Usability Test Report For EHR1 V.2 - Drummond Group, LLC

Study Design Overall, the objective of this test was to satisfy the 170.315(g)(3) Safety-Enhanced Design test requirement. We also sought to identify areas where the EHR functions performed well and areas where the EHR failed to meet the needs of the participants and needed improvement. The data from this test will serve as a baseline for future usability tests for an updated version of EHR1. In short, this testing serves as both a means to record or benchmark current usability, but also to identify areas where improvements must be made. During the usability test, participants interacted with only with EHR1. Each participant accessed the EHR remotely via an established computer workstation setup specifically for this test. The computer workstation was in the same location for each test and participants were provided remote access to the testing computer workstation through Zoom, a remote conferencing service. The system was evaluated for effectiveness, efficiency and satisfaction as defined by measures collected and analyzed for each participant: Number of tasks successfully completed within the allotted time without assistance Task Ease/Efficiency Ratings Time to complete the tasks Number and types of errors Path deviations Participant’s verbalizations (comments and feedback) Participant’s satisfaction ratings of the system Additional information about the various measures can be found in Section 4.K. on Usability Metrics. Tasks Tasks chosen for this usability study were based on functions required by the ONC for EHR Certification. One or more individual, specific tasks were then selected to be representative each of the ONC-required functions to be tested. The test administrator provided any necessary sample test data such as medication names and dosages to participants to complete each task during the test. The tasks selected were also meant to be typical for users demonstrating Meaningful Use. The nine ONC-required functions are: Computerized Provider Order Entry: Meds, Labs, and Diagnostic Imaging Demographics Problem List Medication List Medication Allergy List Clinical Decision Support Clinical Information Reconciliation Implantable Device List EHR One, LLC Safety Enhanced Design Report 7

Since the workflow process of creating, editing, and viewing 170.315(a)(1) Computerized Provider Order Entry of Laboratory Orders is identical to that of 170.315(a)(1) Computerized Provider Order Entry of Diagnostic Imaging Orders, creating, editing, and viewing 170.315(a)(1) Computerized Provider Order, the risk ratings will be the identical. This is also true for enabling/disabling any of the Clinical Decision Support alerts as well as viewing any of the on the patient’s chart; all five Clinical Decision Support alerts are enabled or disabled individually in an identical manner in the EHR. A risk level (low, moderate, or high) was also determined for each ONC-required function as well as any of the specific representative tasks. The factors determining the risk level include the health safety risk to patients and whether or any health information is edited that may affect an alert such as a critical Clinical Decision Support alert from displaying. Below is a table of all tasks tested and their determined risk level: Test 170.315(a)(1) 170.315(a)(2) 170.315(a)(3) 170.315(a)(5) 170.315(a)(6) Task CPOE Meds Risk Category High 1. Record Medication via CPOE High 2. Change Medication via CPOE High 3. Display Changed CPOE Medication Order Low CPOE Labs 4. Record Lab via CPOE High 5. Change Lab order via CPOE High 6. Display changed CPOE lab order Low CPOE Diagnostic Imaging 7. Record Imaging order via CPOE High 8. Change Imaging order via CPOE High 9. Display changed CPOE imaging order Low Demographics 10. Record patients pref. language, dob, birth sex, race, ethnicity, sexual orientation, and gender identity. Low 11. Change patients pref. language, dob, birth sex, race, ethnicity, sexual orientation, and gender identity. Low 12. Display patients pref. language, dob, birth sex, race, ethnicity, sexual orientation, and gender identity. Low Problem List 13. Record a problem to the problem list High EHR One, LLC Safety Enhanced Design Report 8

