settings to configure the session timeout settings and the request attachment

settings.

To access System General Settings, click System General Settings in the System group within the

Settings interface.

1. Session Timeout – Enter a number in the text box and select a unit from the drop-down list, Minutes or Hours.

2. Attachment – Configure the following settings for attachments that can be uploaded to a request page.

• Attachment size quota – Define the maximum size for the request attachments. The total size of the attachments uploaded in one request cannot exceed the maximum size. By default, the maximum size is 50 MB. The maximum size set here cannot exceed 2047 MB.

• Illegal file types – Define file types as illegal, which does not allow them to be uploaded to the request page. The default illegal file types are the same as those in SharePoint.

• Attachment storage location – Select an export location to store the request attachments or click Add New Location to create a new export location in the New Export Location window.

*Note: If no export location is selected, the attachments will be stored in the

Governance Automation Configuration Database.

3. Click Save to save your configurations or click Cancel to return to the Settings page without saving any configurations.

Configuring Category Management

Use Category Management to organize services, approval processes, policies, and questionnaires.

To access Category Management , click Category Management in the System group within the Settings

interface.

Displaying and Searching Categories

To change the number of categories displayed, use the Show rows drop-down list in the upper right-

hand corner.

To search the displayed categories, enter the keyword in the Search text box and click the search ( )

button.

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Creating or Editing Categories

To create a new category, click Create on the ribbon. To modify a previously configured category, select

the desired category, and click Edit on the ribbon.

In the interface for creating or editing a category, configure the following settings:

1. Category Name – Enter the name of the category that you are about to create.

2. Category Name Mapping – This allows the category to be displayed as different names in Governance Automation with different display languages. Enter the category names for different languages in the corresponding text boxes. If you do not wish to configure the category name mapping manually, Governance Automation automatically uses the category name entered in step 1 for the category names of all languages. The text boxes will be filled in with the name entered in Category Name when the cursor is moved away from the category name.

3. Click Save to save the configurations and return to the Category Management interface, or click Cancel to return to the Category Management interface without saving any configurations.

Deleting Categories

To delete a category, select a previously configured category, and then click Delete on the ribbon. A

confirmation window will pop up and ask if you are sure you want to proceed with the deletion. Click OK

to delete the selected category, or click Cancel to return to the Category Management interface without

deleting the selected category.

Configuring Recertification Profiles

Recertification profiles enable different types of recertification processes that can be applied to site

collection policies.

To access the Recertification Profile Management, click Recertification Profile Management in the

Request Management group within the Settings interface.

Displaying and Searching Recertification Profiles

To change the number of recertification profiles displayed, use the Show rows drop-down list in the

upper-right corner.

To search the recertification profiles that are displayed, enter the keyword in the Search text box and

click the search ( ) button.

Creating or Editing Recertification Profiles

To create a new recertification profile, click Add on the ribbon. To modify a previously configured

recertification profile, select the desired profile, and click Edit on the ribbon.

Complete the following steps:

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1. Name and Description – Enter a name and an optional description for the recertification profile.

2. Category – Categories are used to organize recertification profiles. Select an existing category from the drop-down list or click Create New to create a new category.

3. Recertification Settings – To run the recertification process, a report path must be configured. Click the Report Path link provided in the description on the left pane.

*Note: AvePoint recommends that you back up your recertification report path for disaster

recovery purposes.

Select one or more of the following recertification processes:

• Permission recertification – Enables the periodic review of user and group permissions to site collection content. A permission recertification task will be generated according to the schedule configured in step iv below. Approvers can then modify the permissions in Governance Automation and the permission changes will be updated to SharePoint. Select the checkbox and configure the following settings:

i. Show members of Active Directory groups or of Form-based Authentication

roles that appear in results (optional) – The members of Active Directory

groups or Form-based Authentication roles will be displayed in the search

results.

*Note: This feature is only supported on SharePoint on-premises.

ii. Specify a duration for the entire recertification process (optional) – Allows you

to define a duration for the entire recertification process. Enter a number in the

text box and select Day(s) or Week(s) as the unit.

iii. Exclude specified permission levels from the task (optional) – Select the

checkbox to exclude permission levels from the permission recertification

report. Select your desired permission levels by selecting the corresponding

checkboxes. The selected permission levels will not be available in the

permission recertification report.

iv. Configure the Recurrence of the permission search: Daily, Weekly, or Monthly.

v. Select an Approval Process from the drop-down list or click Create New to

create a new one. If the configurations of the selected approval process do not

meet your requirements, click Create from This Existing Approval Process to

create a new approval process on the basis of the selected approval process.

*Note: Permission recertification is not supported on SharePoint Online My Sites.

• Metadata recertification – Enables the periodic review of site collection metadata. A metadata recertification task will be generated when the schedule is reached. Approvers can then modify the metadata values in Governance Automation and the metadata value changes will be updated to SharePoint. Select the checkbox and configure the following settings:

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i. Specify a duration for the entire recertification process (optional) – Allows you

to define a duration for the entire recertification process. Enter a number in the

text box and select Day(s) or Week(s) as the unit.

ii. Configure the Recurrence of the metadata search: Daily, Weekly, or Monthly.

iii. Select an Approval Process from the drop-down list or click Create New to

create a new one. If the configurations of the selected approval process do not

meet your requirements, click Create from This Existing Approval Process to

create a new approval process on the basis of the selected approval process.

*Note: Metadata recertification is not supported on SharePoint Online My Sites.

• Ownership recertification – Enables the election process, which can be used to assign or re-assign site collection contacts on a periodic schedule. Select the checkbox and configure the following settings:

i. Specify the users or groups you want to exclude (optional) – Enter the names

of the users or groups that will be excluded during the election process.

ii. Notify the user when the election task is assigned (optional) – Select the

checkbox to send a notification e-mail to the user when the election task is

assigned. Select an e-mail template that will be used to send the notification e-

mail. By default, the Built-in Election Task E-mail Template is selected.

iii. Duration – Define the duration for each election stage. Enter a number in the

text box and select Day(s) or Week(s) as the unit.

iv. Remind the nominated user before each nomination task expires (optional) –

Select the checkbox to send notification e-mail to the nominated user before

each nomination task expires. Select an e-mail template that will be used to

send the notification e-mail. By default, the Built-in Task Reminder E-mail

Template is selected. Then, define the time to send the notification e-mail

before the task expiration. Enter a number in the text box and select Day(s) or

Week(s) as the unit.

You can also select Enable recurrent reminder to re-send the notification e-mail

in schedule. By default, the notification e-mail is sent every day.

v. Allow the nominated user to elect another user (optional) – Select this

checkbox to allow the nominated user to reassign the site collection contact to

another user.

vi. Specify a duration for the entire recertification process (optional) – Allows you

to define a duration for the entire election process. Enter a number in the text

box and select Day(s) or Week(s) as the unit.

vii. Configure the Recurrence of the site collection ownership search: Daily,

Weekly, or Monthly.

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*Note: Ownership recertification is not supported on SharePoint Online My Sites.

• Conditional recertification – Enables a custom recertification process to be initiated by and executable file, PowerShell script file, or assembly. Select the checkbox and configure the following settings:

i. Specify a duration for the entire recertification process (optional) – Allows you

to define a duration for the entire recertification process. Enter a number in the

text box and select Day(s) or Week(s) as the unit.

ii. Configure the Recurrence of the metadata search: Daily, Weekly, or Monthly.

iii. Select an Approval Process from the drop-down list or click Create New to

create a new one. If the configurations of the selected approval process do not

meet your requirements, click Create from This Existing Approval Process to

create a new approval process on the basis of the selected approval process.

iv. Custom conditions and actions – Choose to use the Executable file (.exe),

PowerShell script file (.ps1), or Assembly (.dll) that contains your custom

conditions and actions. Select the corresponding option and enter the required

information.

▪ Executable file (.exe) – Enter the executable file name in the text box.

▪ PowerShell script file (.ps1) – Enter the PowerShell script file name in the text box.

▪ Assembly (.dll) – Enter Assembly name, Namespace.class, and Method in the corresponding text boxes.

*Note: Make sure the file exists the Governance Automation directory

…\AvePoint\GovernanceAutomation\bin.

*Note: Conditional recertification is not supported on SharePoint Online My Sites.

4. Site Collection Automated Locking – If you select the Specify a duration for the entire recertification process checkbox from any type of recertification configured above, the Enable automated locking checkbox will be available. You can select the Enable automated locking checkbox to enable site collection automated locking if the site collection’s recertification task is overdue. If enabled, select a lock status for the site collection:

• Adding content prevented

• Read-only (blocks additions, updates, and deletions)

• No access

*Note: SharePoint Online only supports the No access lock status. If you enable

recertification in a site collection policy whose scope is My Registered Sites, the

recertification profiles with other lock statuses will be filtered out. For more information

about configuring a site collection policy for SharePoint Online, refer to Creating or

Editing Site Collection Policies for SharePoint Online.

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Then, configure the following settings.

5. Notify the following people when the site collection is locked (optional) – Select the checkbox to notify users or groups when the site collection is locked. Enter the names of the users or groups that will be notified about the site collection locking. You can also enter $ to select the following roles:

• $Primary Site Collection Contact

• $Secondary Site Collection Contact

• $Primary Site Collection Administrator

• $Secondary Site Collection Administrator

• $Approvers

• $Site Members

• $Site Owners

• $Designers

• $Hierarchy Managers

• $Quick Deploy Users

• $Additional Site Collection Administrators

• $Site Collection Metadata ("Metadata Name")

• $SharePoint Group ("Group Name")

For detailed descriptions of supported roles, refer to Appendix A: Supported Variable Roles. This

notification e-mail uses the e-mail template selected from the E-mail template drop-down list.

6. Start an additional site collection lifecycle action to escalate (optional) – Select the checkbox to generate a site collection lifecycle action task after the site collection is locked at a certain time. Enter a number in the text box and select Day(s), Week(s), Month(s), or Year(s) as the unit.

*Note: If you select this option and apply the recertification profile to a site collection policy,

you cannot modify the option when editing the profile.

Configure the following settings.

7. Lifecycle action – Select Delete Site Collection or Archive Site Collection as the lifecycle action from the drop-down list.

Note the following:

• The recertification profile will be applied to a site collection policy. The lifecycle action will take effect only if one or both of the following options are selected in the Site Collection Lifecycle Management Request Types field of the site collection policy.

o Enable archiving of entire site collection

o Enable deletion of entire site collection

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• Once the recertification profile has been applied to a site collection policy, you cannot change the lifecycle action of the site collection when editing the profile.

• By default, this action will be subject to the approval process selected in the Site Collection Lifecycle Management Request Types field of the configured site collection policy.

8. Use a unique approval process for this automated action (optional) – You can select a unique approval process instead of the default one for the lifecycle action task. Select an approval process from the drop-down list or create from this existing approval process. You can also create a new approval process for this automated action.

9. Notify the following people about the site collection escalation (optional) – Allows you to send notification e-mails to users or groups about the site collection escalation before generating the lifecycle action task.

a. Enter a number in the text box and select Day(s), Week(s), Month(s), or Year(s) as the

unit.

b. Enter the names of the users or groups in the text box. You can also enter $ to select the

following roles:

o $Primary Site Collection Contact

o $Secondary Site Collection Contact

o $Primary Site Collection Administrator

o $Secondary Site Collection Administrator

o $Approvers

o $Site Members

o $Site Owners

o $Designers

o $Hierarchy Managers

o $Quick Deploy Users

o $Additional Site Collection Administrators

o $Site Collection Metadata ("Metadata Name")

o $SharePoint Group ("Group Name")

For detailed descriptions of supported roles, refer to Appendix A: Supported Variable

Roles.

c. Select an e-mail template that will be used to send the notification e-mail. By default,

the Built-in Task Reminder E-mail Template is selected.

d. Repeat notification before escalation (optional) – Select the checkbox to repeat

sending notification e-mails until the lifecycle action is executed. Enter a number in the

text box and select Day(s), Week(s), Month(s), or Year(s) as the unit.

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10. Administrator Contact – Enter the name of a user or group who will become the administrator contact. If a recertification task encounters any errors, an error task will be generated and the error task will be assigned to this administrator contact.

11. Click Save to save your configurations on the profile or click Cancel to return to the Recertification Profile Management interface without saving any configurations.

Deleting Recertification Profiles

To delete a recertification profile, select a previously configured profile, and then click Delete on the

ribbon. A confirmation window will pop up and ask if you are sure you want to proceed with the

deletion. Click OK to delete the selected profile, or click Cancel to return to the Recertification Profile

Management interface without deleting the selected profile.

Configuring Text Validation Rules

Configure text validation rules to set regular expressions. The rules can be applied to Single line of text

or Multiple lines of text metadata. When end users enter values for these Single line of text or Multiple

lines of text on the request page, the metadata values will be validated according to the regular

expressions defined in the text validation rules.

To access the Text Validation Rule Management, click Text Validation Rule Management in the

Request Management group within the Settings interface.

Displaying and Searching Text Validation Rules

To change the number of text validation rules displayed, use the Show rows drop-down list in the

upper-right corner.

To search the displayed text validation rules, enter the keyword in the Search text box and click the

search ( ) button.

Creating or Editing Text Validation Rules

To create a new text validation rule, click Create on the ribbon. To modify a previously configured text

validation rule, select the desired rule, and click Edit on the ribbon.

In the interface for creating or editing a text validation rule, configure the following settings:

1. Name and Description – Enter a Name for the rule. Enter an optional Description.

2. Rule Settings – Configure the following rule settings:

a. Regular expression – Enter a regular expression for this rule.

*Note: The regular expression is validated according to the JavaScript language style

here. A regular expression consists of the regular expression body and expression

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options. In addition, the regular expression body must start with the character / and

end with the character /.

For example, if you want to validate that the entered content matches three case-

insensitive letters, the regular expression should be /^[A-Z]{3}$/i.

For more information about the regular expression, refer to the following articles:

http://msdn.microsoft.com/en-us/library/ie/h6e2eb7w(v=vs.94).aspx

https://developer.mozilla.org/en-

US/docs/Web/JavaScript/Guide/Regular_Expressions?redirectlocale=en-

US&redirectslug=JavaScript%2FGuide%2FRegular_Expressions

b. Display message for invalid content – Enter the message that will be displayed to the

user if the entered content is invalid.

c. Validation test (optional) – Enter content in the text box and then click Validation Test

to test the expected behavior of the entered regular expression.

3. Click Save to save the configurations and return to the Text Validation Rule Management interface, or click Cancel to return to the Text Validation Rule Management interface without saving any configurations.

Deleting Text Validation Rules

To delete a text validation rule, select a previously configured rule, and then click Delete on the ribbon.

A confirmation window will pop up and ask if you are sure you want to proceed with the deletion. Click

OK to delete the selected rule, or click Cancel to return to the Text Validation Rule Management

interface without deleting the selected rule.

Configuring Governance Automation Terminologies

Use Governance Automation Terminology Management to customize specific terminologies in your

Governance Automation system. The terminologies displayed in Governance Automation interface,

including the role names, will be replaced with your desired values.

The following terminologies are allowed for customization:

• Primary Site Collection Contact

• Secondary Site Collection Contact

• Primary Site Contact

• Secondary Site Contact

*Note: In the scan site collection result file exported from Settings > Import Existing Site Collections

and Sites, the terminologies Primary Site Collection Contact and Secondary Site Collection Contact will

not be replaced to the custom terminologies.

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To access the Governance Automation Terminology Management, click Governance Automation

Terminology Management in the System group within the Settings interface.

Select any terminology and click Edit on the ribbon. Then, configure the following settings:

1. The original terminology is displayed. In The current terminology text box, enter the terminology that you want to change to.

2. In the Terminology Mapping field, enter the terminologies that will be displayed in Governance Automation with different display languages. The terminology that is in the same language as the one selected in Configure Person Settings is automatically changed to the one you entered in The current terminology text box. The default values of the terminologies in other languages are the translations of the original terminology.

3. Click Save to save your changes or click Cancel to go back to the Governance Automation Terminology Management window without saving any changes.

After customizing the terminologies, you can also reset the terminologies to the original ones. Select

one or more terminologies and click Reset on the ribbon.

Configuring Custom Filter on My Sites

Configure custom filter to filter site collection or sites in the My Sites report by user roles and Person or

Group metadata. If the login user meets the selected user roles or meets the value of the selected

Person or Group metadata for specific site collections or sites, the user can view these site collections or

sites when accessing the My Sites report.

To access the Custom Filter on My Sites, click Custom Filter on My Sites in the System group within the

Settings interface.

In the Custom Filter on My Sites window, the following user roles are provided as the default criteria:

• Primary Site Collection Contact

• Secondary Site Collection Contact

• Primary Site Collection Administrator

• Secondary Site Collection Administrator

• Primary Site Contact

• Secondary Site Contact

• Additional Administrators

To manage the criteria, complete the following steps:

1. Click Add a Criterion; the Add a Criterion window appears.

2. Select your desired user roles, Person or Group metadata, or Lookup metadata.

3. Click Add to List; the selected criteria are added to the table.

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4. If you want to remove a criterion from the table, click the delete ( ) button next to a user role or metadata.

5. Click Save to save your configurations, or click Cancel to close the Custom Filter on My Sites window without saving any configurations.

Configuring Active Directory Profiles

Configure Active Directory profiles if you want to allow business users to create Active Directory groups

via Create Site Collection service requests. The profile specifies the domain and organizational unit for

Active Directory groups.

*Note: To create Active Directory groups via Governance Automation, the DocAve Agent account must

be one of the members of the Account Operators group in the domain controller.

To access the Active Directory Profile Management, click Active Directory Profile Management in the

System group within the Settings interface.

Displaying and Searching Active Directory Profiles

To change the number of Active Directory profiles displayed, use the Show rows drop-down list in the

upper-right corner.

To search the displayed Active Directory profiles, enter the keyword in the Search text box and click the

search ( ) button.

Creating or Editing Active Directory Profiles

To create a new Active Directory profile, click Create on the ribbon. To modify a previously configured

Active Directory profile, select the desired profile, and click Edit on the ribbon.

In the interface for creating or editing an Active Directory profile, configure the following settings:

1. Name and Description – Enter a name and an optional description for the Active Directory profile.

2. Domain and Organizational Unit – Specify a domain and an organizational unit for the Active Directory groups that will be created.

• If your DocAve Agents are installed on the same domain, the domain will be displayed here. Enter an existing organizational unit in the text box.

• If your DocAve Agents are installed on different domains, select a domain, and then enter an existing organizational unit in the text box.

3. Click Save to save the profile and return to the Active Directory Profile Management interface, or click Cancel to return to the Active Directory Profile Management interface without saving any configurations.

