Online Prudential Enhancement Working
Group (SE-116)
Prudential System Test Plan
Testing Overview

Testing period: January 27 to February 7, 2014

Testing environment: Sandbox
The changes you make will not affect your organization’s data in production systems. Submissions
completed during testing will not result in prudential information being updated – all email
confirmations and other activities are for testing purposes only.
About This Test Plan

This test plan is designed for users to test, review and comment on the online forms to submit
prudential information to IESO Information Systems. Once it is introduced, this will replace the
following forms:

o
Form 1044 “Prudential Support Information Form”
o
Form 1044A “Prudential Support Spreadsheet”
o
Form 1445 “Prudential Support Supplementary”
Please note any comments or feedbacks in the space provided for the test cases below and return to
[email protected] when you have finished testing.
How to report a problem during testing

Should a test case fail or if an error occurs, please report it as soon as possible to IESO Customer
Relations ([email protected]).

To help us make corrections, please include as much information as possible when reporting an error
or problem:
o
Participant name
o
User name
o
Time and date of problem
o
Reference number assigned to the task/step
o
A brief description of the problem
o
Error message
o
Screenshot(s)
o
Any other relevant information (for example, the sequence of events /actions leading up to an
error)
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About the Prudential System
1. Logging in
Log-in information will be provided before the testing period.
2. A short tour of the Prudential System
The test cases below use functions included on one of the following pages: News, Tasks, Records, or Actions.
These are accessed from the menu across the top of the page (see below). The Reports page is not being used at
this time.
News: The News page is always the first one you will see after logging in to the Prudential System. It provides
a series of informational posts at various stages of the process.
Actions: The Actions page is where you start requests such as updating your own contact information, or
calculating/submitting prudential scenarios.
Tasks: The Tasks page is where a to-do list of any tasks that have been assigned to you can be found. You have
to complete any outstanding tasks before moving forward in the process. If you have started an action, for
example, but left the system before it could be completed, then you will find it on your Tasks page.
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Test Cases
There are 2 test cases recommended below for you to complete. Each is an example of updating estimated market activity, which will result in a
new prudential support obligation amount. In addition, you can experiment with your own test cases.
Note:

The IESO can perform final approval on maximum one submitted scenario per participant per day

Please do not use symbols (e.g. “$”) and separators (e.g. “,”) etc. when entering a value