170.315(a)(7) 0 170.315(a)(8 170.315(a)(9) 14. Change a problem on the problem list High 15. Display the active problem list Low 16. Display the historical problem list Low Medication List 17. Record a medication to the medication list High 18. Change a medication on the medication list High 19. Display the active medication list Low 20. Display the historical medication list Low Medication Allergy List 21. Record a medication allergy High 22. Change a medication allergy High 23. Display the active medication allergy list Low 24. Display the historical medication allergy list Low Clinical Decision Support 25. Add a CDS intervention and/or reference resource for each of the required elements: problem list, medication list, medication allergy list, at least one demographic, laboratory results, vital signs, and a combination of at least 2 of the elements listed High 26. Trigger the CDS intervention/resources added using the applicable High data elements from each of the required elements 27. View the intervention/resource information using the Infobutton standard for the data elements in the problem list, medication list, and demographics Low 28. Trigger the CDS interventions/resources based on data elements in the problem list, medication list, and medication allergy list by incorporating patient information from a transition of care/referral summary High 29. Access the following attributes for one of the triggered CDS Low interventions/resources: bibliographic citation, developer, funding source, release/revision date 170.315(a)(14) 170.315(b)(2) Implantable Devices 30. Record UDI High 31. Change UDI status High 32. Access UDI, device description, identifiers, and attributes Low Clinical Information Reconciliation and Incorporation EHR One, LLC Safety Enhanced Design Report 9

33. Incorporate a CCDA and conduct reconciliation of the High medications, medication allergies, and problems in the CCDA with the information currently in the patient’s record 34. Generate a new CCDA with reconciled data High Table 3: Risk Levels for Tasks Procedures Prior to the start of each test session, the test administrator prepared the computer workstation used for testing. This included removing any unnecessary folder and files from the computer’s Desktop, other than the EHR1 user guide resources and test data information made available to each participant during their session. The test administrator also verified that the Internet connection was fully working, all hardware equipment was functional, and that she and the data logger could both view the monitor and hear any audio together without any impediments. Each test session began once the participant, test administrator, and data logger were all securely connected via a Zoom conference call and remote session connection. Both the conference call phone number and remote session link were sent to each participant prior to their scheduled test date and time. The test administrator first confirmed the identity of the participant, delivered an introduction and overview of the test, and asked permission to record the test session. Once permission was given by the participant, the test administrator began the recording of the test session. The test administrator moderated all sessions which included explaining the objective and providing instructions for each task that each participant was asked to attempt and/or complete. The test administrator also monitored task start and end times and took notes on participants’ comments and feedback. The data logger was responsible for logging start/end times, notes on task success, and path deviations. At the conclusion of each test session, the test administrator would end the recording and save the recording to the secure server folder and the data logger would scan and save all handwritten notes to the server, and then transcribe all data and notes to spreadsheets. The data logger also then collected the post-test System Usability Scale Questionnaires, verified that all testing documentation had been completed and returned by all participants, and sent out compensation payments and obtained a signed Compensation Receipt Acknowledgment in return. EHR One, LLC Safety Enhanced Design Report 10

Test Location EHR1 is a cloud-based electronic health records system and was designed to be accessed anywhere, anytime by our users. For this reason and because we selected eligible participants in multiple geographical locations and time zones, we conducted all test sessions remotely, following guidelines and recommendations from /remote-testing.html. All test sessions were conducted remotely from a computer workstation in Santa Ana, California via Zoom. Participants were asked to call into a conference call phone number with assigned Meeting ID #’s and join the remote test session via a Zoom meeting link. Each test session was conducted in a controlled environment in which the same computer workstation was used for all participants, and the same fictitious patient sample data and EHR user guide resources were provided to all participants. Test Environment In order to simulate as realistic a user experience as possible, a computer workstation from the EHR One, LLC office, specifically setup for usability testing, was shared remotely with all participants; participants used their own computer hardware locally. Participants were granted access via remote connection through a secure connection to the EHR1 usability testing computer workstation and given mouse control by the test administrator near the beginning of the test session. Audio was available through a phone on speaker so that the test administrator and data logger could both hear the participant at the same time. The test administrator controlled the EHR1 usability testing computer workstation (other than when the participant was given mouse control) and the data logger was positioned next to the test administrator during each test session. The EHR1 usability testing workstation included a Dell tower, LG monitor, and ran on Windows 10 OS. The browser used for all participants was Google Chrome. Test Forms and Tools During the usability test, various documents and instruments were used, including: 1. 2. 3. 4. 5. 6. Participant Recruitment Information Form Informed Consent & Participant Agreement Non-Disclosure Agreement Moderator’s Guide & Data Tracking Sheets System Usability Scale Questionnaire Compensation Receipt Acknowledgment Examples of these documents are in the Appendices. The Moderators’ Guide was devised to guide the test administrator on the overall procedure. Each Data Tracking Sheet was used by the data logger to capture task successes and failures, task times, path deviations, errors, ratings and notes in real time during the EHR One, LLC Safety Enhanced Design Report 11