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Deleting Active Directory Profiles

To delete an Active Directory profile, select a previously configured profile, and then click Delete on the

ribbon. A confirmation window will pop up and ask if you are sure you want to proceed with the

deletion. Click OK to delete the selected profile, or click Cancel to return to the Active Directory Profile

Management interface without deleting the selected profile.

Configuring Site Information Card

Choose what information will be displayed on the Site Information Card app part that can be inserted to

a top-level of a site collection or to a site.

To access the Site Information Card Management, click Site Information Card Management in the

SharePoint group within the Settings interface.

In the Site Information Card Management interface, configure the following settings:

• Site Collection Level – Select one or more of the following information that will be displayed in the Site Information Card app part of the site collection level.

o Primary site collection contact

o Secondary site collection contact

o Primary site collection administrator

o Secondary site collection administrator

o Additional site collection administrators

o Metadata

o Questionnaire answers

• Site Level – Select one or more of the following information that will be displayed in the Site Information Card of the site level.

o Primary site contact

o Secondary site contact

o Metadata

o Questionnaire answers

Note that if you select the Metadata checkbox for the site collection level and/or the site level,

you must select metadata from the drop-down list.

Click Save to save the configurations, or click Cancel to return to the Settings interface without

saving any changes.

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Creating Azure Active Directory Applications

If your tenant wants to enable single sign-on for Governance Automation or if your tenant wants to

manage Office 365 groups via Governance Automation, you must create applications in Microsoft Azure

Active Directory. You can choose one of the following methods to create the applications:

• Via the Governance Automation Configuration Tool

• Via Azure Portal

Via the Governance Automation Configuration Tool

To create Azure AD applications via the Governance Automation Configuration Tool, make sure Azure

Active Directory PowerShell has been installed on the Governance Automation server. For details about

installing Azure AD PowerShell, refer to this document.

Then, complete the following steps:

1. On the Governance Automation server, navigate to the Governance Automation Configuration Tool.

2. Click Azure AD Application Configuration on the left pane.

3. In the Azure AD Application Creation section, choose one of the following app types:

• Microsoft Azure AD – Select this app type if your tenant wants to enable single sign-on (SSO) for Governance Automation. With SSO, you can add Office 365 users and groups to Governance Automation groups, and these users can use their Office 365 login IDs to sign into Governance Automation. Also, the Office 365 users and groups can be validated via people picker.

• Office 365 – Select this app type if your tenant wants to manage Office 365 groups via Governance Automation.

*Note: To manage Office 365 groups, apart from the application for Office 365, you

must also create the application for Microsoft Azure AD.

4. Click Create.

5. The Azure Active Directory PowerShell window appears. Enter the username and password of an Office 365 Global Administrator account. Then, click Sign in.

6. When the application is successfully created in Azure AD, a message appears providing the link of Azure Portal. Go to the Azure Portal to view details of the application. The application ID will be used later when you configure the app profile in Governance Automation.

7. If the URL of your Governance Automation Web site has been customized, you must modify the reply URLs of the application created by the Governance Automation Configuration Tool. For details, refer to the instructions in Modifying Application Reply URLs.

8. The application uses certificate authentication. If you want to use a custom certificate for the communication between Governance Automation and the application, configure the Apply Custom Certificate section.

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*Note: Make sure you have installed the certificate on the Governance Automation server.

a. Select the corresponding app type, and click Apply.

b. In the Certificate Selection window, select the custom certificate you prepared.

c. Click OK.

d. The Azure Active Directory PowerShell window appears. Enter the username and

password of an Office 365 Global Administrator account. Then, click Sign in.

e. When the custom certificate is successfully applied, a message appears. Click OK.

9. If you do not change other configurations in the Governance Automation Configuration Tool, except for the Azure AD Application Configuration, close the pop-up window to exit the tool.

10. Next, proceed to Configuring App Profiles in Governance Automation.

Modifying Application Reply URLs

Complete the following steps to modify the reply URLs of the application created by the Governance

Automation Configuration Tool:

1. Log into Azure Portal with a Global Administrator account.

2. Navigate to Azure Active Directory > App registrations.

3. Locate Governance Automation Azure AD App For Account Verification or Governance Automation Office 365 App For Office 365 Operations.

4. Click the application name. The Settings pane appears.

5. Click Reply URLs. The Reply URLs pane appears.

6. Click a URL to activate the edit mode. For each URL, replace the default Governance Automation Web site URL element with your custom Governance Automation Web site URL.

7. Click Save to save the changes.

Via Azure Portal

Follow the instructions below to manually create the following applications in Azure Portal:

• An application for enabling single sign-on for Governance Automation. With SSO, you can add Office 365 users and groups to Governance Automation groups, and these users can use their Office 365 login IDs to sign into Governance Automation. Also, the Office 365 users and groups can be validated via people picker.

• An application for enabling Office 365 group management via Governance Automation.

*Note: To manage Office 365 groups, apart from this application, you must also create

the application above.

1. Log into Azure Portal with a Global Administrator account.

2. Navigate to Azure Active Directory > App registrations.

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3. Click New application registration.

4. In the Create pane, configure the following settings:

• Name – Enter one of the following names according to the application you are about to create:

o The application for single sign-on and Office 365 user/group validation:

Governance Automation Azure AD App For Account Verification

o The application for Office 365 group management:

Governance Automation Office 365 App For Office 365 Operations

• Application type – Select Web app / API as the application type.

• Sign-on URL – Enter the sign-on URL of your Governance Automation Web site in the following format:

https://GAHost:GAPort/account/aadlogin

o GAHost – The hostname of your Governance Automation server.

*Note: If Governance Automation is installed on a Windows Network Load

Balancing cluster, enter the cluster's public hostname.

o GAPort – The port number of your Governance Automation Web site.

Click Create. The application is successfully created, and you are brought back to the App

registrations page.

5. Click the newly created application and configure the application settings in the Settings pane.

• Properties – Click Properties, and the detailed properties of the application are displayed.

o Copy the application ID, and you will need it later when configuring the app profile in Governance Automation.

o If your Office 365 users are from multiple tenants, click Yes in the Multi-tenanted field.

Click Save to save your changes.

• Reply URLs – Click Reply URLs, and add URLs in the following formats:

o The application for single sign-on and Office 365 user/group validation:

▪ https://GAHost:GAPort/account/aadlogon

▪ https://GAHost:GAPort/azureappprofile/processauthorizationresponse

▪ https://GAHost:GAPort/azureappprofile/processreauthorizationresponse

o The application for Office 365 group management:

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▪ https://GAHost:GAPort/

▪ https://GAHost:GAPort/azureappprofile/processauthorizationresponse

▪ https://GAHost:GAPort/azureappprofile/processreauthorizationresponse

*Note: Replace GAHost with the hostname of your Governance Automation server. If

Governance Automation is installed on a Windows Network Load Balancing cluster,

enter the cluster's public hostname. Replace GAPort with the port number of your

Governance Automation Web site.

Click Save to save your changes.

• Required permissions – Click Required permissions, and refer to the table below to add the corresponding permissions:

Application API Application Permission

Delegated Permission

The application for SSO and Office 365 user/group validation

Windows Azure Active Directory

Read directory data Sign in and read user profile

The application for Office 365 group management

Windows Azure Active Directory

N/A Sign in and read user profile

Microsoft Graph Read and write directory data

N/A

Read and write files in all site collections (preview)

Office 365 Exchange Online

Use Exchange Web Services with full access to all mailboxes

N/A

Office 365 SharePoint Online

Have full control of all site collections

N/A

Read user profiles

6. Click Manifest next to Settings.

7. In the Edit manifest pane, configure the following nodes:

• groupMembershipClaims – Modify the value to All.

• keyCredentials – This node is for the certificate authentication of the application. It should be a self-signed certificate. If you do not have this certificate, you can create one in Internet Information Services (IIS) Manager > Server Certificates. Make sure the public key of the certificate is 2048 Bits. You also need to export the certificate as a .cer file. Follow the steps below to export the .cer file:

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i. Navigate to Microsoft Management Console.

ii. Navigate to Certificates and locate to the certificate you prepared.

iii. Right-click the certificate, select All Tasks, and then select Export…. The

Certificate Export Wizard window appears:

▪ Export Private Key – Choose No, do not export the private key.

▪ Export File Format – Choose Base-64 encoded X.509 (.CER).

▪ File to Export – Select a location to save the .cer file.

Then, complete the following steps to get certificate information:

i. Navigate to Windows PowerShell.

ii. Enter and execute the following command:

$cer = New-Object

System.Security.Cryptography.X509Certificates.X509Certificate2

iii. Enter and execute the following command:

$cer.Import("[.cer File Path]")

*Note: Replace [.cer File Path] with the file path of the exported .cer file.

iv. Enter and execute the following command:

$bytes = $cer.GetRawCertData()

v. Enter and execute the following command:

$base64Value = [System.Convert]::ToBase64String($bytes)

vi. Enter and execute the following command, and then copy the output value,

which will be used as the value of the keyCredentials node.

$base64Value

vii. Enter and execute the following command:

$bytes = $cer.GetCertHash()

viii. Enter and execute the following command:

$thum = [System.Convert]::ToBase64String($bytes)

ix. Enter and execute the following command, and then copy the output value,

which will be used as the value of the keyCredentials node.

$thum

x. Enter and execute the following command, and then copy the output value,

which will be used as the value of the keyCredentials node.

$keyid = [System.Guid]::NewGuid().ToString()

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xi. Go back to Azure Portal and enter the value for the keyCredentials node in the

following format:

{

"customKeyIdentifier": "$thum",

"keyId": "$keyid",

"type": "AsymmetricX509Cert",

"usage": "Verify",

"value": "$base64Value"

}

*Note: Replace $thum with the value of the $thum node; replace $keyid with

the value of the $keyid node; replace $base64Value with the value of the

$base64Value node.

xii. Click Save to save changes to the manifest.

8. Provide the thumbprint of the certificate to Governance Automation, so Governance Automation can invoke the application. Complete the following steps:

a. On the Governance Automation server, navigate

to …\AvePoint\GovernanceAutomation\Config.

b. Find the Global.config file and open it with Notepad.

c. Go to the bottom and add the following node above the </config> node:

<AzureAppSetting>

<AppCertificateThumbprint value=""/>

</AzureAppSetting>

d. Manually enter the thumbprint of your certificate.

*Note: To get the thumbprint of the certificate, double-click the .cer file and you can

find the thumbprint in the Details tab. Do not copy the thumbprint and paste it into the

Global.config file. The thumbprint copied from the .cer file has several hidden

characters, and the thumbprint provided to Governance Automation will not match with

the real thumbprint, which will result in errors in Governance Automation.

e. Save and close the file.

f. If Governance Automation is installed on a Windows Network Load Balancing cluster,

repeat steps above on each server.

g. Navigate to Start > Administrative Tools > Services; restart Governance Automation

Timer Service and Governance Automation Workflow Service.

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h. Navigate to Internet Information Services (IIS) Manager > Application Pools.

i. Right-click the application pool for Governance Automation and select Recycle…. The

Governance Automation application pool restarts.

9. Then, procced to Configuring App Profiles in Governance Automation.

Configuring App Profiles

After creating Azure AD applications, configuring app profiles in Governance Automation Settings.

On the Settings page, click App Management in the System group. The App Management window

appears.

Creating App Profiles

If you have created an application for single sign-on and Office 365 user/group validation, create an app

profile with the app type of Microsoft Azure AD.

If you have created an application for Office 365 group management, create an app profile with the app

type of Office 365.

If you have created both applications, respectively create an app profile for each app type.

To create an app profile, click Create on the ribbon. Then, configure the following settings:

1. App Type – Select the app type for the app profile.

2. Application ID – Enter the ID of the application you have created. You can find it in Azure Portal > Azure Active Directory > App registration.

3. Office 365 Global Administrator – Creating an app profile requires an Office 365 Global Administrator account.

• If it is the first time for your tenant to create the app profile, choose the Sign out and use another account option.

• If your tenant has app profiles configured, you can choose the Use the current account option if you are signing Governance Automation with an Office 365 Global Administrator account.

*Note: Governance Automation uses Exchange Online Web Service to create Office 365 groups.

If you want to create Office 365 groups via Governance Automation, to ensure Office 365 groups

can be created successfully, make sure this Office 365 Global Administrator has an Exchange

Online mailbox.

4. Click OK on the ribbon.

5. If you choose the Use the current account option, go to the step below.

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If you choose the Sign out and use another account option, the Office 365 Sign in page appears.

Enter the login ID and password of an Office 365 Global Administrator account. Then, click Sign

in.

6. On the authorization page, review the required permissions and click Accept. The app profile is successfully created, and the profile name is the login ID of the Office 365 Global Administrator account. This account is automatically added into the Governance Automation Administrator group, and the currently logged-in user is changed to this user.

Re-authorize an App

You need to re-authorize an app if one of the following circumstances occurs:

• The app is accidently removed from Azure AD.

• The app permissions are changed.

• Your tenant wants to change the Office 365 account that is used to authorize the app.

Complete the following steps to re-authorize an app:

1. In the App Management window, select the app profile for the corresponding app.

2. Click Re-authorize App on the ribbon.

3. Re-authorizing an app requires an Office 365 Global Administrator account. If you are signing into Governance Automation with an Office 365 Global Administrator account, choose the Use the current account option. Otherwise, choose the Sign out and use another account option.

4. Click OK.

5. If you choose the Use the current account option, go to the step below.

If you choose the Sign out and use another account option, the Office 365 Sign in page appears.

Enter the login ID and password of an Office 365 Global Administrator account. Then, click Sign

in.

6. On the authorization page, review the required permissions and click Accept.

Deleting an App Profile

To delete an app profile, select a previously configured profile, and then click Delete on the ribbon. A

confirmation window appears asking if you are sure you want to proceed with the deletion. Click OK to

delete the selected profile, or click Cancel to return to the App Management window without deleting

the selected profile.

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Modifying Governance Automation Configuration

Settings after Installation

To view or edit the installation settings after a successful Governance Automation installation, navigate

to Start > Governance Automation and click Governance Automation Configuration Tool on a server

where Governance Automation is installed.

In Governance Automation Configuration Tool, the Configuration Database Settings, Audit Database

Settings, Service Configuration, Authentication Configuration, and Advanced Configuration can be

modified.

*Note: If you are changing the certificate in Advanced Configuration, you must manually copy two

configuration files to Governance Automation directories after saving changes in the Governance

Automation Configuration Tool. For more information, refer to Applying User-Defined Certificates.

Re-registering Governance Automation after Uninstalling DocAve

If you uninstall DocAve and then reinstall DocAve after a Governance Automation installation, you must

re-register Governance Automation to DocAve using the Governance Automation Configuration Tool. To

re-register Governance Automation to DocAve, you must configure the following settings in the

Governance Automation Tool:

• DocAve Control Service Address

• DocAve Manager Passphrase

• DocAve Administration Account Settings

Refer to Installing Governance Automation for detailed information on these settings. After re-

registering Governance Automation to DocAve, an update must be manually installed in DocAve to use

Governance Automation properly. This update (DocAve_Update_for_Governance_Automation_2.1.zip)

resides in the Governance Automation installation package.

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Monitoring and Reporting

Monitoring and Reporting allows administrators to manage all requests and tasks created by and

assigned to any user, review Governance Automation processes, and gauge the current state of sites

and site collections managed by Governance Automation.

To access Monitoring and Reporting, click Monitoring and Reporting in the Administrator landing page.

Monitoring All Requests

All Requests centralize all of the submitted service requests created by any users, providing you with

one interface to process all of the requests.

To access All Requests, in the Monitoring and Reporting page, click All Requests. To exit out of All

Requests, click Back.

You may change the number of requests displayed per page, as well the order they are displayed in. To

change the number of requests displayed per page, select the desired number from the Show rows

drop-down list in the upper-right corner. To sort the requests, click the sort ( ) button in a column

heading, then select Ascending or Descending.

You can customize how the requests are displayed in the following ways:

• Search – Allows you to filter service requests displayed by the keyword you designate. You can search desired reports by the following columns: Request ID, Request Summary, Service, and Assign To. Only the content in the column displayed in the current view can be searched.

• Manage Columns ( ) – You can manage which columns are displayed in the list so that

only information you want to see is displayed. Click the manage columns ( ) button, then select the checkbox next to the column name to have that column shown in the list.

• Filter ( ) – This allows you to filter which item in the list is displayed. Click the filter ( ) button of the column you want to filter, then select the checkbox next to the item name to have that item shown in the list.

You can perform the following actions in All Requests:

• View Details ‒ Click a request summary to see its configuration.

• View Request History (This button is only visible when Allow all approvers to edit this service request is selected in the corresponding service) – Select a request and click View Request History to view the versions of this request.

• Cancel Request ‒ Select an uncompleted request that you wish to cancel and click Cancel Request on the ribbon.

• Delete ‒ Select a request that you wish to delete and click Delete on the ribbon.

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• Refresh – Click Refresh on the ribbon to refresh information of all requests.

Monitoring All Tasks

All Tasks centralize all of the tasks assigned to any users, providing you with one interface to process all

current tasks or review previous tasks.

To access All Tasks, click All Tasks in the Monitoring and Reporting page. To exit out of All Tasks, click

Back.

You can change the number of tasks displayed per page, as well the order they are displayed in. To

change the number of tasks displayed per page, select the desired number from the Show rows drop-

down list in the upper-right corner. To sort the tasks, click the sort ( ) button in a column heading, then

select Ascending or Descending.

You can customize how the tasks are displayed in the following ways:

• Search – Allows you to filter tasks displayed by the keyword you designate. You can search desired tasks by the following columns: Request ID, Request Summary, Requester, and Assign To. Only the content in the column displayed in the current view can be searched.

• Manage Columns ( ) – You can manage which columns are displayed in the list so that

only information you want to see is displayed. Click the manage columns ( ) button, then select the checkbox next to the column name to have that column shown in the list.

• Filter ( ) – This allows you to filter which item in the list is displayed. Click the filter ( ) button of the column you want to filter, then select the checkbox next to the item name to have that item shown in the list.

Approving or Rejecting Requests

You can approve or reject the following types of requests:

• Create Site Collection

• Create Site

• Create Library/List

• Create Office 365 Group

• Deploy Patterns

• Site Collection Lifecycle Management – Archive Site Collection

• Site Collection Lifecycle Management – Delete Site Collection

• Site Collection Lifecycle Management – Extend Site Collection Lease

• Site Collection Lifecycle Management – Change Site Collection Policy

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• Site Collection Lifecycle Management – Change Site Collection Quota

• Site Collection Lifecycle Management – Lock Site Collection

• Site Collection Lifecycle Management – Unlock Site Collection

• Site Lifecycle Management – Archive Site

• Site Lifecycle Management – Delete Site

• Office 365 Group Lifecycle Management – Delete Office 365 Group

• Office 365 Group Lifecycle Management – Extend Office 365 Group Lease

• Office 365 Group Lifecycle Management – Change Office 365 Group Policy

• Office 365 Group Lifecycle Management – Change Office 365 Group Team Site Quota

• Change Site Collection Contact or Administrator

• Change Site Collection Settings

• Change Site Contact

• Change Site Metadata

• Change Library/List Settings

• Change Office 365 Group Settings

• Content Move

• Grant Permissions

• Manage Permissions

1. Click a request summary to view more information about the request. The View Details window appears.

2. In the View Details window, you have the following options:

• Edit Request – Click Edit Request on the ribbon to edit all of the settings of this request in the Edit Request window.

