Safety Measurement System - Complete SMS Profile (U.S. DOT# 1138045)

D AND H EXCAVATING INC

U.S. DOT#: 1138045

Address: 11939 ROUTE 98 SOUTH
ARCADE, NY 14009
Number of Vehicles: 21
Number of Drivers: 19
Number of Inspections: 26

Safety Rating & OOS Rates AND Licensing and Insurance

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BASIC Status (Public Property Carrier View)

Behavior Analysis & Safety Improvement Categories (BASICs) Based on a 24-month record ending April 24, 2026

On-Road Performance
0.36 Measure	Not Public	0 Measure	2.90 Measure	0 Measure	Not Public	0 Measure
On-Road Performance Detail
Driver Inspections with Unsafe Driving Violations: 2 Safety Event Group: No Safety Event Grouping Avg. PU × UF: 41.6 Segment: Straight Carrier	Not Public	Driver Inspections: 26 with HOS Compliance Violations: 0 Safety Event Group: 21-100 relevant driver inspections	Vehicle Inspections: 17 with Vehicle Maint. Violations: 8 Safety Event Group: 11-20 relevant vehicle inspections	Driver Inspections: 26 with Drugs/Alcohol Violations: 0 Safety Event Group: No Safety Event Grouping	Not Public	Driver Inspections: 26 with Driver Fitness Violations: 0 Safety Event Group: 21-100 relevant driver inspections
Investigation Results
No Acute/Critical Violations Discovered	N/A	No Acute/Critical Violations Discovered	No Acute/Critical Violations Discovered	No Acute/Critical Violations Discovered	Not Public	No Acute/Critical Violations Discovered

Select a BASIC icon above to get details, or view your Complete SMS Profile.

Violation Summary

Violations: 20


Violations	Description	# Violations	# OOS Violations	Violation Severity Weight	BASIC

392.2FC	Following too close	1	0	5	Unsafe Driving
392.2-SLLS4	State/Local Laws - Speeding 15 or more miles per hour over the speed limit	1	0	10	Unsafe Driving
392.2-SLLMF	State/Local Laws - Wheel (mud) flaps missing or defective	1	0	1	Vehicle Maint.
392.8-D	Driver - Failed to inspect /use emergency equipment	1	0	2	Vehicle Maint.
393.11A1-CSLRR	Conspicuity Systems - Truck tractor, lower rear retro reflective sheeting missing on vehicle manufactured on or after July 1, 1997	1	0	3	Vehicle Maint.
393.11A1-LSML	Lighting - Side marker lamp(s) missing	1	0	2	Vehicle Maint.
393.11TL	Truck-Tractor lower rear mud flaps retroreflective sheeting / reflex reflective material requirements for vehicles manufactured after July 1997	1	0	3	Vehicle Maint.
393.45B2-B-AIR	Air Brake - Hose/tubing damaged or not secured	1	0	4	Vehicle Maint.
393.45B2UV	Brake Hose or Tubing Chafing and/or Kinking Under Vehicle	1	0	4	Vehicle Maint.
393.55E-B	Air Brake - ABS malfunction lamp defective on trailers manufactured on or after March 1, 1998	1	0	4	Vehicle Maint.
393.60(d)	Windshield / Windows - Tinting permits less than 70% of light transmittance	1	0	1	Vehicle Maint.
393.78A-WS	Washers - Inoperative washing system.	1	0	1	Vehicle Maint.
393.95(f)	Emergency Equipment - Stopped vehicle warning devices missing or improper	2	0	2	Vehicle Maint.
393.9A-LBL	Lighting - Backup lamp inoperative	1	0	6	Vehicle Maint.
393.9A-LIL	Lighting - Identification lamp(s) inoperative	3	0	2	Vehicle Maint.
396.5B-HWSL	Hubs - Wheel seal leaking	1	1	2	Vehicle Maint.
396.5-HL	Hubs - Leaking hub	1	1	2	Vehicle Maint.