Newsfeeds, tasks and actions are shown in italics in the instructions

Please execute participant tasks only. The IESO tasks are for your information.
Test Case 1
In this test case you will increase energy consumption amount, and post additional prudential support to the IESO.
Start
Participant
submit
prudential
scenario
Task
Participant
submit
prudential
scenario
IESO review
prudential
scenario
(rejection)
Step
1.
Login to the
Prudential
System
2.
Select
organization
Participant
resubmit
prudential
scenario
IESO review
prudential
scenario
(approval)
Participant
submit
supporting
information
Instructions
Login to the Prudential System using your
username and password. You are logging in as
a Prudential Requirement Contact for your
organization.
Navigate to the Actions page and select the
“Submit Prudential Support Information” action
to start creating a scenario.
Select the organization you are representing.
Click Next
IESO review
supporting
information
(rejection)
Participant
resubmit
supporting
information
IESO review
supporting
information
(approval)
IESO safekeep
original
supporting
information
End
Comments/Feedback
For current participants with existing
prudential information, you will be provided
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Task
Step
3.
Select
participant
type and class
4.
Select
prudential
support
calculation
options
Instructions
with options to create a scenario based on your
existing prudential information. Click Yes
Comments/Feedback
The Prudential System will present a brief
summary of your current prudential
information. Click Continue
Select your participant type, i.e. metered or
non-metered. Click Continue
For metered participants, please select your
participant class for global adjustment
allocation (i.e. Class A or B). Click Continue
Local Distribution Company Options
For local distribution companies, please
indicate if you want to apply for small
distributor designation.
No Margin Call Options
For metered participants, please select your
margin call options. Select No to receive
margin calls, or Yes to not receive margin calls.
For non-metered participants, you will be
receiving margin calls.
Click Continue
Reduction Options
Select your prudential support reduction
options, which are available only if you choose
to receive margin calls with the exception of a
small distributor.
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Task
Step
Instructions
LDC Reduction Options
For local distribution companies, please
indicate if you want to apply for local
distribution company prudential credit. If so,
you will be asked to upload related affidavit
later. This option is available only if you
choose to receive margin calls with the
exception of a small distributor.
Comments/Feedback
Click Continue
5.
Enter credit
rating
information
For reduction based on credit rating, the IESO
will use the highest credit rating you entered to
compute your prudential support obligation.
If the credit rating is shared with multiple
participants, you can allocate the percentage of
deduction to up to 2 associated participants.
The total allocation (including self-allocation)
must be equal to 100%.
For local distribution companies, please enter
the total amount of prudential support
collected from you customers if applicable.
Click Continue
For reduction based on good payment history,
it is only applicable to participants who don’t
have a credit rating from an IESO approved
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Task
Step
6.
Enter
maximum net
exposure
calculation
information
7.
Review
proposed
scenario
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Instructions
credit rating agency.
For local distribution companies, please enter
the total amount of prudential support
collected from you customers if applicable.
Click Continue
Enter the number of years of good payment
history. Click Continue
For testing purposes, please triple your
estimated amount in order to create a
prudential support shortfall.
Comments/Feedback
Estimated Exposure
For metered participants, please enter
estimated exposure, physical bilateral contract
if applicable, and trading limit in either dollar
amount or days. Click Continue
Estimated Maximum Monthly Settlement
Amount
For non-metered participants, please enter
estimated maximum monthly settlement
amount, and trading limit in dollar amount or
percentage. Click Continue.
The Prudential System will present proposed
scenario based on information you entered in
the previous steps.
In this test case, you will encounter a
prudential support shortfall situation, and the
system will propose either reducing trading
limit if applicable or posting additional
prudential support. Click Post Collateral
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Task
IESO review
prudential
scenario
(rejection)
Step
8.
Determine the
dollar amount
to address
proposed
scenario
9.
Review inputs
and
assessment
results, and
submit
scenario
10.
Review and
reject scenario
submission
Instructions
Use either the system automatically
determined dollar amount, or manually enter
the dollar amount to address proposed
scenario. Click Continue
Comments/Feedback
Review “Schedule A” Assessment Results
Review assessment details and information
entered in the previous steps. Click Submit
Click Yes on the confirmation popup message.
Existing Submission Found
If there is an existing submission currently in
review by the IESO, the Prudential System will
present the brief summary of the submission.
Click Cancel Submission In Progress option if
it’s available in order to cancel the existing
submission in progress and proceed with your
new scenario submission. Otherwise please
complete the existing submission first before
submitting a new scenario.
News: “Your prudential scenario has been received
by IESO and is in process”
For testing purposes, the IESO will reject this
scenario submission for revision with
comments and recommended changes.
News: “Your submission requires resubmission for
the following reason: … … “
Task: “Review Comments”
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Task
Participant
resubmit
prudential
scenario
Step
11.
Review
comments and
recommended
changes, and
resubmit
scenario
IESO review
prudential
scenario
(approval)
12.
Review and
approve
resubmitted
scenario
Participant
submit
supporting
information
13.
Post
prudential
support
supporting
information
Instructions
Navigate to the Tasks page and accept the task
“Review Comments” by clicking it and select Yes
The Prudential System will present the
submission rejection notice with IESO
comments. Click Resubmit to review
submission details, make adjustments
accordingly, and resubmit.
Comments/Feedback
News: “I have submitted a revised prudential
scenario”
For testing purposes, the IESO will approve the
resubmission of this scenario.
News: “This submission has been approved by the
IESO. You will receive a new task that will allow
you to upload and submit support documents.”
Task: “Post Prudential Support for Submission
#XXXXXX”
Task (applicable if applied for LDC prudential
credit): “Upload LDC Prudential Credit Affidavit
for Submission #XXXXXX”
Navigate to the Tasks page and accept the task
“Post Prudential Support for Submission