*Note: This button is only visible to the approvers when Allow all approvers to edit this

service request is selected in the corresponding service.

• View Request History – Click View Request History to view the versions of this request in the View Request History window.

3. Click Approve or Reject on the ribbon. Enter any comments you may have in the pop-up window.

4. Click OK to confirm or click Cancel to return to the All Tasks page without executing the task

Reassigning Tasks

You can reassign a task to another approver if Allow approvers to reassign tasks to others is enabled in

the approval process. All types of tasks, except for quota threshold tasks, election tasks, content

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database threshold warning tasks, and error tasks, can be reassigned. To reassign a task, follow the

steps below:

1. Select a task, and click Reassign on the ribbon.

2. In the pop-up window, enter the name of a user or group that will become the approver.

3. Click OK to confirm.

Managing Automatic Site Collection Lifecycle Management Tasks

Automatic Site Collection Lifecycle Management tasks include site collection inactivity threshold tasks,

site collection lease expiration tasks, and site collection quota threshold tasks. These tasks will be

automatically generated if the following conditions are met:

• Site collection inactivity threshold, site collection lease, or site collection quota threshold is enabled in a site collection policy.

• The site collection policy is applied to a site collection.

• The site collection’s inactivity threshold is reached, the site collection’s lease has expired, or the site collection’s quota threshold is reached.

You can perform the following actions on the automatically generated site collection inactivity threshold

tasks, site collection lease expiration tasks, or site collection quota threshold tasks:

To view a task, click a task title. The View Details window appears.

Continuing Site Collection Access

For a site collection inactivity threshold task, you can continue allowing access to the site collection. To

request continued access, follow the steps below:

1. Select a task, and click Continue Access on the ribbon.

2. In the pop-up window, click OK to confirm this action, or click Cancel to return to the All Tasks page without executing the task.

Extending a Site Collection Lease

For a site collection lease expiration task, you can extend the lease. To request lease extension, follow

the steps below:

1. Select a task, and click Extend on the ribbon.

2. In the Extend Site Collection Lease Period field, the lease period is displayed if the IT Administrator has defined the site collection lease. If this field is available to configure, define the amount of time to extend beyond the site collection lease period. Enter a number in the text box and select Day(s), Week(s), Month(s), or Year(s) from the drop-down list.

3. In the Comments field, enter your comments for the task.

4. Click OK to confirm this action, or click Cancel to return to the All Tasks page without executing the task.

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Archiving a Site Collection

For both site collection inactivity threshold task and site collection lease expiration task, you can request

to archive the site collection. Follow the steps below:

1. Select a task, and click Archive on the ribbon.

2. In the pop-up window, click OK to confirm this action, or click Cancel to return to the All Tasks page without executing the task.

Deleting a Site Collection

For both site collection inactivity threshold task and site collection lease expiration task, you can request

to delete the site collection. Follow the steps below:

1. Select a task, and click Delete on the ribbon.

2. In the pop-up window, click OK to confirm this action, or click Cancel to return to the All Tasks page without executing the task.

Changing a Site Collection Policy

For both site collection inactivity threshold task and site collection lease expiration task, you can request

to change the site collection policy. Follow the steps below:

1. Select a task, and click Change Policy on the ribbon.

2. In the pop-up window, click OK to confirm this action, or click Cancel to return to the All Tasks page without executing the task.

Changing a Site Collection Quota

For a site collection quota threshold task, you can request to change the site collection quota size or

quota template. Follow the steps below:

1. Select a site collection, and click Change Quota on the ribbon.

2. Edit the quota configurations to make the quota size smaller or larger, or select a different quota template.

3. Click OK to save your configurations, or click Cancel to return to the All Tasks page without executing the task.

Managing Automatic Office 365 Group Lifecycle Management Tasks

Automatic Office 365 Group Lifecycle Management tasks include Office 365 group inactivity threshold

tasks and Office 365 group lease expiration tasks. These tasks will be automatically generated if the

following conditions are met:

• Office 365 group inactivity threshold or Office 365 group lease is enabled in an Office 365 group policy.

• The Office 365 group policy is applied to an Office 365 group.

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• The Office 365 group’s inactivity threshold is reached or the Office 365 group’s lease has expired.

You can perform the following actions on the automatically generated Office 365 group inactivity

threshold tasks or Office 365 group lease expiration tasks:

• Continuing Office 365 Group and Group Team Site Access

• Extending an Office 365 Group Lease

• Deleting an Office 365 Group

To view a task, click a task title. The View Details window appears.

Continuing Office 365 Group and Group Team Site Access

For an Office 365 group inactivity threshold task, you can continue allowing access to the Office 365

group and the corresponding group team site. To request continued access, follow the steps below:

1. Select a task, and click Continue Access on the ribbon.

2. In the pop-up window, click OK to confirm this action, or click Cancel to return to the All Tasks page without executing the task.

Extending an Office 365 Group Lease

For an Office 365 group lease expiration task, you can extend the lease. To request lease extension,

follow the steps below:

1. Select a task, and click Extend on the ribbon.

2. In the Extend Office 365 Group Lease field, the lease period is displayed if the IT Administrator has defined the Office 365 group lease. If this field is available to configure, define the amount of time to extend beyond the Office 365 group lease period. Enter a number in the text box and select Day(s), Week(s), Month(s), or Year(s) from the drop-down list.

3. In the Comments field, enter your comments for the task.

4. Click OK to confirm this action, or click Cancel to return to the All Tasks page without executing the task.

Deleting an Office 365 Group

For both Office 365 group inactivity threshold task and Office 365 group lease expiration task, you can

request to delete the Office 365 group. Follow the steps below:

1. Select a task, and click Delete on the ribbon.

2. In the pop-up window, click OK to confirm this action, or click Cancel to return to the All Tasks page without executing the task.

Managing Clone or Transfer User Permissions and Manual Archive Tasks

You can perform the following actions on the tasks from Clone or Transfer User Permissions and Manual

Archive services:

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• View Task – Click a request summary to see detailed information. In the View Details window, you have the following options:

o Submit – Click Submit on the ribbon to submit this task.

o Reassign (This button is only visible to approvers when Allow approvers to reassign tasks to others is selected in the corresponding approval process) –Click Reassign on the ribbon to reassign the task. In the pop-up window, enter the name of a user or group that will become the approver. Click OK.

o Edit Request (This button is only visible to the approvers when Allow all approvers to edit this service request is selected in the corresponding service) – Click Edit Request on the ribbon to edit all of the settings of this request in the Edit Request interface.

o View Request History (This button is only visible to the approvers when Allow all approvers to edit this service request is selected in the corresponding service) – Click View Request History to view the versions of this request in the View Request History interface.

o Click Review the Report on the ribbon to review detailed report of this task, then select View on screen or Download report.

▪ View on screen – Open the report directly to view details on screen. Select the data you want to change, and then click Finish.

▪ Download report – Download the report and then modify the data that you wish to change. In the pop-up window, click XLS or XLSX as the file type, and download the report. After you modify the downloaded file, click Browse to select the modified file to upload.

• Submit – Select a task, and click Submit on the ribbon to submit the task. Enter some comments for this task for further reference in the pop-up window. Click OK to finish this task or click Cancel to return to the All Tasks interface.

• Reassign (This button is only visible to approvers when Allow approvers to reassign tasks to others is selected in the corresponding approval process) – Select a task, and click Reassign on the ribbon to reassign the task. In the pop-up window, enter the name of a user or group that will become the approver. Click OK.

Managing Change Permissions Tasks

You can perform the following actions on the tasks from Change Permissions services:

• View Task – Click a request summary to see detailed information. In the View Details window, you have the following options:

o Submit – Click Submit on the ribbon to submit this task.

o Reassign (This button is only visible to approvers when Allow approvers to reassign tasks to others is selected in the corresponding approval process) –Click Reassign on the ribbon to reassign the task. In the pop-up window, enter the name of a user or group that will become the approver. Click OK.

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o Review the Report – Review detailed report of this task. Choose one of the following options:

▪ View on screen – Open the report directly to view details on screen. For more information, refer to Reviewing Permissions to Change and Selecting Permissions to Remove.

▪ Download report – Download the report and then modify the data that you wish to change. In the pop-up window, click Browse to select the modified file to upload.

o Edit Request (This button is only visible to the approvers when Allow all approvers to edit this service request is selected in the corresponding service) – Click Edit Request on the ribbon to edit all of the settings of this request in the Edit Request interface.

o View Request History (This button is only visible to the approvers when Allow all approvers to edit this service request is selected in the corresponding service) – Click View Request History to view the versions of this request in the View Request History interface.

• Submit – Select a task, and click Submit on the ribbon to submit the task. Enter some comments for this task for further reference in the pop-up window. Click OK to finish this task or click Cancel to return to the All Tasks interface.

• Reassign (This button is only visible to approvers when Allow approvers to reassign tasks to others is selected in the corresponding approval process) – Select a task, and click Reassign on the ribbon to reassign the task. In the pop-up window, enter the name of a user or group that will become the approver. Click OK.

Reviewing Permissions to Change

If you view details of a Change Permissions task for changing permissions, you can perform the following

actions:

*Note: If any available option is not displayed on the ribbon, click the ellipsis ( ) button, and then

select that option.

• Filter Records – Select User Based or Object Based from the drop-down list in the top left-hand corner. By default, All Results is selected.

• Submit – Click Submit on the ribbon to submit the task and apply all of your configurations to SharePoint.

• Reassign (This button is only visible to approvers when Allow approvers to reassign tasks to others is selected in the corresponding approval process) –Click Reassign on the ribbon to reassign the task. In the pop-up window, enter the name of a user or group that will become the approver. Then, click OK.

• Reset – Click Reset on the ribbon to select Reset My Changes or Reset All Changes.

• Export Report – Click Export Report on the ribbon to export the permission review report. In the Export Report window, choose to export the report to local machine or

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export the report to an export location, and select a report format (CSV, XLS, or XLSX). Then, click Export to Datasheet to export the report.

• View History – Click View History to view the previous versions of the report.

• Delete User – Select a user and click Delete User on the ribbon. A pop-up window appears which asks you to confirm your deletion. Click OK to delete the selected user.

• Edit User Permissions – Select a user and click Edit User Permissions on the ribbon. In the Edit Permissions interface, modify the permission levels in the Permissions section. Then, click Save on the ribbon to save your changes and go back to the View Details page. The edited record is highlighted.

• Remove User Permissions – Select a user and click Remove User Permissions on the ribbon. A pop-up window appears which asks you to confirm your operation. Click OK to remove the user’s permissions.

• Edit Group Permissions – Select a group and click Edit Group Permissions on the ribbon. In the Edit Permissions interface, modify the permission levels in the Permissions section. Then, click Save to save your changes and go back to the View Details page. The edited record is highlighted.

• Remove Group Permissions – Select a group and click Remove Group Permissions on the ribbon. A pop-up window appears which asks you to confirm your operation. Click OK to remove the group’s permissions and go back to the View Details page. The edited record is highlighted.

• Delete User – Click the display name of a group and you are brought to a new window. Select one or more group users and click Delete User on the ribbon. A pop-up window appears which asks you to confirm your deletion. Click OK to delete the selected users.

• Remove User From Group – Click the display name of a group and you are brought to a new window. Select one or more group users and click Remove User From Group on the ribbon. A pop-up window appears which asks you to confirm your operation. Click OK to remove the selected users from the group.

• Change Group – Click the display name of a group and you are brought to a new window. Select one or more group users and click Change Group on the ribbon.

In the Change Group interface, select the group that you wish to change to and select

the method for changing group, Copy or Move. Copy will copy the users to the new

group. Move will remove the users from the previous group and then add the users to

the new group. Click Save to save your changes and go back to the View Details page.

The edited record is highlighted.

Selecting Permissions to Remove

If you view details of a Change Permissions task for removing permissions, all retrieved permissions of

the request scope are selected in the Review the Report window.

Deselect one or more pieces of permissions if you do not want to remove these permissions. Click Finish

on the ribbon to confirm your selection.

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Managing Quota Threshold Tasks

When site collection quota threshold is enabled in a site collection policy and the site collection policy is

applied to a Governance Automation managed site collection. If the site collection’s storage reaches the

percentage of the configured quota, a task will be assigned to the approver defined in the approval

process. The approver can choose to change the site collection quota or ignore the quota threshold.

You can perform the following actions on the quota threshold tasks:

• View Task – Click a task title to see detailed information. In the View Details window, you have the following options:

o Change Quota – Click Change Quota on the ribbon and a pop-up window appears. Select a new quota template from the drop-down list and click OK to save the changes.

o Ignore – Click Ignore on the ribbon to ignore the site collection quota threshold. In the pop-up window, set the time internal to remind the threshold if the size of the site collection still exceeds the quota threshold after the time interval. Enter a number in the text box and select Day(s) or Week(s) from the drop-down list. Then, click OK to save your configurations.

• Change Quota – Select a task and click Change Quota on the ribbon and a pop-up window appears. Select a new quota template from the drop-down list and click OK to save the changes.

• Ignore – Select a task and click Ignore on the ribbon to ignore the site collection quota threshold. In the pop-up window, set the time internal to remind the threshold if the size of the site collection still exceeds the quota threshold after the time interval. Enter a number in the text box and select Day(s) or Week(s) from the drop-down list. Then, click OK to save your configurations.

Managing Content Database Policy Threshold Warning Task

If a site collection quota change request is approved by the approver and the changed quota make the

corresponding content database exceed the database size threshold that is configured in a content

database policy, a warning task will be assigned to the database contact to remind this and provide

recommended solutions. The task title is named in the format of Content database [content database

name] is going to exceed its policy threshold of [maximum database size] GB.

You can perform the following actions on the content database policy threshold warning task:

• View Task – Click a task title to see detailed information. In the View Details window, you have the following options:

o View recommended solutions – The recommended solutions are provided in Summary.

o OK – Click OK to finally approve the site collection quota change request.

o Reject – Click Reject to reject the site collection quota change request.

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• OK – Select a task and click OK on the ribbon to finally approve the site collection quota change request. Enter some comments for this task for further reference in the pop-up window. Click OK to finish this task or click Cancel to return to the All Tasks interface.

• Reject – Select a task and click Reject on the ribbon to reject the site collection quota change request. Enter some comments for this task for further reference in the pop-up window. Click OK to finish this task, or click Cancel to return to the All Tasks interface.

Managing Election Tasks

When an election process is started in a Site Collection Report, an election task is generated and

assigned to the nominees.

You can perform the following actions on an election task:

• View Task – Click a task title to see detailed information. In the View Details window, you have the following options:

o Claim – Click Claim to become the primary site collection contact. In the pop-up window, define a user as the secondary site collection contact by entering a username in the text box. Then, click OK to save your configurations.

o Decline – Click Decline to decline to become the primary site collection contact. A pop-up window appears to ask for your confirmation. Click OK to confirm your action.

• Claim – Select a task and click Claim to become the primary site collection contact. In the pop-up window, define a user as the secondary site collection contact by entering a username in the text box. Then, click OK to save your configurations.

• Decline – Select a task and click Decline to decline to become the primary site collection contact. A pop-up window appears to ask for your confirmation. Click OK to confirm your action.

Managing Error Tasks

You can perform the following actions on the error tasks assigned to administrators:

• View Task – Click a task title to see detailed information. In the View Details window, click Retry on the ribbon to re-run the failed section or click Skip to continue the workflow past the failed section.

• Retry – For a task which contains failed section, select the task and then click Retry on the ribbon to re-run the failed section.

• Skip – For a task which contains failed section, select the task and then click Skip on the ribbon to continue the workflow past the failed section.

Monitoring All Recertification Assignments

All Recertification Assignments centralize all of the recertification tasks assigned to any users, providing

you with one interface to process all current recertification tasks or review previous recertification tasks.

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To access All Recertification Assignments, click All Recertification Assignments in the Monitoring and

Reporting page. To exit out of All Recertification Assignments, click Back.

You can change the number of recertification tasks displayed per page, as well the order they are

displayed in. To change the number of tasks displayed per page, select the desired number from the

Show rows drop-down list in the upper-right corner. To sort the tasks, click the sort ( ) button in a

column heading, then select Ascending or Descending.

You can customize how the recertification tasks are displayed in the following ways:

• Search – Allows you to filter tasks displayed by the keyword you designate. You can search desired tasks by the following columns: Request Summary and Assign To. Only the content in the column displayed in the current view can be searched.

• Manage Columns ( ) – You can manage which columns are displayed in the list so that

only information you want to see is displayed. Click the manage columns ( ) button, then select the checkbox next to the column name to have that column shown in the list.

• Filter ( ) – This allows you to filter which item in the list is displayed. Click the filter ( ) button of the column you want to filter, then select the checkbox next to the item name to have that item shown in the list.

Permission Recertification Tasks

When a recertification profile with the permission recertification enabled is selected in a site collection

policy and the site collection policy is applied to a Governance Automation managed site collection, a

permission recertification task will be generated. This task contains the searched permissions of users

and groups for this site collection. Approvers can then modify the permissions in Governance

Automation and the permission changes will be updated to SharePoint.

You can perform the following actions on the permission recertification task:

• View Task – Click a request summary to see detailed information. In the task details page, you have the following options:

*Note: If any available option is not displayed on the ribbon, click the ellipsis ( )

button, and then select that option.

o Filter Records – Select User Based or Object Based from the drop-down list in the top left-hand corner. By default, All Results is selected.

o Submit – Click Submit on the ribbon to submit the changes and apply all of your configurations to SharePoint.

o Reassign (This button is only visible to approvers when Allow approvers to reassign tasks to others is selected in the corresponding approval process) –Click Reassign on the ribbon to reassign the task. In the pop-up window, enter the name of a user or group that will become the approver. Click OK.

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o Reset – Click Reset on the ribbon to select Reset My Changes or Reset All Changes.

▪ Reset My Changes – Your changes on the task will be cleared.