Inspection History

Total Inspections: 26


Report			Vehicle			Measure
Inspection Date	Number	State	Plate Number	Plate State	Type	Severity Weight (SW)	Time Weight (TiW)

4/9/2026	NYSPA3070879	NY	30995ND	NY	STRAIGHT TRUCK		3
Vehicle Maint. Violation: 393.95(f) Emergency Equipment - Stopped vehicle warning devices missing or improper						2
Vehicle Maint. Violation: 393.9A-LBL Lighting - Backup lamp inoperative						6
Vehicle Maint. Violation: 393.9A-LIL Lighting - Identification lamp(s) inoperative						2
Vehicle Maint. Violation: 393.11A1-LSML Lighting - Side marker lamp(s) missing						2
3/4/2026	NYSPA3070841	NY	43059PF	NY	STRAIGHT TRUCK		3
2/6/2026	NYD507802167	NY	30538PF	NY	TRUCK TRACTOR		3
Vehicle Maint. Violation: 393.9A-LIL Lighting - Identification lamp(s) inoperative						2
Vehicle Maint. Violation: 393.60(d) Windshield / Windows - Tinting permits less than 70% of light transmittance						1
Vehicle Maint. Violation: 393.55E-B Air Brake - ABS malfunction lamp defective on trailers manufactured on or after March 1, 1998						4
12/22/2025	NY5L42000720	NY	49255PF	NY	STRAIGHT TRUCK		3
11/26/2025	NYSPA3031033	NY	11770PF	NY	TRUCK TRACTOR		3
11/19/2025	NYSPA3070628	NY	80633PC	NY	STRAIGHT TRUCK		3
9/3/2025	NYSPT3041226	NY	24883PF	NY	STRAIGHT TRUCK		2
7/29/2025	NYD507101745	NY	83710PC	NY	STRAIGHT TRUCK		2
7/10/2025	NYD507501128	NY	30533PF	NY	TRUCK TRACTOR		2
7/3/2025	NY5L40002066	NY	83263NF	NY	STRAIGHT TRUCK		2
7/3/2025	NYSPA3070325	NY	80633PC	NY	STRAIGHT TRUCK		2
6/27/2025	NYD507501111	NY	43059PF	NY	TRUCK TRACTOR		2
6/9/2025	NYSPA3080647	NY	32414PF	NY	TRUCK TRACTOR		2
Vehicle Maint. Violation: 393.9A-LIL Lighting - Identification lamp(s) inoperative						2
Vehicle Maint. Violation: 393.78A-WS Washers - Inoperative washing system.						1
4/16/2025	NYD507801425	NY	11770PF	NY	TRUCK TRACTOR		1
4/15/2025	NYSPA3011153	NY	30534PF	NY	TRUCK TRACTOR		1
Vehicle Maint. Violation: 393.11A1-CSLRR Conspicuity Systems - Truck tractor, lower rear retro reflective sheeting missing on vehicle manufactured on or after July 1, 1997						3
4/9/2025	NYSPA3070129	NY	43059PF	NY	TRUCK TRACTOR		1
12/18/2024	NYSPA3080263	NY	30539PF	NY	STRAIGHT TRUCK		1
12/2/2024	NYD507101114	NY	83710PC	NY	STRAIGHT TRUCK		1
10/18/2024	NYD507800901	NY	11770PF	NY	TRUCK TRACTOR		1
Vehicle Maint. Violation: 393.45B2-B-AIR Air Brake - Hose/tubing damaged or not secured						4
10/15/2024	NYSPT3050082	NY	24883PF	NY	STRAIGHT TRUCK		1
9/24/2024	NYSPA0276704	NY	30535PF	NY	TRUCK TRACTOR		1
9/17/2024	NY5L47000066	NY	30539PF	NY	STRAIGHT TRUCK		1
Vehicle Maint. Violation: 396.5-HL Hubs - Leaking hub (OOS)						2 + 2 (OOS)
Vehicle Maint. Violation: 396.5B-HWSL Hubs - Wheel seal leaking (OOS)						2 + 2 (OOS)
8/26/2024	NYD507900738	NY	30540PF	NY	STRAIGHT TRUCK		1
Vehicle Maint. Violation: 392.8-D Driver - Failed to inspect /use emergency equipment						2
Vehicle Maint. Violation: 393.95(f) Emergency Equipment - Stopped vehicle warning devices missing or improper						2
Vehicle Maint. Violation: 392.2-SLLMF State/Local Laws - Wheel (mud) flaps missing or defective						1
8/7/2024	NYSPWA100936	NY	16670NE	NY	STRAIGHT TRUCK		1
Unsafe Driving Violation: 392.2-SLLS4 State/Local Laws - Speeding 15 or more miles per hour over the speed limit						10
7/17/2024	NYSPA0294996	NY	30535PF	NY	TRUCK TRACTOR		1
Vehicle Maint. Violation: 393.11TL Truck-Tractor lower rear mud flaps retroreflective sheeting / reflex reflective material requirements for vehicles manufactured after July 1997						3
Vehicle Maint. Violation: 393.45B2UV Brake Hose or Tubing Chafing and/or Kinking Under Vehicle						4
6/5/2024	NYSPT0357006	NY	11770PF	NY	TRUCK TRACTOR		1
Unsafe Driving Violation: 392.2FC Following too close						5