test from one task to the next. EHR1 user guides were also provided on the EHR1 usability testing computer workstation, saved to the Desktop for each participant. The participant’s interaction with EHR1 was captured and recorded digitally with remote connection software (Zoom) running on the EHR1 usability testing computer workstation. All audio was transmitted between the participant, test administrator and data logger via a conference call that was recorded also in conjunction with the remote connection session. Participant Instructions During the screening process, each prospective participant was asked to complete a Participant Recruitment Information Form that collected required demographic and background information. As part of the introduction at the beginning of each test session, the test administrator explained the goals for the usability test and how the test session would be conducted as well as any guidelines the participant should follow. They also encouraged participants to freely share their thoughts and feedback when prompted, and not to worry about hurt feelings they might cause. For each task participants were instructed to attempt/complete per the following instructions: As quickly and efficiently as possible, making the least number of errors and deviations as possible. Without assistance from administrators who could give immaterial guidance and clarification on tasks only. Limit the use of a think aloud technique. For each task, participants were given a written copy of the task. Task timing began once the administrator finished explaining the task and answering any preliminary questions from the participant. “Begin” was verbally said aloud by the test administrator for the participant to begin the task and for the data logger to begin tracking the time. The task time was stopped once the participant indicated aloud, they had successfully completed the task, or the test administrator noted that the task had been completed. Data Scoring is discussed below in Section 4.L. After all tasks have been attempted and/or completed by the participant, the test administrator read the name of each task one-by-one and asked the participant to rate the ease of use and efficiency for each task on a scale of 1 to 5 (1 being Very Easy or Very Efficient and 5 being Very Difficult or Very Inefficient). Following the conclusion of the test session, the data logger sent the participant the post-test System Usability Scale Questionnaire (see Appendix 6), checked all documentation had been completed and returned, compensated them for their time, and obtained a completed Compensation Receipt Acknowledgment. EHR One, LLC Safety Enhanced Design Report 12

Usability Metrics According to the NIST Guide to the Processes Approach for Improving the Usability of Electronic Health Records, EHRs should support a process that provides a high level of usability for all users. The goal is for users to interact with the system effectively, efficiently, and with an acceptable level of satisfaction. To this end, metrics for effectiveness, efficiency and user satisfaction were captured during the usability testing. The goals of the test were to assess: 1. Effectiveness of EHR1 by measuring participant success rates and errors 2. Efficiency of EHR1 by measuring the average task time and path deviations 3. Satisfaction with EHR1 by measuring ease of use ratings Data Scoring The following table details how tasks were scored, errors evaluated, and the time data analyzed. Measures: Rationale and Scoring: Effectiveness: A task was counted as a “Success” if the participant was able to achieve the correct outcome, without assistance, within the time allotted on a per task basis. The total number of successes were tallied and then divided by the total number of participants. The results are provided as a percentage. Task times were recorded for successes only. Task Success Effectiveness: Task Failures Efficiency: Task Deviations Efficiency: Task Time If the participant abandoned the task, did not reach the correct answer or performed it incorrectly, or reached the end of the allotted time before successful completion, the task was counted as a “Failure.” No task times were recorded for “failures”. The participant’s path (i.e., steps) through the application was recorded. Deviations occur if the participant, for example, went to a wrong screen, clicked on an incorrect menu item, followed an incorrect link, or interacted incorrectly with an on-screen control. This participant’s path was then compared to the optimal path. Each task was timed from when the administrator said “Begin” until the participant said, “Done.” If he or she failed to say “Done,” the time was stopped when the participant stopped performing the task or completed the task successfully. Only task times for tasks that were successfully completed were included in the average task time analysis. Average time per task was calculated for each task. EHR One, LLC Safety Enhanced Design Report 13