▪ Reset All Changes – All users’ changes on the task will be cleared.

o Export Report – Click Export Report on the ribbon to export the permission recertification report. In the Export Report window, choose to export the report to local machine or export the report to an export location, then select a report format (CSV, XLS, or XLSX). Click Export to Datasheet to export the report.

o View History – Click View History to view the previous versions of the task.

o Delete User – Select a user and click Delete User on the ribbon. A pop-up window appears which asks you to confirm your deletion. Click OK to delete the selected user.

o Edit User Permissions – Select a user and click Edit User Permissions on the ribbon. In the Edit Permissions interface, modify the permission levels in the Permissions section. Then, click Save on the ribbon to save your changes and go back to the View Details page. The edited record is highlighted.

o Remove User Permissions – Select a user and click Remove User Permissions on the ribbon. A pop-up window appears which asks you to confirm your operation. Click OK to remove the user’s permissions.

o Edit Group Permissions – Select a group and click Edit Group Permissions on the ribbon. In the Edit Permissions interface, modify the permission levels in the Permissions section. Then, click Save to save your changes and go back to the View Details page. The edited record is highlighted.

o Remove Group Permissions – Select a group and click Remove Group Permissions on the ribbon. A pop-up window appears which asks you to confirm your operation. Click OK to remove the group’s permissions and go back to the View Details page. The edited record is highlighted.

o Delete User – Click the display name of a group and you are brought to a new window. Select one or more group users and click Delete User on the ribbon. A pop-up window appears which asks you to confirm your deletion. Click OK to delete the selected users.

o Remove User From Group – Click the display name of a group and you are brought to a new window. Select one or more group users and click Remove User From Group on the ribbon. A pop-up window appears which asks you to confirm your operation. Click OK to remove the selected users from the group.

o Change Group – Click the display name of a group and you are brought to a new window. Select one or more group users and click Change Group on the ribbon.

In the Change Group interface, select the group that you wish to change to and

select the method for changing group, Copy or Move. Copy will copy the users

to the new group. Move will remove the users from the previous group and

then add the users to the new group. Click Save to save your changes and go

back to the View Details page. The edited record is highlighted.

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• Submit – Select a task and click Submit on the ribbon to submit changes of the task. Enter comments for this task for further reference in the pop-up window. Click OK to finish this task or click Cancel to return to the All Recertification Assignment interface.

• Reassign (This button is only visible to approvers when Allow approvers to reassign tasks to others is selected in the corresponding approval process) – Select a task, and click Reassign on the ribbon to reassign the task. In the pop-up window, enter the name of a user or group that will become the approver. Click OK.

Metadata Recertification Tasks

When a recertification profile with metadata recertification enabled is selected in a site collection policy

and the site collection policy is applied to a Governance Automation managed site collection, a

metadata recertification task will be generated. This task contains the searched metadata of this site

collection. Approvers can then modify the metadata values in Governance Automation and the

metadata value changes will be updated to SharePoint.

You can perform the following actions on the metadata recertification task:

• View Task – Click a request summary to see detailed information. In the task details page, you have the following options:

o Edit – Select a metadata name and click Edit. In the Edit window, modify the metadata value, then click Save to save your changes.

o Submit – Click Submit on the ribbon to submit the changes and apply all of your configurations to SharePoint.

o Reassign (This button is only visible to approvers when Allow approvers to reassign tasks to others is selected in the corresponding approval process) –Click Reassign on the ribbon to reassign the task. In the pop-up window, enter the name of a user or group that will become the approver. Click OK.

o Reset – Click Reset on the ribbon to select Reset My Changes or Reset All Changes.

▪ Reset My Changes – Your changes on the task will be cleared.

▪ Reset All Changes – All users’ changes on the task will be cleared.

o View History – Click View History to view the previous versions of the task.

• Submit – Select a task and click Submit on the ribbon to submit changes of the task. Enter comments for this report for further reference in the pop-up window. Click OK to finish this task or click Cancel to return to the All Recertification Assignment interface.

• Reassign (This button is only visible to approvers when Allow approvers to reassign tasks to others is selected in the corresponding approval process) – Select a task, and click Reassign on the ribbon to reassign the task. In the pop-up window, enter the name of a user or group that will become the approver. Then, click OK.

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Ownership Recertification Tasks

When a recertification profile with the ownership recertification enabled is selected in a site collection

policy and the site collection policy is applied to a Governance Automation managed site collection, an

ownership recertification task will be generated. This task is an election task. Approvers can claim or

decline to become the primary site collection contact.

You can perform the following actions on the ownership recertification task:

• View Task – Click a request summary to see detailed information. In the task details page, you have the following options:

o Claim – Click Claim to become the primary site collection contact. In the pop-up window, define a user as the secondary site collection contact by entering a username in the text box. Then, click OK to save your configurations.

o Decline – Click Decline to decline to become the primary site collection contact. A pop-up window appears to ask for your confirmation. Click OK to confirm your action.

• Claim – Select a report and click Claim to become the primary site collection contact. In the pop-up window, define a user as the secondary site collection contact by entering a username in the text box. Then, click OK to save your configurations.

• Decline – Select a report and click Decline to decline to become the primary site collection contact. A pop-up window appears to ask for your confirmation. Click OK to confirm your action.

Audit Reports

Audit Reports provide detailed information on all Administrator, service request and approval process

activities:

• User Activity Report ‒ Provides detailed information on all actions performed by Governance Automation users, including administrators and business users. User Activity Report allows you to inspect the behaviors done by users when errors occur for furnishing useful information, or check the legality of user behaviors.

• Service Request Report ‒ Provides detailed information for all of the submitted service requests. Service Request Report gives you overall usage information of service requests, which you can gather for IT chargeback and budgeting.

• Approval Process Report ‒ Provides all of the processing tracks of the approval processes for the service request once they are approved. Approval Process Report allows you to view the detailed information of service requests for reviewing the performances, which can help you optimize your service request flow and make the processes more efficient.

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User Activity Report

To access User Activity Report, in the Monitoring and Reporting page, click User Activity Report. Click

Back to close the User Activity Report interface.

Managing User Activity Report

To change the number of user activities displayed per page, select the desired number from the Show

rows drop-down list in the upper right-hand corner. To sort the user activities, click the sort ( ) button

in a column heading, then select Ascending or Descending.

You can customize how the report is displayed in the following ways:

• Search – Allows you to filter user activities displayed by the keyword you designate. You can search desired reports by the following columns: User and Object Instance Name. Only the content in the column displayed in the current view can be searched.

• Manage Columns ( ) – You can manage which columns are displayed in the list so that

only information you want to see is displayed. Click the manage columns ( ) button, then select the checkbox next to the column name to have that column shown in the list.

• Filter ( ) – This allows you to filter which item in the list is displayed. Click the filter ( ) button in the column heading you want to filter, then select the checkbox next to the item name to have that item shown in the list.

Filtering User Activity Report

To filter User Activity Report, complete the following steps:

1. Click Set Filter on the ribbon to customize the report. You can set filters for Object, Type, Action, Time Range, and User.

2. To set new filter rules, click Reset and the previous filter rules are cleared to the default ones.

3. Click Generate Report to retrieve data for your report, or click Export to Datasheet to export the report to storage.

a. In the Export Report window, choose to export the report to a local path or an export

location to store the report.

b. If you choose Export to an export location, select an export location from the drop-

down list, or click Add New Location to redirect to the New Export Location interface to

create a new one.

c. In the Report Format field, select CSV, XLS, or XLSX as the report format from the drop-

down list.

d. Click Export to Datasheet to generate the report, or close the pop-up window to return

to the previous interface.

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Exporting User Activity Report

To export the currently displayed report, click Export Report on the ribbon, select your desired Report

Export Location and Report Format, then click Export to Datasheet.

Service Request Report

To access Service Request Report, in the Monitoring and Reporting page, click Service Request Report.

Click Back to close the Service Request Report interface.

Managing Service Request Report

To change the number of requests displayed per page, select the desired number from the Show rows

drop-down list in the upper right-hand corner. To sort the requests, click the sort ( ) button in a

column heading, then select Ascending or Descending.

You can customize how the report is displayed in the following ways:

• Search – Allows you to filter requests displayed by the keyword you designate. You can search desired requests by the following columns: Request ID, Service Name, Request Summary, Requester, and Assign To. Only the content in the column displayed in the current view can be searched.

• Manage Columns ( ) – You can manage which columns are displayed in the list so that

only information you want to see is displayed. Click the manage columns ( ) button, then select the checkbox next to the column name to have that column shown in the list.

• Filter ( ) – This allows you to filter which item in the list is displayed. Click the filter ( ) button in the column heading you want to filter, then select the checkbox next to the item name to have that item shown in the list.

Filtering Service Request Report

To filter Service Request Report, complete the following steps:

1. Click Set Filter on the ribbon to customize the report. You can set filters for Service Type, Service Name, Requester, Assign To, and Time Range.

2. To set new filter rules, click Reset and the previous filter rules are cleared to the default ones.

3. Click Generate Report to retrieve data for your report, or click Export to Datasheet to export the report to storage.

a. In the Export Report window, choose to export the report to a local path or an export

location to store the report.

b. If you choose Export to an export location, select an export location from the drop-

down list, or click Add New Location to redirect to the New Export Location interface to

create a new one.

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c. In the Report Format field, select CSV, XLS, or XLSX as the report format from the drop-

down list.

d. Click Export to Datasheet to generate the report, or close the pop-up window to return

to the previous interface.

Exporting Service Request Report

To export the currently displayed report, click Export Report on the ribbon, select a Report Export

Location and Report Format, then click Export to Datasheet.

Approval Process Report

To access Approval Process Report, in the Monitoring and Reporting page, click Approval Process

Report. Click Back to close the Approval Process Report interface.

Managing Approval Process Report

You can change the number of records displayed per page, as well the order they are displayed in. To

change the number of records displayed per page, select the desired number from the Show rows drop-

down list in the upper-right corner. To sort the records, click the sort ( ) button in a column heading,

then select Ascending or Descending.

You can customize how the report is displayed in the following ways:

• Search – Allows you to filter records displayed by the keyword you designate. You can search desired records by the following columns: Request ID, Request Summary, and User. Only the content in the column displayed in the current view can be searched.

• Manage Columns ( ) – You can manage which columns are displayed in the list so that

only information you want to see is displayed. Click the manage columns ( ) button, then select the checkbox next to the column name to have that column shown in the list.

• Filter ( ) – This allows you to filter which item in the list is displayed. Click the filter ( ) button in the column heading you want to filter, then select the checkbox next to the item name to have that item shown in the list.

Filtering Approval Process Report

To filter Approval Process Report, complete the following steps:

1. Click Set Filter on the ribbon to customize the report. You can set filters for Service Type, Request Summary, Status, Time Range, and User.

2. To set new filter rules, click Reset and the previous filter rules are cleared to the default ones.

3. Click Generate Report to retrieve data for your report, or click Export to Datasheet to export the report to storage.

a. In the Export Report window, choose to export the report to a local path or an export

location to store the report.

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b. If you choose Export to an export location, select an export location from the drop-

down list, or click Add New Location to redirect to the New Export Location interface to

create a new one.

c. In the Report Format field, select CSV, XLS, or XLSX as the report format from the drop-

down list.

d. Click Export to Datasheet to generate the report, or close the pop-up window to return

to the previous interface.

Exporting Approval Process Report

To export the currently displayed report, click Export Report on the ribbon, select a Report Export

Location and Report Format, then click Export to Datasheet.

Administration Reports

Administration Reports provide basic information on all site collections, sites, content databases, and

Office 365 groups managed by Governance Automation.

Site Collection Report

Site Collection Report provides a list of site collections managed by Governance Automation and the

corresponding information, including site collection URL, title, policy, site collection template, primary

site collection administrator, secondary site collection administrator, primary site collection contact,

secondary site collection contact, and so on. You can customize how the report displays the data by

considerable criteria.

To access Site Collection Report, on the Monitoring and Reporting page, click Site Collection Report.

Managing Site Collection Report

To change the number of site collections displayed per page, select the desired number from the Show

rows drop-down list in the upper right-hand corner. To sort the site collections, click the sort ( ) button

in a column heading, then select Ascending or Descending.

You can customize how the report is displayed in the following ways:

• Search – Allows you to filter site collections displayed by the keyword you designate. You can search for desired site collections by the following columns: URL, Title, Description, Primary Site Collection Administrator, Secondary Site Collection Administrator, Primary Site Collection Contact, Secondary Site Collection Contact, Additional Site Collection Administrators, and custom metadata. Only the content in the column displayed in the current view can be searched.

• Manage Columns ( ) – You can manage which columns are displayed in the list so that

only information you want to see is displayed. Click the manage columns ( ) button,

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then select the checkbox next to the column name to have that column shown in the list.

• Filter ( ) – This allows you to filter which item in the list is displayed. Click the filter ( ) button in the column heading you want to filter, then select the checkbox next to the item name to have that item shown in the list.

• Refresh – Click Refresh to refresh the displayed site collections.

Filtering Site Collection Report

To filter Site Collection Report, complete the following steps:

1. Click Set Filter on the ribbon to customize the report. You can set filters for URL, Farm Name, Site Template, Site Collection Size, Status, Policy, Primary Site Collection Contact, and Metadata. Filter by Expiration Date is also supported. Set Inactivity Threshold Date and Lease Period Expiration Date to add more filter rules.

*Note: Metadata with the Yes/No or Date and Time type is unsupported for filtering.

2. To set new filter rules, click Reset and the previous filter rules are cleared to the default ones.

3. Click Generate Report to retrieve data for your report, or click Export to Datasheet to export the report to storage.

a. In the Export Report window, choose to export the report to a local path or an export

location to store the report.

b. If you choose Export to an export location, select an export location from the drop-

down list, or click Add New Location to redirect to the New Export Location interface to

create a new one.

c. In the Report Format field, select CSV, XLS, or XLSX as the report format from the drop-

down list.

d. Click Export to Datasheet to generate the report file.

Exporting Site Collection Report

To export the currently displayed report, click Export Report on the ribbon, select your desired Report

Export Location and Report Format, then click Export to Datasheet.

Electing Site Collection Contacts

The election process provides an automated nomination process to determine the primary site

collection contact and the secondary site collection contact. The election tasks will be assigned to the

nominated users, who in turn will decide if they want to be accountable for the site collection and

become the primary site collection contact. The secondary site collection contact will be defined by the

primary site collection contact during the election process.

The following screenshot shows the nominees of each election stage:

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Figure 24: The nominees of each election stage.

• Primary Site Collection Contact – The election task will be assigned to the current primary site collection contact.

• Secondary Site Collection Contact – The election task will be assigned to the current secondary site collection contact.

• Primary and Secondary Site Collection Administrators – The election task will be assigned to the current primary site collection administrator and secondary site collection administrator.

• Configurable Number of Users within Site Collection Administrators – A certain number of site collection administrators will be randomly selected as the assignees.

*Note: By default, three site collection administrators will be selected in random. To

modify the number of site collection administrators, complete the following steps:

i. Go to the Governance Automation server.

ii. Navigate to …\AvePoint\GovernanceAutomation\Config.

iii. Find the Global.config file and open it with Notepad.

iv. Go to the ElectionRandomAssigneesCount attribute.

v. Find the AdministratorGroup node and modify the value to your desired

number.

vi. Save and close the file.

vii. Navigate to Start > Administrative Tools > Services; restart Governance

Automation Timer Service and Governance Automation Workflow Service.

viii. Navigate to Internet Information Services (IIS) Manager > Application Pools.

ix. Right-click the application pool for Governance Automation and select

Recycle…. The Governance Automation application pool restarts.

• Configurable Number of Users with Full Control Permission – A certain number of users that have Full Control permission to the site collection will be randomly selected as the assignees.

*Note: By default, three users with the Full Control permission will be selected in

random. To modify the number of Full Control permission users, complete the following

steps:

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i. Go to the Governance Automation server.

ii. Navigate to …\AvePoint\GovernanceAutomation\Config.

iii. Find the Global.config file and open it with Notepad.

iv. Go to the ElectionRandomAssigneesCount attribute.

v. Find the FullControlPermission node and modify the value to your desired

number.

vi. Save and close the file.

vii. Navigate to Start > Administrative Tools > Services; restart Governance

Automation Timer Service and Governance Automation Workflow Service.

viii. Navigate to Internet Information Services (IIS) Manager > Application Pools.

ix. Right-click the application pool for Governance Automation and select

Recycle…. The Governance Automation application pool restarts.

• Configurable Number of Users with Contribute Permission – A certain number of users that have the Contribute permission to the site collection will be randomly selected as the assignees.

*Note: By default, three users with the Contribute permission will be selected in

random. To modify the number of Contribute permission users, complete the following

steps:

i. Go to the Governance Automation server.

ii. Navigate to …\AvePoint\GovernanceAutomation\Config.

iii. Find the Global.config file and open it with Notepad.

iv. Go to the ElectionRandomAssigneesCount attribute.

v. Find the ContributePermission node and modify the value to your desired

number.

vi. Save and close the file.

vii. Navigate to Start > Administrative Tools > Services; restart Governance

Automation Timer Service and Governance Automation Workflow Service.

viii. Navigate to Internet Information Services (IIS) Manager > Application Pools.

ix. Right-click the application pool for Governance Automation and select

Recycle…. The Governance Automation application pool restarts.

If a nominee of the last stage declines to be the primary site collection contact, or the nominee does not

handle the election task when the duration is reached, the election task will be assigned to the nominee

of the next stage. Once a nominee claims to become the primary site collection contact, the election

process completes.

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If a user declines to be the primary site collection contact in the previous election stages, but this user is

also randomly selected as the nominee in any of the following election stages, the election task will not

be assigned to this user and Governance Automation will randomly select another user to replace this

user. If a user does not handle the election task in the previous election stages, but this user is also

randomly selected as the nominee in any of the following election stages, the election task will be

assigned to this user again.

Complete the following steps to start the election process:

1. Select one or more site collections and click Elect Contact on the ribbon.

2. In the Elect Contact window, configure the following settings:

a. Election Task Title – Enter the title for the election task that will be generated during

the election process.

b. Exclude Users/Groups (optional) – Enter the names of the users or groups that will be

excluded during the election process.

c. E-mail Settings (optional) – Choose to notify the nominee when the election task is

assigned. Select the Notify the user when the election task is assigned checkbox, then

select an e-mail template that will be used to send the task notification e-mail. By

default, the Built-in Election Task E-mail Template is selected.

d. Duration – Set the duration for each election stage. If the nominee does not handle the

election task during the duration, the election task will be assigned to the nominee of

next election stage. Enter a number in the text box, then select Day(s) or Week(s) as the

unit.

If desired, select the Remind the nominated user before each nomination task expires

checkbox to send notification e-mail to the nominee before each nomination task

expires. Select an e-mail template that will be used to send the notification e-mail. By

default, the Built-in Task Reminder E-mail Template is selected. Then, define the time

to send the notification e-mail before the task expiration. Enter a number in the text box

and select Day(s) or Week(s) as the unit.