#XXXXXX” by clicking it and select Yes
Please select the prudential support type to
post and click Post Support. You can post
unlimited number of prudent support and any
combination of prudential support type in one
submission.
To post a guarantee, please enter the
supporting information and guarantor rating
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Task
Step
14.
Upload local
distribution
company
prudential
credit affidavit
Instructions
from at least one of the IESO approved credit
rating agencies, and upload a draft guarantee if
applicable for IESO review. Click Add
To post a letter of credit, please enter the
supporting information and upload a draft
letter of credit if applicable for IESO review.
Confirming Bank information is mandatory
only when the Issuing Bank is not on the
dropdown list. Click Add
To post a treasury bill, please enter the
supporting information and upload a draft
treasury bill if applicable for IESO review. The
effective treasury bill amount will be 98% of
the amount you entered. Click Add
Comments/Feedback
Upon posting all required supporting
information, click Submit for IESO review.
If you applied for LDC prudential credit,
please navigate to the Tasks page and accept
the task “Upload LDC Prudential Credit Affidavit
for Submission #XXXXXX” by clicking it and
select Yes
Please upload the written affidavit attesting to
the amount of prudential support collected
from your customers.
IESO review
supporting
information
(rejection)
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15.
Review and
reject
submitted
News: “I have uploaded the LDC Prudential Credit
Affidavit”
For testing purposes, the IESO will reject this
scenario submission for revision with
comments.
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Task
Step
supporting
information
Participant
resubmit
supporting
information
16.
Review
comments and
resubmit
prudential
support
supporting
information
17.
Review
comments and
re-upload local
distribution
company
prudential
credit affidavit
IESO review
supporting
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18.
Review and
Instructions
News: “Supporting documents and information
have been rejected. Please review your task in order
to view the reason and resubmit.”
Task: “Post Prudential Support for Submission”
News (applicable if applied for LDC prudential
credit): “LDC Prudential Credit Affidavit requires
submission for the following reason: … …”
Task (applicable if applied for LDC prudential
credit): “Re-upload LDC Prudential Credit
Affidavit for Submission #XXXXXX”
Navigate to the Tasks page and accept the task
“Post Prudential Support for Submission” by
clicking it and select Yes.
Comments/Feedback
The Prudential System will present the
submission details with IESO comments.
Please make adjustments accordingly, and click
Submit for IESO review.
If you applied for LDC prudential credit,
please navigate to the Tasks page and accept
the task “Re-upload LDC Prudential Credit
Affidavit for Submission #XXXXXX” by clicking
it and select Yes.
The Prudential System will present the
submission details with IESO comments.
Please make adjustments accordingly, and click
Submit for IESO review.
News: “I have uploaded the LDC Prudential Credit
Affidavit”
For testing purposes, the IESO will approve the
resubmission of the supporting information.
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Task
information
(approval)
Step
approve
resubmitted
supporting
information
This task is for
information
only. Please
skip it for
testing
purposes.
19.
Participant
courier
original
prudential
support
document to
the IESO
IESO safe-keep 20.
original
File original
supporting
supporting
information.
information
Instructions
Comments/Feedback
News: “Your supporting documents and
information have been approved. The submission
will receive final approval once the original
documents are received by the IESO.”
News (applicable if applied for LDC prudential
credit): “The LDC Prudential Credit Affidavit was
approved by the IESO”
N/A
Upon IESO filing the original supporting
information, a revised Schedule A will be
issued on the next day via Prudential Manager.
Participants will be informed by email.
News: “This submission has been approved the
IESO. Changes to the prudential support
obligation will be issued shortly via Prudential
Manager.”
Test Case 2
In this test case you will reduce energy consumption amount, and increase your trading limit.
Start
Participant save
prudential
scenario
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Participant
submit saved
prudential
scenario
IESO review
prudential
scenario
(approval)
End
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Task
Participant
save
prudential
scenario
Step
1.
Repeat step 1-5
from Test Case
1
2.
Enter
maximum net
exposure
calculation
information
3.
Review
proposed
scenario
Instructions
See step 1-5 from Test Case 1 for details.
Comments/Feedback
For testing purposes, please reduce your
estimated amount by half in order to create
excess prudential support.
Estimated Exposure
For metered participants, please enter
estimated exposure, physical bilateral contract
if applicable, and trading limit in either dollar
amount or days. Click Continue
Estimated Maximum Monthly Settlement
Amount
For non-metered participants, please enter
estimated maximum monthly settlement
amount, and trading limit in dollar amount or
percentage. Click Continue.
The Prudential System will present proposed
scenario based on information you entered in
the previous steps.
In this test case, you will encounter a
prudential support surplus situation, and the
system will propose either increasing trading
limit or returning prudential support if
applicable. Click Increase Trading Limit
The Prudential System will then present the
previous and revised trading limits. Click
Continue
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Task
Step
4.
Review inputs
and
assessment
results, and
save scenario
5.
Locate and
submit saved
scenario
Instructions
Review assessment details and information
entered in the previous steps.
Click Save Scenario and logout of the
Prudential System.
Comments/Feedback
Task: “View Saved Scenarios for Participant X”
After login to the Prudential System, navigate
to the Tasks page and open task “View Saved
Scenarios for Participant X”.
Select the saved scenario, click Submit
Click Yes on the confirmation popup message.
IESO review
prudential
scenario
(approval)
6.
Review and
approve
submitted
scenario
News: “Your prudential scenario has been received
by IESO and is in process.”
For testing purposes, the IESO will approve the
submitted scenario. A revised Schedule A will
be issued on the next day via Prudential
Manager. Participants will be informed by
email.
News: “This submission has been approved by the
IESO. You will receive a new task that will allow
you to upload and submit support documents if
applicable”
News: “This submission has been approved by the
IESO. Changes to the prudential support obligation
will be issued shortly via Prudential Manager.”
Optional Test Cases
Optional test cases and feedback is welcome. You may create your own test cases and provide feedback to the IESO.
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