Satisfaction: At the end of each test session, each participant was asked to rate the ease of use of each task on a scale of 1 (Very Easy) to 5 (Very Difficult). Each participant was Task Rating also asked to rate the efficiency of each task on a scale of 1 (Very Efficient) to 5 (Very Inefficient). Participants’ subjective responses were averaged across participants. To measure participants’ confidence in and likeability of the EHR1 overall, the testing team administered the System Usability Scale (SUS) post-test questionnaire. A full copy of the System Usability Score questionnaire is in Appendix 6. Table 4: Details of how observed data were scored. RESULTS Data Analysis and Reporting The results of the usability test were calculated according to the methods specified in the Usability Metrics section above. Participants who failed to follow session and task instructions had their data excluded from the analyses. In a few test sessions, participants did not closely follow the test instructions or did not complete the task assigned and their results do not represent ideal test results. An example of participants not following test instructions include talking and commenting excessively during their attempt to complete the task. The usability testing results for EHR1 are detailed below (see Table 5 below). The results should be seen in light of the objectives and goals outlined in Section 4.D. Study Design. The data should yield actionable results that, if corrected, yield material, positive impact on user performance, which is discussed in further detail in Major Findings and Areas for Improvement (see Section 5.F.). EHR One, LLC Safety Enhanced Design Report 14

a.1 CPOE Meds: 1. Record Medication via CPOE Part ID Task Success Path Deviations Task Time (sec) Errors Task Ease Task Ratings Efficiency (1 Very Easy; Ratings 5 Very (1 Very Difficult) Efficient; 5 Very Inefficient) 1 2 3 4 5 6 7 8 9 10 y y y y y y y y y y Mean: SD: 0 0 1 0 0 0 1 0 1 0 54 50 87 30 60 120 77 58 70 30 0.3 63.6 0.48304589 26.93283828 0 0 1 0 1 2 1 1 1 0 1 1 2 1 1 2 2 1 2 1 1 1 2 1 1 2 2 1 2 1 0.7 1.4 1.4 0.6749486 0.51639778 0.51639778 a.1 CPOE Meds: 2. Change Medication via CPOE Part ID Task Success Path Deviations Task Time (sec) Errors Task Ease Task Ratings Efficiency (1 Very Easy; Ratings 5 Very (1 Very Difficult) Efficient; 5 Very Inefficient) 1 2 3 4 5 6 7 8 9 y y y y y y y y y 0 0 0 0 0 0 0 0 0 20 15 8 11 45 22 29 40 45 0 0 0 0 0 0 0 0 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 EHR One, LLC Safety Enhanced Design Report 15

10 y Mean: SD: 1 31 0.1 26.6 0.31622777 13.62350909 1 0.2 0.421637 1 1 0 1 1 0 a.1 CPOE Meds: 3. Display change via CPOE Med Order Part ID Task Success Path Deviations Task Time (sec) Errors Task Ease Task Ratings Efficiency (1 Very Easy; Ratings 5 Very (1 Very Difficult) Efficient; 5 Very Inefficient) 1 2 3 4 5 6 7 8 9 10 y y y y y y y y y y Mean: SD: 0 0 0 0 0 0 0 1 0 0 1 1 10 7 11 1 14 20 5 4 0.1 7.4 0.31622777 6.345602152 0 0 0 0 0 0 0 1 0 0 1 1 1 1 1 1 1 1 1 1 0.1 1 0.3162278 0 1 1 1 1 1 1 1 1 1 1 1 0 a.2

A usability test of EHR1 v.2.0 was conducted from 12/9/19-12/15/19 via remote sessions. EHR1 is a cloud based, dental electronic health record software. A computer terminal at an office in Santa Ana, CA was setup for usability testing and was shared with each participant. The purpose was to test and validate the