With the Remind the nominated user before each nomination task expires checkbox

selected, you can also select Enable recurrent reminder to re-send the notification e-

mail in schedule. By default, the notification e-mail is sent every day.

3. Click Submit to start the election process or click Cancel to go back to the Site Collection Report interface without starting the election process.

Specifying Site Collection Contacts

In Site Collection Report, you can define the primary site collection contact and the secondary site

collection contact.

Complete the following steps to define the site collection contacts:

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1. Select one or more site collections and click Specify Contact on the ribbon.

2. In the Specify Contact window, configure the following settings:

a. Primary Site Collection Contact – Select a user that will be set as the primary site

collection contact of the selected site collections.

You can also send an e-mail to notify the user when the site collection is assigned. Select

the Notify the contact when the site collection is assigned checkbox and select an e-

mail template from the drop-down list. By default, the Built-in Object Ownership

Notification E-mail Template is selected.

b. Secondary Site Collection Contact – Select a user that will be set as the secondary site

collection contact of the selected site collections.

You can also send an e-mail to notify the user when the site collection is assigned. Select

the Notify the contact when the site collection is assigned checkbox and select an e-

mail template from the drop-down list. By default, the Built-in Object Ownership

Notification E-mail Template is selected.

3. Click Submit to save your configurations or click Cancel to go back to the Site Collection Report interface without saving any configurations.

Applying a Site Collection Policy

In Site Collection Report, you can apply a site collection policy to site collections in bulk.

Complete the following steps to apply a site collection policy:

1. Select one or more site collections and click Apply Policy on the ribbon.

*Note: The Apply Policy feature is only available to active and without ongoing process site

collections. Apply Policy will disappear if the selected site collections exist in different

SharePoint farms.

2. In the Apply Policy window, configure the following settings:

a. Site Collection Policy – Select a site collection policy from the drop-down list. This site

collection policy will be applied to the selected site collections.

b. Export Location – Select an export location from the drop-down list or click Add New

Location to create a new one. This export location will be used to store the apply site

collection policy result report.

c. File Type of the Exported Report – Select XLS or XLSX as the file type from the drop-

down list.

3. Click Submit to save your configurations and go back to the Site Collection Report interface. Governance Automation will start to apply the site collection policy in the backend. You can click Refresh on the ribbon to view the site collection policy name. When the target policy name is displayed under the Policy column, the site collection policy is applied successfully.

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4. Go to the export location and you can view the apply site collection policy result report, including the following information: URL, Initial Policy, Target Policy, Result, and Comment.

Setting Notification Recipients

In Site Collection Report, you can set notification recipients to send a custom notification e-mail to

multiple users.

Complete the following steps to set notification recipients:

1. Select one or more site collections and click Notification Recipients on the ribbon.

2. In the Notification Recipients window, enter the names of users and/or groups that will be notified. You can also enter $ to select the following roles:

• $Primary Site Collection Contact

• $Secondary Site Collection Contact

• $Primary Site Collection Administrator

• $Secondary Site Collection Administrator

• $Additional Site Collection Administrators

• $Approvers

• $Site Members

• $Site Owners

• $Designers

• $Hierarchy Managers

• $Quick Deploy Users

• $SharePoint Group (“Group Name”)

• $Site Collection Metadata ("Metadata Name")

For detailed descriptions of roles, refer to Appendix A: Supported Variable Roles.

3. Click Start to Edit E-mail on the ribbon; the e-mail application on your server is opened with the recipients filled in the To… field.

4. Enter your desired e-mail subject and body, and then send the e-mail.

Site Report

Site Report provides a list of sites managed by Governance Automation and the corresponding

information, including site URL, title, site template, primary site contact, and secondary site contact. You

can customize how the report displays the data by considerable criteria.

To access Site Report, on the Monitoring and Reporting page, click Site Report.

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Managing Site Report

To change the number of sites displayed per page, select the desired number from the Show rows drop-

down list in the upper right-hand corner. To sort the sites, click the sort ( ) button in a column heading,

then select Ascending or Descending.

You can customize how the report is displayed in the following ways:

• Search – Allows you to filter sites displayed by the keyword you designate. You can search for desired sites by the following columns: URL, Title, and custom metadata. Only the content in the column displayed in the current view can be searched.

• Manage Columns ( ) – You can manage which columns are displayed in the list so that

only information you want to see is displayed. Click the manage columns ( ) button, then select the checkbox next to the column name to have that column shown in the list.

• Filter ( ) – This allows you to filter which item in the list is displayed. Click the filter ( ) button in the column heading you want to filter, then select the checkbox next to the item name to have that item shown in the list.

Filtering Site Report

To filter Site Report, complete the following steps:

1. Click Set Filter on the ribbon to customize the report. You can set filters for URL, Site Template, Status, Primary Site Contact, and Metadata.

*Note: Metadata with the Yes/No or Date and Time type is unsupported for filtering.

2. To set new filter rules, click Reset and the previous filter rules are cleared to the default ones.

3. Click Generate Report to retrieve data for your report, or click Export to Datasheet to export the report to storage.

a. In the Export Report window, choose to export the report to a local path or an export

location to store the report.

b. If you choose Export to an export location, select an export location from the drop-

down list, or click Add New Location to redirect to the New Export Location interface to

create a new one.

c. In the Report Format field, select CSV, XLS, or XLSX as the report format from the drop-

down list.

d. Click Export to Datasheet to generate the report file.

Exporting Site Report

To export the currently displayed report, click Export Report on the ribbon, select your desired Report

Export Location and Report Format, then click Export to Datasheet.

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Content Database Report

Content Database Report provides a list of content databases created by Governance Automation and

the corresponding information, including content database policy name, database contact, current

quota of a database, current size of a database, maximum size of a database, current number of site

collections, and maximum number of site collections. You can customize how the report displays the

data by considerable criteria.

To access Content Database Report, on the Monitoring and Reporting page, click Content Database

Report.

Managing Content Database Report

To change the number of content databases displayed per page, select the desired number from the

Show rows drop-down list in the upper-right corner. To sort the content databases, click the sort ( )

button in a column heading, then select Ascending or Descending.

You can customize how the report is displayed in the following ways:

• Search – Allows you to filter content databases displayed by the keyword you designate. You can search for desired content databases by the following columns: Name and Policy Name. Only the content in the column displayed in the current view can be searched.

• Manage columns ( ) – You can manage which columns are displayed in the list so that

only information you want to see is displayed. Click the manage columns ( ) button, then select the checkbox next to the column name to have that column shown in the list.

• Filter items ( ) – This allows you to filter which item in the list is displayed. Click the

filter items ( ) button in the column heading you want to filter, then select the checkbox next to the item name to have that item shown in the list.

Filtering Content Database Report

To filter Content Database Report, complete the following steps:

1. Click Set Filter on the ribbon to customize the report. You can set filters for Name, Policy Name, and Database Contact.

2. To set new filter rules, click Reset and the previous filter rules are cleared to the default ones.

3. Click Generate Report to retrieve data for your report, or click Export to Datasheet to export the report to storage.

a. In the Export Report window, choose to export the report to a local path or an export

location to store the report.

b. If you choose Export to an export location, select an export location from the drop-

down list, or click Add New Location to redirect to the New Export Location interface to

create a new one.

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c. In the Report Format field, select CSV, XLS, or XLSX as the report format from the drop-

down list.

d. Click Export to Datasheet to generate the report file.

Exporting Content Database Report

To export the currently displayed report, click Export Report on the ribbon, select your desired Report

Export Location and Report Format, then click Export to Datasheet.

Office 365 Group Report

Office 365 Group Report provides a list of Office 365 groups managed by Governance Automation and

the corresponding information, including groups name, group ID, primary group contact, secondary

group contact, group owners, group policy, group team site quota, group lease expiration time, and so

on.

To access Office 365 Group Report, on the Monitoring and Reporting page, click Office 365 Group

Report.

Managing Office 365 Group Report

To change the number of Office 365 groups displayed per page, select the desired number from the

Show rows drop-down list in the upper right-hand corner. To sort the Office 365 groups, click the sort

( ) button in a column heading, then select Ascending or Descending.

You can customize how the report is displayed in the following ways:

• Search – Allows you to filter Office 365 groups displayed by the keyword you designate. You can search for desired Office 365 groups by the following columns: Group Name, Group ID, Primary Group Contact, Secondary Group Contact, Group Owners, Group Team Site URL, and custom metadata. Only the content in the column displayed in the current view can be searched.

• Manage Columns ( ) – You can manage which columns are displayed in the list so that

only information you want to see is displayed. Click the manage columns ( ) button, then select the checkbox next to the column name to have that column shown in the list.

• Filter ( ) – This allows you to filter which item in the list is displayed. Click the filter ( ) button in the column heading you want to filter, then select the checkbox next to the item name to have that item shown in the list.

• Refresh – Click Refresh to refresh the displayed Office 365 groups.

Filtering Office 365 Group Report

To filter Office 365 Group Report, complete the following steps:

1. Click Set Filter on the ribbon to customize the report. You can set filters for Group Name, Status, Group Owners, Group Lease Expiration Time, and Time Range (group created time).

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2. To set new filter rules, click Reset and the previous filter rules are cleared to the default ones.

3. Click Generate Report to retrieve data for your report, or click Export to Datasheet to export the report to storage.

a. In the Export Report window, choose to export the report to a local path or an export

location to store the report.

b. If you choose Export to an export location, select an export location from the drop-

down list, or click Add New Location to redirect to the New Export Location window to

create a new one.

c. In the Report Format field, select CSV, XLS, or XLSX as the report format from the drop-

down list.

d. Click Export to Datasheet to generate the report file.

Exporting Office 365 Group Report

To export the currently displayed report, click Export Report on the ribbon, select your desired Report

Export Location and Report Format, then click Export to Datasheet.

Applying an Office 365 Group Policy

In Office 365 Group Report, you can apply an Office 365 group policy to Office 365 groups in bulk.

Complete the following steps to apply an Office 365 group policy:

1. Select one or more Office 365 groups and click Apply Policy on the ribbon.

*Note: The Apply Policy feature is only available to active and without ongoing process Office

365 groups.

2. In the Apply Office 365 Group Policy window, configure the following settings:

a. Office 365 Group Policy – Select an Office 365 group policy from the drop-down list.

This Office 365 group policy will be applied to the selected Office 365 groups.

b. Export Location – Select an export location from the drop-down list or click Add New

Location to create a new one. This export location will be used to store the apply Office

365 group policy result report.

c. File Type of the Exported Report – Select XLS or XLSX as the file type from the drop-

down list.

3. Click Submit to save your configurations and go back to the Office 365 Group Report page. Governance Automation will start to apply the Office 365 group policy in the backend. You can click Refresh on the ribbon to view the Office 365 group policy name. When the target policy name is displayed under the Group Policy column, the Office 365 group policy is applied successfully.

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4. Go to the export location and you can view the apply Office 365 group policy result report, including the following information: Group Name, Initial Policy, Target Policy, Result, and Comment.

Dashboard

Governance Automation Dashboard allows you to monitor your SharePoint site collections/Governance

Automation user activities/Governance Automation tasks via bar charts, line charts, and pie charts.

To access Dashboard, click the Dashboard tab in Monitoring and Reporting.

Dashboard provides the following built-in pie charts:

• Site Collection Status – Displays the statuses of all Governance Automation managed site collections.

• Service Types of Tasks – Displays the service types of all Governance Automation tasks.

• Task Status Distribution – Displays the status distribution of all Governance Automation tasks.

Creating a Chart

To create a new chart, click Create New Chart on the ribbon and select Bar Chart, Line Chart, or Pie

Chart.

Creating a Bar Chart or Line Chart

In the Create Bar Chart or Create Line Chart window, configure the following settings:

1. Chart Title and Description – Enter a title and an optional description for the chart.

2. Data Source – Select a data source for the chart: Site Collection Report or User Activity Report.

*Note: The retrieved user activity data is within the time range set in User Activity Report’s

advanced filter.

3. Axis – Define the horizontal axis and vertical axis for the chart.

• Horizontal Axis – Select one type of data that is retrieved from the data source. This data will be used as the horizontal axis of the chart.

• Vertical Axis – Select Quantity as the vertical axis of the chart.

4. Legend – Choose whether or not to display the legend on the chart. If you choose Yes, configure the following settings:

a. Legend source – Select one type of data from the data source as the legend source.

b. Legend entries – Select one or more data values as the legend entries.

*Note: You can select five legend entries at most.

5. Click Save on the ribbon to create the chart.

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Creating a Pie Chart

In the Create Pie Chart window, configure the following settings:

1. Chart Title and Description – Enter a title and an optional description for the chart.

2. Data Source – Select a data source for the chart: Site Collection Report, User Activity Report, or All Tasks.

*Note: The retrieved user activity data is within the time range set in User Activity Report’s

advanced filter.

3. Statistic – Select one type of data that is retrieved from the data source. Values of the selected data will become the statistic displayed on the pie chart.

4. Click Save on the ribbon to create the chart.

Editing a Chart

To edit a chart, click the edit ( ) button at the upper-right corner of the chart. For information about

editing settings of a chart, refer to Creating a Chart.

Refreshing Charts

To refresh a chart, click the refresh ( ) button at the upper-right corner of the chart.

To refresh all charts, click Refresh on the ribbon.

Generating a Chart

If one of the following circumstances is met, a chart will be displayed with a time interval:

• The data source of the chart is All Tasks.

• The type of the data displayed on the chart is Date and Time.

You can click the calendar ( ) button to change start time and end time of the time interval, and then

click Generate Report to generate the report for the new time interval.

Deleting a Chart

To delete a chart, click the delete ( ) button at the upper-right corner of the chart. A confirmation

window appears and asks if you want to proceed with the deletion. Click OK to delete the chart, or click

Cancel to return to the Dashboard interface without deleting the chart.

Public Site Collection Directory

The Public Site Collection Directory allows administrators and business users to monitor business

ownership and usage. Note that site collections with the Publish to Directory metadata are considered

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as published site collections. For more information about the Publish to Directory metadata, see

Configuring Metadata.

To access the Public Site Collection Directory, click Public Site Collection Directory in the Administrator

landing page.

Managing Public Site Collection Directory Report

To change the number of site collections displayed per page, select the desired number from the Show

rows drop-down list in the upper right-hand corner. To sort site collections, click the sort ( ) button in a

column heading, then select Ascending or Descending.

You can customize how the directory report is displayed in the following ways:

• Search – Allows you to filter the site collections displayed by the keyword you designate. You can search desired site collections by the following columns: URL, Title, Description, Primary Site Collection Administrator, Secondary Site Collection Administrator, Primary Site Collection Contact, Secondary Site Collection Contact, Additional Site Collection Administrators, and custom metadata. Only the content in the column displayed in the current view can be searched.

• Manage Columns ( ) – You can manage which columns are displayed in the list so that

only information you want to see is displayed. Click the manage columns ( ) button, then select the checkbox next to the column name to have that column shown in the list.

• Filter ( ) – This allows you to filter which item in the list is displayed. Click the filter ( ) button in the column heading you want to filter, then select the checkbox next to the item name to have that item shown in the list.

Filtering Public Site Collection Directory Report

To filter Public Site Collection Directory Report, complete the following steps:

1. Click Set Filter on the ribbon to customize the directory report. You can set filters for URL, Farm Name, Site Template, Site Collection Size, Status, Policy, Primary Site Collection Contact, and Metadata. Filter by Expiration Date is also supported. Set Inactivity Threshold Date and Lease Period Expiration Date to add more filter rules.

*Note: Metadata with the Yes/No or Date and Time type is unsupported for filtering.

2. You can set your filter as a default global filter, and it will become the default view for users who do not customize the filter. To set the default global filter, click Set As Default Global Filter.

3. To clear customized filter rules and use the default filter rules, click Reset to Default Filter.

4. Click Generate Report to retrieve data for your report, or click Export to Datasheet to export the report to storage.

a. In the Export Report window, choose to export the report to a local path or an export

location to store the report.

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b. If you choose Export to an export location, select an export location from the drop-

down list, or click Add New Location to redirect to the New Export Location interface to

create a new one.

c. In the Report Format field, select CSV, XLS, or XLSX as the report format from the drop-

down list.

d. Click Export to Datasheet to generate the report, or close the pop-up window to return

to the previous interface.

Exporting Public Site Collection Directory Report

To export the currently displayed directory report, click Export Report on the ribbon, select your desired

Report Export Location and Report Format, then click Export to Datasheet.

My Sites

My Sites displays a list of site collections and sites that the logged-in user owns or is listed as a contact

on.

To access My Sites, click My Sites in the Administrator landing page.

Managing My Sites Reports

To change the number of site collections and sites displayed per page, select the desired number from

the Show rows drop-down list in the upper right-hand corner. To sort the site collections and sites, click

the sort ( ) button in a column heading, then select Ascending or Descending.

You can customize how the report is displayed in the following ways:

• Search – Allows you to filter site collections and sites displayed by the keyword you designate. You can search desired reports by the following columns: Title, URL, Description, Primary Site Collection Contact/Primary Site Contact, Secondary Site Collection Contact/Secondary Site Contact, Primary Site Collection Administrator, Secondary Site Collection Administrator, Additional Site Collection Administrators, and custom metadata. Only the content in the column displayed in the current view can be searched.

• Manage Columns ( ) – You can manage which columns are displayed in the list so that

only information you want to see is displayed. Click the manage columns ( ) button, then select the checkbox next to the column name to have that column shown in the list.

• Filter ( ) – This allows you to filter which item in the list is displayed. Click the filter ( ) button in the column heading you want to filter, then select the checkbox next to the item name to have that item shown in the list.

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Filtering My Sites Reports

To filter My Sites Reports, complete the following steps:

1. Click Set Filter on the ribbon to customize the report. You can set filters for URL, Status, Policy, Primary Site Collection Contact/Primary Site Contact, and Metadata. Filter by Lease Period Expiration Date is also supported.

*Note: Metadata with the Yes/No or Date and Time type is unsupported for filtering.

2. To set new filter rules, click Reset and the previous filter rules are cleared to the default ones.

3. Click Generate Report to retrieve data for your report, or click Export to Datasheet to export the report to store the report.

a. In the Export Report window, choose to export the report to a local path or an export

location to store the report.

b. If you choose Export to an export location, select an export location from the drop-

down list, or click Add New Location to redirect to the New Export Location interface to

create a new one.

c. In the Report Format field, select CSV, XLS, or XLSX as the report format from the drop-

down list.

d. Click Export to Datasheet to generate the report, or close the pop-up window to return

to the previous interface.

Exporting My Sites Reports

To export the currently displayed report, click Export Report on the ribbon, select your desired Report

Export Location and Report Format, then click Export to Datasheet.

Starting a Request for a Site Collection or Site

When viewing reports in My Sites, you can start a request for a specific site collection or site.

Select a site collection or site and click Start a Request on the ribbon. The service catalog appears

displaying services that meet the following conditions:

1. If you select a site collection, the following types of services may be available:

• Create Site

• Create Library/List

• Site Collection Lifecycle Management

• Change Site Collection Settings

• Change Site Collection Contact or Administrator

• Change Library/List Settings

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• Clone or Transfer User Permissions

• Grant Permissions

• Change Permissions

• Content Move

• Content Migration

If you select a site, the following types of services may be available:

• Create Site

• Create Library/List

• Site Collection Lifecycle Management

• Change Site Contact

• Change Site Metadata

• Change Library/List Settings

• Clone or Transfer User Permissions

• Change Permissions

• Change Permissions

• Content Move

2. Services that you are assigned the permission to use.

3. Services that you are assigned the permission to submit requests.

4. Services that contain the selected site collection or site in the service scope.

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Working with Requests and To-Do Lists

Governance Automation administrators can create services which contain a set of configured settings

for SharePoint operations that comply with your organization’s rules and standards. These services are

tailored to the needs of different purposes within your organization. You (IT Admins) will be able to

submit requests for these services according to your SharePoint needs. Once you submit a service

request, the approval process associated with each corresponding service will automatically notify the

designated persons in your organization of your request. After all approvers of a service have approved

the request, Governance Automation will perform the necessary operations to complete the service you

have requested.

If you are a designated approver for any service, a task will appear in your My Tasks list whenever a

request for the service is submitted and any/all previous approvers have approved the request. If you

are a designated approver for a recertification process, a recertification report will appear in your My

Recertification Report list according to the recertification schedule.

Starting a Request

A request is a form for a management operation in SharePoint and requires approval depending on the

service that is requested.

To start a request for a service, click Start a Request on the landing page of the Governance Automation

interface. You will be brought to the Start a Request interface, where all of the available services and

questionnaires (if configured and activated) are displayed in your catalog.

In the Start a Request interface:

1. Select a service by clicking the service name.

If you select a questionnaire, answer the questions and click Submit to submit your

questionnaire. The available services will display according to your answers.

2. Enter the necessary information in the configuring service request interface. The following fields are common request settings:

a. Request summary – Enter a brief summary for your new service request. It will be

displayed on your My Requests and your approvers' My Tasks list. It should reflect the

request's purpose or function to help your approvers to quickly understand the business

reason behind the request.

b. Notes to approvers (optional) – Enter the notes that will be displayed to your

approvers.

c. Add Attachment (optional) – Upload one or more attachments that will help your

approvers get more information. Click Add Attachment and browse a file in the pop-up

window.

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3. Choose one of the following options:

• Click Save As Draft to save the request as a draft and leave the configured settings for later use.

• Click Save and Submit to submit this request to the approvers.

• Click Cancel to return to the Start a Request interface without saving any configurations.

To search service requests or questionnaires, enter the service name keyword or questionnaire name

keyword in the provided text box in the upper-right corner. You can also filter service requests or

questionnaires according to the language by clicking the language filter icon on the ribbon. Then, select

the checkboxes next to the language names to have the services or questionnaires of these languages

shown.

Viewing My Requests

In My Requests, all of the Governance Automation requests that you have previously created are

displayed. They include Submitted Requests and Saved Requests.

To manage the requests, click View My Requests in the Administrator landing page.

Select the Submitted Requests or Saved Requests tab in the My Requests page to access the

corresponding request type.

Submitted Requests

In Submitted Requests, all of the requests submitted by you are displayed here. You may change the

number of submitted requests displayed per page, as well the order they are displayed in. To change the

number of submitted requests displayed per page, select the desired number from the Show rows drop-

down list in the upper right-hand corner. To sort the submitted requests, click the sort ( ) button in a

column heading, then select Ascending or Descending.

You can customize how the submitted requests are displayed in the following ways:

• Search – Allows you to filter service requests displayed by the keyword you designate. You can search desired reports by the following columns: Request ID, Request Summary, Service, and Assign To. Only the content in the column displayed in the current view can be searched.

• Manage Columns ( ) – You can manage which columns are displayed in the list so that

only information you want to see is displayed. Click the manage columns ( ) button, then select the checkbox next to the column name to have that column shown in the list.

• Filter ( ) – This allows you to filter which item in the list is displayed. Click the filter ( ) button of the column you want to filter, and then select the checkbox next to the item name to have that item shown in the list.

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You can perform the following actions in Submitted Requests:

• View Details – Click a request summary to see detailed information.

• Copy – Duplicate the existing service request to make minor changes in order to submit as a new service request. Select a submitted request. Click Copy on the ribbon, and make the desired modifications.

When you have finished making changes, choose one of the following options:

o Click Save As Draft to save the new service request as a draft.

o Click Save and Submit to submit this request to the approvers.

o Click Cancel to return to the My Requests interface without saving any configurations.

• View Request History (This button is only visible when Allow all approvers to edit this service request is selected in the corresponding service) – Select a request and click View Request History to view the versions of this request.

• Cancel Request – Select an uncompleted request that you wish to cancel and click Cancel Request on the ribbon.

• Refresh – Click Refresh on the ribbon to refresh information of your submitted requests.

Saved Requests

In Saved Requests, all of the requests saved by you without submitting are displayed here. You may

change the number of saved requests displayed per page, as well the order they are displayed in. To

change the number of saved requests displayed per page, select the desired number from the Show

rows drop-down list in the upper right-hand corner. To sort the saved requests, click the sort ( ) button

in a column heading, then select Ascending or Descending.

You can customize how the saved requests are displayed in the following ways:

• Search – Allows you to filter service requests displayed by the keyword you designate. You can search desired reports by the following columns: Request ID, Request Summary, and Service. Only the content in the column displayed in the current view can be searched.

• Manage Columns ( ) – You can manage which columns are displayed in the list so that

only information you want to see is displayed. Click the manage columns ( ) button, then select the checkbox next to the column name to have that column shown in the list.

• Filter ( ) – This allows you to filter which item in the list is displayed. Click the filter ( ) button of the column you want to filter, and then select the checkbox next to the item name to have that item shown in the list.

You can perform the following actions in saved requests:

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• View Details – Click a request summary to see detailed information.

• Edit – Select a saved request, then click Edit on the ribbon to edit the settings of this request.

When you have completed the configurations, choose one of the following options:

o Click Save to save all of the settings.

o Click Save and Submit to submit this request to the approvers.

o Click Cancel to return to the My Requests interface without saving any configurations.

• Delete – Select a saved request, then click Delete on the ribbon. A confirmation window will appear for this deletion. Click OK to delete the selected request, or click Cancel to return to the My Requests interface without deleting the selected request.

• Copy – Duplicate the existing service request to make minor changes in order to save as a new service request. Select a submitted request. Click Copy on the ribbon, and make the desired modifications.

When you have finished making changes, choose one of the following options:

o Click Save As Draft to save the new service request as a draft.

o Click Save and Submit to submit this request to the approvers.

o Click Cancel to return to the My Requests interface without saving any configurations.

• Refresh – Click Refresh on the ribbon to refresh information of your saved requests.

Viewing My To-Do List

When a service request is submitted and you are one of the approvers of this request, a task will be

assigned to you. When you are the approver of a recertification process and the recertification schedule

reaches, a recertification report will be assigned to you.

To view and manage your tasks and recertification reports, click View My To-Do List in the

Administrator landing page.

Viewing My Tasks

In the My Tasks tab, all of the tasks assigned to you are displayed here. You may change the number of

tasks displayed per page, as well the order they are displayed in. To change the number of tasks

displayed per page, select the desired number from the Show rows drop-down list in the upper right-

hand corner. To sort the tasks, click the sort ( ) button in a column heading, then select Ascending or

Descending.

You can customize how the tasks are displayed in the following ways:

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• Search – Allows you to filter tasks displayed by the keyword you designate. You can search desired tasks by the following columns: Request ID, Request Summary, and Requester. Only the content in the column displayed in the current view can be searched.

• Manage Columns ( ) – You can manage which columns are displayed in the list so that

only information you want to see is displayed. Click the manage columns ( ) button, then select the checkbox next to the column name to have that column shown in the list.

• Filter ( ) – This allows you to filter which item in the list is displayed. Click the filter ( ) button of the column you want to filter, and then select the checkbox next to the item name to have that item shown in the list.

For more information about each task type, refer to the instructions in Monitoring All Tasks.

Viewing My Recertification Report

My Recertification Report is a report of recertification tasks that are assigned to you. In the My

Recertification Report tab, all of the permission recertification tasks, metadata recertification tasks, and

ownership recertification tasks are displayed.

You may change the number of tasks displayed per page, as well the order they are displayed in. To

change the number of tasks displayed per page, select the desired number from the Show rows drop-

down list in the upper-right corner. To sort the tasks, click the sort ( ) button in a column heading, then

select Ascending or Descending.

You can customize how the tasks are displayed in the following ways:

• Search – Allows you to filter tasks displayed by the keyword you designate. The Request Summary column supports being searched, and only the content in the column displayed in the current view can be searched.

• Manage Columns ( ) – You can manage which columns are displayed in the list so that

only information you want to see is displayed. Click the manage columns ( ) button, then select the checkbox next to the column name to have that column shown in the list.

• Filter ( ) – This allows you to filter which item in the list is displayed. Click the filter ( ) button of the column you want to filter, and then select the checkbox next to the item name to have that item shown in the list.

For more information about dealing with the recertification tasks, refer to Permission Recertification

Tasks, Metadata Recertification Tasks, and Ownership Recertification Tasks.

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Changing Branding Elements in Governance Automation

Governance Automation provides a flexible and simple way for you to modify user interface elements so

that you can align its look and feel with your corporate branding. Note that to change colors, you will set

CSS color codes in custom CSS files.

The figure below shows the default user interface of the homepage in Governance Automation.

Figure 25: The default user interface of the Home page in Governance Automation.

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The figure below shows the re-branded Governance Automation user interface for the fictional

customer Contoso.

Figure 26: Re-branded Governance Automation user interface for Contoso.

The branding elements can be changed through modifying configuration files and configuring custom

CSS files.

• Changing the Title Style

• Changing the Logo and Logo URL

• Changing the Title Bar Color

• Changing the Navigation Bar Color

• Changing the Table Style

• Changing the System Name Image on Login Page

• Changing the System Logo Image on Login Page

• Changing the About Background Image

• Changing the Governance Automation App Logo

• Changing the Site Information Card Logo

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Changing the Title Style

The default title:

Figure 27: The default title of Governance Automation.

The changed title:

Figure 28: The changed title of Governance Automation.

Refer to the instructions below to change the title of your Governance Automation.

1. On the server where Governance Automation is installed, navigate to …\AvePoint\GovernanceAutomation\Resources.

2. Find the core.en-us.resx file and open it with Notepad.

Figure 29: The core.en-us.resx file.

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3. Find the attribute data name="Landing_ProductName" and modify the value DocAve Governance Automation to your desired product name. In the example below, we used Contoso SharePoint Portal.

Figure 30: Modifying the title.

4. Save and close the core.en-us.resx file.

5. You can also change the font color of the title. Follow the instructions below.

a. On the Governance Automation server, go to

the …\AvePoint\GovernanceAutomation\Content\Themes\Custom\Style directory.

b. In the Style folder, create a TXT file.

c. In the TXT file, enter the following class for the title font color:

.ga-title {

color: #045FB4;

}

*Note: Replace #045FB4 with your desired CSS color code.

Figure 31: The class for the title font color.

d. Save and close the file.

e. Modify the file extension .txt to .css.

*Note: If the title does not change after saving the files and refreshing the browser page, go to

the Internet Information Services (IIS) Manager. Navigate to Application Pools, select

Governance Automation and right-click to select Recycle…. The Governance Automation

application pool restarts. Then, refresh the browser page to view the changed title.

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Changing the Logo and Logo URL

The default logo:

Figure 32: The default logo of AvePoint.

The changed logo:

Figure 33: The changed logo of Contoso.

Refer to the following instructions to change the logo of your Governance Automation.

1. Create your own logo image. Make sure the height of your image is 20 pixels and the width of your logo is 20 pixels, and the file name of the image is exactly Organization_Logo_Image_20x20.

2. Copy the image to the server where Governance Automation is installed.

3. Navigate to …\AvePoint\GovernanceAutomation\Content\Themes\Custom\Images and place the copied image to the Images folder.

4. To change the logo URL, complete the steps below:

a. On the server where Governance Automation is installed, navigate

to …\AvePoint\GovernanceAutomation\Views\Shared.

b. Find the GALayoutPageTitle.cshtml file and open it with Notepad.

Figure 34: The GALayoutPageTitle.cshtml file.

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c. Find the following node and modify www.avepoint.com to your desired URL.

titleBar.avepoint.click(function () {

window.open('http://www.avepoint.com');

}).keydown(function () {

e = arguments[0];

if (e.keyCode == 13) {

window.open('http://www.avepoint.com');

Figure 35: Modifying the URL.

d. Save and close the GALayoutPageTitle.cshtml file.

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Changing the Title Bar Color

The default title bar:

Figure 36: The default title bar.

The changed title bar:

Figure 37: The changed title bar.

Refer to the following instructions to change the theme color of your Governance Automation:

1. On the Governance Automation server, go to the …\AvePoint\GovernanceAutomation\Content\Themes\Custom\Style directory.

2. In the Style folder, create a TXT file.

3. In the TXT file, enter the following class for the title bar color:

.title-bar {

background-color: #7a1b1b;

}

*Note: Replace #7a1b1b with your desired CSS color code.

4. Save and close the file.

5. Modify the file extension .txt to .css.

Changing the Navigation Bar Color

The default navigation bar:

Figure 38: The default navigation bar.

The changed navigation bar:

Figure 39: The changed navigation bar.

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Refer to the following instructions to change the navigation bar color of your Governance Automation.

1. On the Governance Automation server, go to the …\AvePoint\GovernanceAutomation\Content\Themes\Custom\Style directory.

2. In the Style folder, create a TXT file.

3. Set the class for the background color of a selected tile on the navigation bar.

• If you use Internet Explorer 9, Google Chrome, or Firefox to access Governance Automation, enter the following class:

.gabtn-outerdivselmenu {

background-color: rgba(128, 8, 8, 0.70);

}

*Note: Replace 128, 8, 8, 0.70 with your desired value.

• If you use Internet Explorer 8, Internet Explorer 10, or Internet Explorer 11 to access Governance Automation, enter the following class:

.gabtn-outerdivselmenu {

-ms-filter: 'progid:DXImageTransform.Microsoft.Gradient(enabled=true,

startColorStr=#680707 , endColorStr=#680707 )';

}

*Note: Replace #680707 and #680707 with your desired CSS color codes. If the values of

the start color and the end color are different, the color is displayed as gradient.

4. Enter the following class for the background color of the navigation bar:

.menu-bar {

background-color: #333333;

}

*Note: Replace #333333 with your desired CSS color code.

Figure 40: The classes for the navigation bar color.

5. Save and close the file.

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6. Modify the file extension .txt to .css.

Changing the Table Style

The default table:

Figure 41: The default table.

The changed table:

Figure 42: The changed table.

Refer to the following instructions to change the table style of your Governance Automation.

1. On the Governance Automation server, go to the …\AvePoint\GovernanceAutomation\Content\Themes\Custom\Style directory.

2. In the Style folder, create a TXT file.

3. In the TXT file, enter the following class for the table header background color:

.gagrid-data-head {

background-color: #3a3a3a;

}

*Note: Replace #3a3a3a with your desired CSS color code.

4. Enter the following class for the background color of the manage columns ( ) button:

.gagrid-colmgr-container {

background-color: #8e2020;

}

*Note: Replace #8e2020 with your desired CSS color code.

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Figure 43: The classes for the table style.

5. Save and close the file.

6. Modify the file extension .txt to .css.

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Changing the System Name Image on Login Page

The default system name image on the login page of Governance Automation:

Figure 44: The default system name image.

The changed system name image on the login page of Governance Automation:

Figure 45: The changed system name image.

Refer to the following instructions to change the system name image on the login page of Governance

Automation:

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1. Create your own system name image. Make sure the height of your image is 490 pixels and the width of your image is 65 pixels, and the file name of the image is exactly System_Name_Image_490x65.

2. Copy the image to the server where Governance Automation is installed.

3. Navigate to …\AvePoint\GovernanceAutomation\Content\Themes\Custom\Images and place the copied image to the Images folder.

Figure 46: Placing the copied image to the Images folder.

4. Refresh the login page and the changed system name image will be displayed.

Changing the System Logo Image on Login Page

The default system logo image on the login page of Governance Automation:

Figure 47: The default system logo image.

The changed system logo image on the login page of Governance Automation:

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Figure 48: The changed system logo image.

Refer to the following instructions to change the system logo image on the login page of Governance

Automation:

1. Create your own system logo image. Make sure the height of your image is 280 pixels and the width of your image is 250 pixels, and the file name of the image is exactly System_Logo_Image_280x250.

2. Copy the image to the server where Governance Automation is installed.

3. Navigate to …\AvePoint\GovernanceAutomation\Content\Themes\Custom\Images and place the copied image to the Images folder.

Figure 49: Placing the copied image to the Images folder.

4. Refresh the login page and the changed system logo image will be displayed.

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Changing the About Background Image

The default background image that appears after clicking About:

Figure 50: The default About background image.

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The change background image that appears after clicking About:

Figure 51: The changed About background image.

Refer to the following instructions to change the background image of About:

1. Create your own About background image. Make sure the height of your image is 294 pixels and the width of your image is 450 pixels, and the file name of the image is exactly About_Background_Image_450x294.

2. Copy the image to the server where Governance Automation is installed.

3. Navigate to …\AvePoint\GovernanceAutomation\Content\Themes\Custom\Images and place the copied image to the Images folder.

Figure 52: Placing the copied image to the Images folder.

4. Click About again and the changed background image will be displayed.

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Changing the Governance Automation App Logo

Refer to the following instructions to change the logo of your Governance Automation App:

1. Create your own app logo image. Make sure the height of your image is 20 pixels and the width of your image is 20 pixels, and the file name of the image is exactly AppLogo_20x20.

2. Copy the image to the server where Governance Automation is installed.

3. Navigate to …\AvePoint\GovernanceAutomation\Content\Themes\Custom\Images and place the copied image to the Images folder.

Changing the Site Information Card Logo

Refer to the following instructions to change the logo of your Site Information Card app part:

1. Create your own app part logo image. Make sure the height of your image is 30 pixels and the width of your image is 200 pixels, and the file name of the image is exactly InfoCardLogo_200x30.

2. Copy the image to the server where Governance Automation is installed.

3. Navigate to …\AvePoint\GovernanceAutomation\Content\Themes\Custom\Images and place the copied image to the Images folder.

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Integration with Governance Automation Mobile App

The Governance Automation mobile app provides business users with the ability to handle their tasks

everywhere they go, including: approving and declining tasks.

To enable features for the mobile app, follow the sections below.

Enabling Governance Automation QR Code

After a business user installs the Governance Automation mobile app on their mobile phone, they must

connect the app to Governance Automation. While users can enter the Governance Automation URL

manually, Governance Automation also provides a QR code that can be scanned to connect quickly.

To enable the QR code, complete the following steps:

1. Go to the Governance Automation server.

2. Navigate to the ...\GovernanceAutomation\Config directory.

3. Find the Global.config file and open it with Notepad.

4. Find the <QRCodeScanSetting Enabled="false"/> node, and modify the value false to true.

5. Save and close the file.

6. Navigate to Start > Administrative Tools > Services; restart Governance Automation Timer Service and Governance Automation Workflow Service.

7. Navigate to Internet Information Services (IIS) Manager > Application Pools.

8. Right-click the application pool for Governance Automation and select Recycle…. The Governance Automation application pool restarts.

After completing the steps above, the QR code of your Governance Automation is enabled. Business

users can find the QR code on the Governance Automation login page.

Enabling Task Link Redirection

Governance Automation provides the task link redirection feature. With this feature enabled, the Open

the Governance Automation Mobile Application to Approve/Reject Tasks link is provided in task

notification e-mails. When a business user opens a task notification e-mail on a mobile phone and taps

this link, the Governance Automation mobile app will open, if it has been installed on the phone. If the

phone does not have the app installed, the Governance Automation mobile app download site will

appear.

To enable the task link redirection feature, complete the following steps:

1. Go to the Governance Automation server.

2. Navigate to the ...\GovernanceAutomation\Config directory.

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3. Find the Global.config file and open it with Notepad.

4. Find the MobileAPPLink Enabled="false" attribute, and modify the value false to true.

5. Save and close the file.

6. Navigate to Start > Administrative Tools > Services; restart Governance Automation Timer Service and Governance Automation Workflow Service.

7. Navigate to Internet Information Services (IIS) Manager > Application Pools.

8. Right-click the application pool for Governance Automation and select Recycle…. The Governance Automation application pool restarts.

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Switching Farms for Disaster Recovery

Governance Automation supports switching farms for performing a disaster recovery in your

environment.

*Note: Make sure DocAve 6 databases and Governance Automation databases are added into the

Availability Group in SQL Server.

Then, complete the following steps in order:

1. Configuring the Farm Name and Farm ID

2. Generating the Mapping Files

3. Switching the Farm

Configuring the Farm Name and Farm ID

To make DocAve and Governance Automation retrieve the disaster recovery farm after switching the

production farm to the disaster recovery farm, you must modify the farm name and farm ID in the

AgentCommonVCEnv.config file within the disaster recovery farm.

Complete the following steps:

1. Getting the Farm Name and Farm ID of the Production Farm

2. Modifying the Farm Name and Farm ID in the Disaster Recovery Farm

Getting the Farm Name and Farm ID of the Production Farm

Complete the following steps to get the farm name and farm ID of the production farm:

1. Go to the server where the DocAve Agent of the production farm resides.

2. Navigate to …\AvePoint\DocAve6\Agent\bin.

3. Find the AgentCommonVCEnv.config file and open it with Notepad.

4. Find the agentFarmName attribute and its value is the farm name.

5. Find the agentFarmId attribute and its value is the farm ID.

Modifying the Farm Name and Farm ID in the Disaster Recovery Farm

Complete the following steps to modify the farm name and farm ID in the AgentCommonVCEnv.config

file within the disaster recovery farm:

1. Go to the server where the DocAve Agent of the disaster recovery farm is located.

2. Navigate to …\AvePoint\DocAve6\Agent\bin.

3. Find the AgentCommonVCEnv.config file and open it with Notepad.

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4. Find the agentFarmName attribute and modify the value to the production farm name.

5. Find the agentFarmId attribute and modify the value to the production farm ID.

6. Save and close the AgentCommonVCEnv.config file.

Generating the Mapping Files

To achieve disaster recovery, the mapping files that will be used for switching farms must be generated

in the production environment and the disaster recovery environment.

Complete the following steps to generate the mapping files:

1. Go to the Governance Automation server and navigate to …\AvePoint\GovernanceAutomation\Tools\PR_DR_GenerateMappingFile.

2. Find the GenerateMappingFile.ps1 file.

3. Copy the GenerateMappingFile.ps1 file to production SharePoint server and place the file to your desired directory.

4. Right-click the GenerateMappingFile.ps1 file and select Run with PowerShell.

*Note: Make sure you are the farm administrator of the current farm.

5. In the Windows PowerShell window, enter a name for the mapping file.

6. Press Enter and the mapping file starts generating.

7. When the Operation is successful. message appears, the mapping file is successfully generated into the directory where the GenerateMappingFile.ps1 file resides.

8. Copy the GenerateMappingFile.ps1 file to disaster recovery SharePoint server and place the file to your desired directory.

9. Repeat step 4 to step 6 to generate the mapping file in the disaster recovery environment.

Switching the Farm

Refer to the following instructions to switch from the production farm to the disaster recovery farm, or

switch from the disaster recovery farm to the production farm.

1. Go to the production SharePoint server and navigate to the directory where the generated mapping file is stored.

2. Right-click the mapping file and select Copy.

3. Go to one of your Governance Automation server and paste the copied mapping file to your desired directory.

4. Go to the disaster recovery SharePoint server and navigate to the directory where the generated mapping file is stored.

5. Right-click the mapping file and select Copy.

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6. Go to the Governance Automation server and paste the copied mapping file to your desired directory.

7. On the Governance Automation server, navigate to Start > Command Prompt.

8. Right-click Command Prompt and select Run as administrator.

9. In the Command Prompt window, enter the command in the following format:

…\AvePoint\GovernanceAutomation\bin>gashell –o switchfarm – pr < The full path

of the mapping file that is generated in the production farm> -dr <The full

path of the mapping file that is generated in the disaster recovery farm>

*Note: Replace …\AvePoint\GovernanceAutomation with the exact Governance Automation

installation directory.

For example,

C:\Program Files\AvePoint\GovernanceAutomation\bin>gashell –o switchfarm –pr

C:\PRMappingFile –dr C:\DRMappingFile

10. Press Enter to execute the command.

11. Enter one of the following commands:

• 1 – 1 means switching from the production farm to the disaster recovery farm.

• 2 – 2 means switching from the disaster recovery farm to the production farm.

12. Press Enter to execute the command.

13. When the Operation finished successfully. message appears, the farm is switched successfully.

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Governance Automation Web API SDK

Build your customizable, extendable, and programmable usage of Governance Automation functions by

invoking the program interfaces provided by Governance Automation Web API SDK.

To access detailed information on the commands available, see the Governance Automation Web API

Help.

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Appendix A: Supported Variable Roles

Governance Automation supports setting variable roles when you select users in approval processes,

site collection policies, services, and Administrator Notification.

*Note: In the role name, the character $ and the punctuation () and "" must be entered under the

English input method, regardless of you select which language as the Governance Automation display

language.

The following roles are available, but the roles vary when specifying roles in different fields.

Role Name Description

$Farm Administrator The farm administrator that is configured in SharePoint. This role in unsupported for SharePoint Online.

$Primary Site Collection Contact The primary site collection contact that is configured in Governance Automation.

$Secondary Site Collection Contact The secondary site collection contact that is configured in Governance Automation.

$Primary Site Contact The primary site contact that is configured in Governance Automation.

$Secondary Site Contact The secondary site contact that is configured in Governance Automation.

$Primary Site Collection Administrator The primary site collection administrator that is configured in Governance Automation or SharePoint.

$Secondary Site Collection Administrator The secondary site collection administrator that is configured in Governance Automation or SharePoint. This role in unsupported for SharePoint Online.

$Additional Site Collection Administrators The users or groups within the SharePoint Site Collection Administrators group, except for the primary and secondary site collection administrators.

$Primary Group Contact The primary contact of an Office 365 group; it is configured in Governance Automation.

$Secondary Group Contact The secondary contact of an Office 365 group; it is configured in Governance Automation.

$Office 365 Group Owners The owners of an Office 365 groups; they are configured in Office 365 or Governance Automation.

$Farm Administrator of Source The administrator of the source farm. This role in unsupported for SharePoint Online.

$Primary Site Collection Contact of Source The primary site collection contact of the source node.

$Secondary Site Collection Contact of Source The secondary site collection contact of the source node.

$Primary Site Contact of Source The primary site contact of the source node.

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Role Name Description

$Secondary Site Contact of Source The secondary site contact of the source node.

$Primary Site Collection Administrator of Source The primary site collection administrator of the source node.

$Secondary Site Collection Administrator of Source The secondary site collection administrator of the source node. This role in unsupported for SharePoint Online.

$Additional Site Collection Administrators of Source The users or groups within the source SharePoint Site Collection Administrators group, except for the primary and secondary site collection administrators.

$Farm Administrator of Target The administrator of the target farm. This role in unsupported for SharePoint Online.

$Primary Site Collection Contact of Target The primary site collection contact of the target node.

$Secondary Site Collection Contact of Target The secondary site collection contact of the target node.

$Primary Site Contact of Target The primary site contact of the target node.

$Secondary Site Contact of Target The secondary site contact of the target node.

$Primary Site Collection Administrator of Target The primary site collection administrator of the target node.

$Secondary Site Collection Administrator of Target The secondary site collection administrator of the target node. This role in unsupported for SharePoint Online.

$Additional Site Collection Administrators of Target The users or groups within the destination SharePoint Site Collection Administrators group, except for the primary and secondary site collection administrators.

$Source User The user from whom the permissions will be cloned or transferred.

$Target User The user to whom the permissions will be cloned or transferred.

$New Site Collection Contact/Administrator The user that takes over the role of site collection contact or site collection administrator.

$New Site Contact The user that takes over the role of site contact.

$Current Stage Approvers The approver of the current stage.

$Managers of Approvers The managers of the approvers.

$Managers of Previous Stage Approvers The managers of the previous stage’s approvers. This role is only available to the second or third stage approval in an approval process.

$Requester The user who submits a request.

$Manager of Requester The manager of the requester. The manager is configured in SharePoint User Profile Service.

$Approvers SharePoint built-in groups. Users within these groups will be retrieved. $Site Members

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Role Name Description

$Site Owners

$Designers

$Hierarchy Managers

$Quick Deploy Users

$SharePoint Group (“Group Name”) An existing SharePoint custom group. Replace Group Name with the custom group name. Users within this group will retrieved.

$Site Collection Metadata ("Metadata Name”) The Lookup/Person or Group metadata that exists in a site collection. The users or groups as the metadata value will be retrieved. Replace Metadata Name with the Lookup/Person or Group metadata name.

$Site Metadata ("Metadata Name") The Lookup/Person or Group metadata that exists in a site. The users or groups as the metadata value will be retrieved. Replace Metadata Name with the Lookup/Person or Group metadata name.

$Office 365 Group Metadata ("Metadata Name") The Lookup/Person or Group metadata that is applied to an Office 365 group. The users or groups as the metadata value will be retrieved. Replace Metadata Name with the Lookup/Person or Group metadata name.

$Service Metadata ("Metadata Name") The Lookup/Person or Group metadata that is added to the service with the approval process applied. Make sure the Allow a variable role reference to this metadata in the approval process option enabled on the metadata. The users or groups as the metadata value will be retrieved. Replace Metadata Name with the Person or Group metadata name.

*Note: If you select a SharePoint built-in or custom group role, make sure the group exists in SharePoint.

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Appendix B: Configuring a Filter Policy

This section describes how to configure filter policies in DocAve in order for Governance Automation to

leverage DocAve Granular Backup, the Auditor feature in DocAve Report Center, and the Deactivated

Account Cleaner feature in DocAve Administrator.

Configuring Filter Policy to Use DocAve Granular Backup

Log into DocAve and navigate to Control Panel > Filter Policy and click Create. Configure the filter policy

as follows:

1. Name – Enter a name for this filter policy.

2. Description – Enter an optional description for future references.

3. Click Add a Filter Level Group to add a filter rule. The filter rule configuration field appears.

a. Select Site Collection from the first drop-down list.

b. Click Add a Criterion and select Custom Property: Text from the second drop-down list.

An additional text box will appear after the second drop-down list for you to enter the

custom property text.

c. In the new text box, enter Gov Auto Policy.

d. In the Condition column, select Equals from the next drop-down list.

e. In the Value column, enter the exact name of the site collection policy for which you

have Granular Backup enabled in the DocAve Configurations section.

4. When you have finished adding all of the policies to the Criteria, click OK to save this filter policy.

Once the filter policy has been created, you must add it to a Granular Backup plan. For information on

configuring Granular Backup plans, see the DocAve Granular Backup and Restore User Guide.

*Note: You can add more than one Governance Automation site collection policy to each filter policy if

you know that you would like to use the same Granular Backup plan for all site collections affected by

those policies. Otherwise, create separate filter policies so that you can associate the different

Governance Automation site collection policies to the different Granular Backup plans.

Configuring Filter Policy to Use Audit Controller in DocAve Report

Center

Log into DocAve and navigate to Report Center > Settings > Audit Controller. When creating a new

Audit Controller plan or modifying an existing one, under Apply Rule Settings, configure the filter policy

as follows:

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1. Click Add a Filter Category.

2. In the Rule column, make sure that Site Collection is selected. All criteria within this category will only apply at the site collection level.

3. Click Add a Criterion.

4. For the first criterion, configure the following:

a. In the Rule column, select Custom Property: Text

b. In the text box that appears next to the drop-down list in the Rule column, enter Gov

Auto Policy

c. In the Condition column, select Equals

d. In the Value column, enter the EXACT name of the Governance Automation site

collection policy for which you want to use this Audit Controller plan.

5. Be sure all changes are saved.

For information on configuring the rest of the Audit Controller plan in DocAve Report Center, see the

DocAve Report Center User Guide.

*Note: You can add more than one Governance Automation site collection policy to each filter policy if

you know that you would like to use the same Audit Controller plan for all site collections affected by

those policies. To do so, add a criterion for each policy. Otherwise, create separate Audit Controller

plans.

Configuring Filter Policy to Use Deactivated Account Cleaner in

DocAve Administrator

Log into DocAve and navigate to Control Panel > Filter Policy and click Create. Configure the filter policy

as follows:

1. Name – Enter a name for this filter policy.

2. Description – Enter an optional description for future references.

3. Click Add a Filter Level Group to add a filter rule. The filter rule configuration field appears.

a. Select Site Collection from the first drop-down list.

b. Click Add a Criterion and select Custom Property: Text from the second drop-down list.

An additional text box will appear after the second drop-down list for you to input the

custom property text.

c. In the new text box field, enter Gov Auto Policy.

d. In the Condition column, select Equals from the next drop-down list.

e. In the Value column, enter the exact name of the site collection policy for which you

have Deactivated Account Cleaner enabled in the DocAve Configurations field.

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4. When you have finished adding all of the policies to the Criteria, click OK to save this filter policy.

Once the filter policy has been created, you must add it to a Deactivated Account Cleaner plan. For

information on configuring Deactivated Account Cleaner plans, see the DocAve Administrator User

Guide.

*Note: You can add more than one Governance Automation site collection policy to each filter policy if

you know that you would like to use the same Deactivated Account Cleaner Plan for all site collections

affected by those policies. Otherwise, create separate filter policies so that you can associate the

different Governance Automation policies to the different Deactivated Account Cleaner Plans.

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Appendix C: Configuring DocAve 6 Archiver Profiles

In order for Governance Automation to utilize DocAve 6 Archiver to archive site collections, Archiver

Profiles must be created in DocAve 6.

*Note: Each farm needs its own Archiver Profile.

Log into DocAve 6 and navigate to Archiver > Profile Manager, and click Create. Configure the Archiver

Profile as follows:

1. Name – Enter a Name and an optional Description for the new Archiver Profile.

2. Farm – Select the farm from the drop-down list.

3. Category – Specify the category in the text box.

4. Click Next.

5. In the Rules page, click Create. A popup window will appear for you to configure the new Rule for this Archiver Profile. Configure the Rule as follows:

• How would you like to archive the SharePoint content? – Select Create a new rule. Then enter a Name and an optional Description for this new rule.

• What type of content would you like to archive?

o If this rule will be applied to archive the entire site collection, select Site Collection from the drop-down list.

o If this rule will be applied to archive the entire site, select Site from the drop-down list.

o If this rule will be applied to archive site collection content, select an object level (except for Site Collection) from the drop-down list.

• How would you like to define the content to be archived? – Configure the following criteria:

o Select URL in the first drop-down list.

o Select Matches in the second drop-down list.

o Enter * in the text box.

• What would you like to do with the SharePoint data? – Archive and remove data from SharePoint is selected to archive the data on the selected node and store the data in the configured location. The corresponding data in SharePoint will be deleted.

• Would you like to enable manual approval before archiving?

o If this rule is applied to the Governance Automation site collection content manual archival, make sure the Enable manual approval checkbox is selected. Otherwise the Governance Automation manual archive task cannot be generated.

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o If this rule will be applied to archive the entire site collection or site, do not select the Enable manual approval checkbox.

• Would you like to export the SharePoint data before archiving? – Select the Export the SharePoint data checkbox to enable this function for the Archiver rule on the selected node. If you choose to enable this function, the content on the selected node that meets the selected Archiver rule will be exported to the configured location. In addition, you can choose whether or not to perform an Archiver job by selecting one of the following options:

o Export before archiving – Select this option to perform an Archiver job after exporting the SharePoint data that meets the specified Archiver rule to the configured location.

o Export without archiving – Select this option to only perform the export job. The following Archiver setting fields are not available:

▪ What would you like to do with the SharePoint data?

▪ Where would you like to store the archived data?

▪ Data Compression

▪ Data Encryption

o Export Location – Configure the location to store the exported data.

▪ Export type selection – Select an export type from the drop-down list. Autonomy Integration means the content can be managed in the Autonomy platform. Concordance Load File means the exported content can be imported to the Concordance platform for management. EDRM XML means the exported content can be managed by EDRM (Electronic Discovery Reference Model).

▪ Select an export location – Select an export location from the drop-down list where you want to store the exported data. You can also choose to create a new one by clicking New Export Location.

• Where would you like to store the archived data? – Select the desired Storage Policy. For information on how to configure Storage Policies, see the DocAve Control Panel Reference Guide.

• Data Compression – Choose to compress the data when archiving. A low compression level takes less time to complete but results in larger data sets, while high compression level takes more time to complete but results in smaller data sets. Note that smaller data sets results in slower backup and recovery.

• Data Encryption – Choose to enable Data Encryption. Enabling this option results in slower backup and recovery.

When you have finished configuring the new Archiver Rule, click OK to save and return to Archiver Profile configuration.

6. Configure the desired settings for Processing Pool which allows you to a lot specific resources to run the Archiving job, Workflow and Notification.

7. Schedule – Be sure that No schedule is selected.

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8. Click Next.

9. Review your settings, then click Finish to save the new Archiver Profile.

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Appendix D: Configuring DocAve Deployment Manager

Plans

In order for Governance Automation to utilize DocAve Deployment Manager to deploy site collections

and sites, Deployment plans must be created in DocAve.

*Note: Each farm needs its own deployment plan.

Log into DocAve and navigate to Administration > Deployment Manager. Refer to the following

instructions to configure a deployment plan.

Creating a Deployment Mapping

To configure a deployment plan, a deployment mapping must be created first.

1. In the Source pane, click on a farm to expand its object tree. Continue clicking the relevant objects until you find the object you wish to deploy from. Select the source object.

2. In the Destination pane, click on a farm to expand its object tree. Continue clicking the relevant object until you find the object you wish to deploy to. Select the destination object.

3. Click Add to Queue on the ribbon. The Add to Queue window will pop up. Depending on the mapping you are creating, some of the following settings may be configured:

*Note: Deployments can only be mapped between a source and destination that are using the

same version of SharePoint. If the experience version of the site in SharePoint 2013 is

SharePoint 2010, it can only be deployed to the site that has the same experience version.

• Reorder the Solutions – If there are multiple solutions being deployed, you may configure the order that the solutions are deployed in by selecting the desired place in the Order column.

• Conflict Resolution – Choose Skip, Merge, or Replace from the Container level conflict resolution drop-down list. Select the Check lower objects checkbox to configure content level conflict resolution. Choose Skip, Overwrite, or Overwrite by Last Modified Time from the Content level conflict resolution drop-down list. For detailed information on how Deployment Manager resolves conflicts based on these configurations, see DocAve Deployment Manager User Guide.

• Mappings – If you have previously configured Domain Mapping, User Mapping, or Language Mapping in Control Panel, you may choose to apply them to this deployment mapping when adding this deployment to the Queue.

• Filter Policy – A filter policy allows you to designate specific object or data within each SharePoint level.

o Source – Select a previously created filter policy from the drop-down list to filter the source object or data or click New Filter Policy to create a new one.

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o Destination – Select a previously created filter policy from the drop-down list to filter the destination object or data or click New Filter Policy to create a new one.

*Note: The filter policy in the Destination drop-down list only filters at the site

collection level and site level filter rules configured in filter policy. Lower level

objects or data in the destination cannot be filtered even if the selected filter

policy contains rules applicable to those objects.

• Source Content Settings – Select the source components that you want to deploy to the destination:

o Include security – Enable this option to deploy user and/or group permissions to the destination node.

o Include user profile – Enable this option to deploy user profile to the destination node. Make sure that the selected destination’s Web application is connected to the User Profile Service Application before you select this option.

o Include User Content – Enable this option to deploy the customized content to the destination node.

• Workflow – Enable the Include workflow definition option to also deploy the definition of existing source workflows to the destination node.

• Deploy to Relative Lists and Sites – Enable this option to synchronize the source content type to the destination. If you have deployed a content type from the source to the destination before, with this option selected, the content type changes will be synchronized to the destination after this deployment job. When this option is not selected, the content type changes will not be synchronized to the destination content type that has already been used by lists or sites.

• Preserve the Null Column Values – Choose to preserve the null value of item column(s) in the source. Some values of the newly created column(s) may be null for previous items, and this option allows you to choose to replace the null value with the default value in the destination. By default, we will preserve the null value for those items.

• Web Configuration Settings – This option appears when you perform an IIS Site Files level deployment. Choose to include Web Configuration in the deployment job. By default, the following parameters are included for searching the related configuration in web.config files:

configuration/SharePoint/PeoplePickerWildcards;

configuration/system.web/membership/providers;

configuration/connectionStrings;

configuration/connectionStrings;

You can customize the parameters according to the XPath format in the left pane of the

interface.

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Choose to include the parent node’s properties if the parent node does not exist in the

destination by selecting the checkbox.

• Options – This option appears when you perform a Managed Metadata Service level deployment. Choose the deployment mode, Full Deployment or Incremental Deployment. A Full Deployment deploys all of the source content or settings to the destination, while an Incremental Deployment only deploys the modified settings since the last incremental or full deployment.

If selecting Incremental Deployment, the following options will be available:

o Modifications – Choose to deploy the modifications since the last job.

o Deletions – Choose to deploy the deletions since the last job. Click OK to add this deployment mapping to the Queue, or click Cancel to return to selecting Source and Destination nodes for the deployment mapping.

• Click OK to save your configurations.

Creating a Deployment Plan

When you have finished adding the deployment mappings to the queue, click Save as a Plan on the

ribbon or located at the bottom of the screen. You will be brought to the Save as a Plan interface.

Configure the following settings to create a deployment plan:

1. Plan Name – Enter a Plan Name for this new plan. Then, enter an optional Description for future references.

2. Backup Environment Before Running Plan – Enable this option to back up the destination environment before running the plan. You must then select a storage policy. Enabling this option allows you to use the Rollback feature in Job Monitor.

3. Schedule Selection – Configure a schedule for this plan:

• No Schedule – The plan will be executed after the service request is approved.

• Start Time – Select the date and time you wish this plan to be executed. If applicable, you may change the time zone by clicking on the hyperlink to select a different time zone.

4. Notification – Choose the type of notification and designate which DocAve user will receive an e-mail notification report. Select a notification profile you previously created from the drop-down list. Click View beside the drop-down list to view details of the notification profile, or click New Notification Profile from the drop-down list to create a new one.

5. Associated Plan Group – Add the plan to one or more plan groups to manage multiple plans with common settings. Select a plan group you previously created from the drop-down list or click New Plan Group from the drop-down list to create a new one.

6. Click OK located at the bottom of the screen to save the plan.

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Appendix E: Configuring a Policy Enforcer Profile

Before creating the Policy Enforcer profile, you must configure the source collection policy for the nodes

selected on the SharePoint farm.

Configuring a Source Collection Policy

To configure the source collection policy, complete the following steps:

1. In DocAve Manager, navigate to Administration > Administrator. On the Policy Enforcer tab, click Source Management on the ribbon to configure the auditing and scanning policy.

2. Click Create in the Manage group on the ribbon to create a new source collection policy.

3. In the New Source Collection Policy interface, configure the following settings:

a. Source Collection Policy – Enter the Name for the policy you are about to create. Enter

an optional Description for future references.

b. Select Auditor Mode or Scan Mode to configure the corresponding details before

applying them on the selected nodes of the SharePoint farm.

o Auditor Mode – Select the Auditor Mode checkbox and click Configure in the Manage group on the ribbon. In the pop-up window, all the enabled Auditor Mode event types are displayed in the Available Event Type column.

▪ Interval – Specify how often this source collection mode will run to collect the Audit events of the enabled event types in SharePoint to identify out of policy objects. The collected data is stored as DocAve Job Data. Frequency of collection can improve quality of remediation but can impact SharePoint performance.

▪ Event Type – By default, all of the event types are enabled to ensure all of the available audit events can be collected by DocAve to identify out of policy objects in SharePoint. To change the event types’ statuses in this source collection policy, select the event types whose status you want to change, click Disable to disable the selected event types or click Enable to enable the event types. The Audit events of the disabled event types will not be collected by DocAve to identify out of policy objects.

Click OK to save the configuration.

o Scan Mode – Select the Scan Mode checkbox and click Configure in the Manage group on the ribbon. In the pop-up window, all the scanning conditions are displayed in the Event Type column.

▪ Interval – Specify how often this source collection mode will run to scan the conditions of the enabled event types in SharePoint to identify out of policy objects, settings, permissions and/or features. The collected data is stored as DocAve Job Data. Frequency of collection can improve quality of remediation but can impact SharePoint performance.

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*Note: If Day(s) is selected as the interval, you can specify a start time

for the jobs of this source collection mode.

▪ Event Type – By default, all of the event types are enabled to ensure all of the available conditions can be collected by DocAve to identify out of policy objects in SharePoint. To change the event types’ statuses in this source collection policy, select the event types whose statuses you want to change, click Disable to disable the selected event types or click Enable to enable the event types. The corresponding conditions of the disabled event types will not be collected by DocAve to identify out of policy objects.

Click OK to save the configuration.

c. Click Save to save the configuration of the source collection policy.

Creating a Policy Enforcer Profile

To create the Policy Enforcer profile, complete the following steps:

1. In DocAve Manager, navigate to Administration > Administrator. On the Policy Enforcer tab, click Profile Manager on the ribbon to configure the Policy Enforcer profile.

2. Click Create in the Profile Management group on the ribbon to create a new Policy Enforcer profile.

a. Profile Name – Enter the Name for the profile you are about to create. Enter an

optional Description for future reference.

b. Farm – Select a SharePoint farm from the drop-down list to apply the configured profile

on this selected farm.

*Note: The selected farm is the one where the Governance Automation managed site

collection resides.

c. Source Collection Policy –Select one previously configured source collection policy for

the event types to be monitored by Policy Enforcer from the drop-down list, or select

New Storage Policy to create a new one.

d. Retention Policy – Specify the retention period by entering a number and selecting

Day(s), Week(s), or Month(s) for keeping the job data associated with this profile.

3. Click Add Rule in the Rule Management group on the ribbon. All of the rules for the actions and conditions in SharePoint will be displayed in the pop-up window. Select the checkboxes of the rules that you want to apply on the selected nodes of the SharePoint farm and click OK to add the selected rules to this profile.

4. Click Save in the Profile Management group to save the configuration of this profile.

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Appendix F: Configuring a Usage Pattern Alerting Plan

In order for Governance Automation to utilize Usage Pattern Alerting to monitor user activities of

Governance Automation managed site collection, Usage Pattern Alerting plans must be created in

DocAve Report Center.

*Note: Each farm needs its own Usage Pattern Alerting plan.

Log into DocAve and navigate to Report Center > Usage Pattern Alerting. Refer to the following steps to

configure a Usage Pattern Alerting plan.

1. On the Usage Pattern Alerting tab, click Plan Manager.

2. Click Create on the ribbon. The Create Plan tab appears.

3. On the left pane, expand the tree and select the Web applications where the Governance Automation managed site collections reside.

4. What would you like to name this plan? – Enter a name and an optional description for the plan you are about to create.

5. Would you like to filter objects within the selected scope? – Click New Scope Filter to create a scope filter that will get Governance Automation managed site collections.

In the Create a New Scope Filter window, configure the following settings:

a. In the Name and Description text boxes, enter a name and an optional description for

the scope filter you are about to create.

b. Click Add a Filter Level Group to add a new rule.

c. Select Site Collection as the filter level.

d. Click Add a Criterion to add criteria for the new rule.

e. Under the Rule column, select Custom Property: Text from the drop-down list. An

additional text box appears.

f. In the text box, enter Gov Auto Policy Alerting.

g. Under the Condition column, select Equals.

h. Under the Value column, enter the exact name of the site collection policy for which

you have Usage Pattern Alerting enabled.

i. Click Save on the ribbon to save your configurations and close the pop-up window.

6. Whose activity would you like to monitor? – Specify the site collection users whose activities you want to include in, or exclude from, the monitoring via this plan.

• Include All Users – By default this option is selected. The activities of all users can be monitored.

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• Users to Include – To specify the users whose activities you want to monitor individually, select this option and enter the usernames of the desired users. Click the

check names ( ) button to check the name you entered, or click the browse ( ) button to find the users you want to include.

• Users to Exclude –To specify the users whose activities you do not want to monitor individually, select this option and enter the usernames of the desired users. Click the

check names ( ) button to check the name you entered, or click the browse ( ) button to find the users you want to exclude.

• Include Anonymous Users – To monitor the activities of anonymous users, select this option.

7. What rules would you like to include in this plan? – Select a rule profile for this plan. A rule profile contains the rules that you want to apply in bulk to monitor user activities within the selected scope. For more information about how to configure rule profiles, refer to the Creating a Rule Profile section in the DocAve 6 Report Center User Guide.

8. How frequently would you like to scan the selected scope based on the rules in the Rule Profile? – Select the interval for scanning user activities within the selected scope based on the rule profile selected above. There are three available scan intervals in the drop-down list: 15 Minutes, 30 Minutes, and 1 Hour.

9. Would you like to exclude objects from monitoring of the rules in this plan by URL? – To exclude some objects from the monitoring of this plan, enter the keywords contained in the relative URLs of the desired objects into the text box. To enter multiple keywords, separate them with semicolons.

10. What custom actions would you like to include in this plan? – Select a previously created custom action profile for this plan. A custom action profile contains the actions that will be taken immediately to handle the user activities that trigger the rules of this plan. For more information about how to configure custom action profiles, refer to the Creating a Custom Action Profile section in the DocAve 6 Report Center User Guide.

11. Click the triangle next to Save, then select Save and Enable to save the plan and enable it right away. After a Usage Pattern Alerting plan is enabled, Report Center starts monitoring the user activities within the selected scope based on the rules and settings configured in the plan.

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Appendix G: Building the Communication between

Governance Automation and K2 Workflow

To ensure the communication between K2 Workflow and Governance Automation, complete the

following steps:

1. Go to the server where K2 Studio resides and open K2 Studio.

2. In K2 Studio, find the project for the K2 Workflow that will be integrated with Governance Automation.

3. In the project, right-click Start on the top and select Properties.

Figure 53: Selecting Properties.

4. In the Process General Properties window, click the expand ( ) button; a new pane appears on the right.

5. Go to the Process/Activity Data section and expand the XML Fields node.

6. Under the XML Fields node, find the current project.

7. Right-click the project and select Add; the Add XML Field window appears.

8. In the General tab, enter GAXML in the Name text box.

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Figure 54: Entering GAXML in the Name text box.

9. Keep the default options for other settings and click OK to save your configuration.

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Appendix H: Web API for K2 Workflow Integration

Governance Automation will send the following attributes to K2 Workflow instance when a request is

submitted.

<GARequest>

<GARequestID>GUID</GARequestID>

<AdminSecurityToken>Token</AdminSecurityToken>

</GARequest>

• GARequestID, the ID of a Governance Automation request, will be used to identify the specific request.

• AdminSecurityToken, the security token of the built-in account “admin” will be used to operate the Web API.

The Web API used to invoke Governance Automation to execute the request approved by K2 Workflow

• Web API URL – https://GAHost:GAPort/api/ResumeAndApproveGAWorkflow

o GAHost – The hostname of your Governance Automation server.

o GAPort – The port number of your Governance Automation Web site.

• Web Request Method – Post

• Request Body – “=” + requestID

The Web API used to invoke Governance Automation to execute the request rejected by K2 Workflow

• Web API URL – https://GAHost:GAPort/api/ResumeAndRejectGAWorkflow

o GAHost – The hostname of your Governance Automation server.

o GAPort – The port number of your Governance Automation web site.

• Web Request Method – Post

• Request Body – “=”+requestID

The Web API used to get user’s security token

• Web API URL – https://GAHost:GAPort/api/GetUserSecurityToken

o GAHost – The hostname of your Governance Automation server.

o GAPort – The port number of your Governance Automation web site.

• Web Request Method – Get

• Parameter – loginName

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Appendix I: Dynamic Mode Service Sections

In a dynamic mode service, some sections can be applied with conditions, while some sections can be

used as conditions for other sections.

The table below lists the sections that can be applied with conditions and the sections that cannot be

applied with conditions.

Service Type Section Be Applied with Conditions?

Create Site Collection Service

Basic Service Settings

Site Collection Title Validation Yes

Scope Yes

Policy Yes

Language Yes

Experience Version Yes

Site Collection Template Yes

Time Zone Yes

Site Collection Permissions Yes

Primary Site Collection Administrator Yes

Secondary Site Collection Administrator Yes

Additional Site Collection Administrators Yes

Primary Site Collection Contact Yes

Secondary Site Collection Contact Yes

DocAve Deployment Manager Plan No

Manage Site Collection Lifecycle No

Governance Automation App and App Parts

Yes

Request Access via Governance Automation Grant Permissions Service

Yes

Approval Process No

Final Custom Action Yes

Metadata Yes

In-Request Custom Action Yes

Create Site Service Basic Service Settings

Title Validation Yes

Scope Yes

Language Yes

Site Template Yes

Site Permissions Yes

DocAve Deployment Manager Plan Yes

Navigation Yes

Navigation Inheritance Yes

Primary Site Contact Yes

Secondary Site Contact Yes

Governance Automation App and App Parts

Yes

Approval Process No

Final Custom Action Yes

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Service Type Section Be Applied with Conditions?

Metadata Yes

In-Request Custom Action Yes

Create Library/List Service

Basic Service Settings

Library/List Name Validation Yes

Scope Yes

Navigation Yes

Type Yes

Library/List Template Yes

Approval Process No

Final Custom Action Yes

Metadata Yes

In-Request Custom Action Yes

Custom Service Basic Service Settings

Approval Process No

Final Custom Action Yes

Metadata Yes

In-Request Custom Action Yes

The table below lists the sections that can be used as conditions for other sections and the sections that

cannot be used as conditions for other sections.

Service Type Section Be Used as Conditions for Other Sections?

Create Site Collection Service

Basic Service Settings

Site Collection Title Validation No

Scope Yes

Policy Yes

Language No

Experience Version No

Site Collection Template Yes

Time Zone No

Site Collection Permissions No

Primary Site Collection Administrator No

Secondary Site Collection Administrator No

Additional Site Collection Administrators No

Primary Site Collection Contact No

Secondary Site Collection Contact No

DocAve Deployment Manager Plan No

Manage Site Collection Lifecycle No

Governance Automation App and App Parts

No

Request Access via Governance Automation Grant Permissions Service

No

Approval Process No

Final Custom Action No

Metadata Yes

In-Request Custom Action Yes

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Service Type Section Be Used as Conditions for Other Sections?

Create Site Service Basic Service Settings

Title Validation No

Scope Yes

Language No

Site Template Yes

Site Permissions No

DocAve Deployment Manager Plan No

Navigation No

Navigation Inheritance No

Primary Site Contact No

Secondary Site Contact No

Governance Automation App and App Parts

No

Approval Process No

Final Custom Action No

Metadata Yes

In-Request Custom Action Yes

Create Library/List Service

Basic Service Settings

Library/List Name Validation No

Scope Yes

Navigation No

Type Yes

Library/List Template Yes

Approval Process No

Final Custom Action No

Metadata Yes

In-Request Custom Action Yes

Custom Service Basic Service Settings

Approval Process No

Final Custom Action No

Metadata Yes

In-Request Custom Action Yes

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