Reviewed-Not Preventable Crash Activity (vehicles involved in crashes)

Total Number of Crashes: 0

This carrier has no crashes to display.

Crashes Included in SMS (vehicles involved in crashes)

Total Number of Crashes: 2


Report			Vehicle		Crash				Measure = Sum of the Total Weight (TotW)
Date	Number	State	Plate Number	Plate State	Fatal	Inj.	Tow.	HM	Severity Weight (SW)	Time Weight (TiW)	Total Weight (TotW)

10/9/2024	NY4052286300	NY	12654PF	NY	0	0	Yes	No	1	1	1
6/5/2024	NY4034391700	NY	11770PF	NY	0	1	Yes	No	2	1	2

Investigation Results

Acute/Critical Violations: 0

This carrier has no Acute/Critical violations to display.

Summary of Activities

The summary includes information on the 5 most recent investigations and 24 months of inspections and crash history.

Most Recent Investigation: 10/31/2019 (Non-Ratable Review)
Total Inspections: 26
- Total Inspections without Violations used in SMS: 16
- Total Inspections with Violations used in SMS: 10
Total Crashes* : 2

*Crashes listed represent a motor carrier’s involvement in reportable crashes, regardless of the carrier’s or driver’s role in the crash. Continue for details.

Continue for more Crash, Inspection & Investigation Details

Carrier Registration

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Carrier Registration Details Subject to General Threshold Update Registration Info

Inspection Selection System

Enforcement Cases

(Six years as of 05/18/2026 updated monthly from FMCSA )

No penalties found

Tools/Resources

SMS Methodology How to Improve Request a Data Review

For U.S. DOT# 1138045

Complete SMS Profile Carrier History Downloads

Summary of Activities (as of 4/24/2026, updated monthly)

The summary includes information on the 5 most recent investigations and 24 months of inspections and crash history.

Most Recent Investigation: 10/31/2019 (Non-Ratable Review)	Total Inspections: 26 Total inspections without violations used in SMS: 16 Total inspections with violations used in SMS: 10	Total Crashes: 2*
10/31/2019 (Non-Ratable Review) 1/5/2016 (Non-Ratable Review) 3/10/2011 (Compliance Review)	# Insp. OOS Driver Inspections 26 0.0% Vehicle Inspections 17 5.9% Placardable HM Inspections 0 0.0% % Placardable HM Inspections 0.0%	Fatal Crashes 0 Injury Crashes 1 Towaway Crashes 1

*Crashes listed represent a motor carrier’s involvement in reportable crashes, regardless of the carrier’s or driver’s role in the crash. Continue for details.

Downloads

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Average PU × Utilization Factor (as of 4/24/2026, updated monthly)

The SMS normalizes the Unsafe Driving and Crash Indicator BASICs measure by carrier size (i.e., a hybrid power unit and vehicle miles travelled measure) to account for exposure. Carrier size is defined as average power units multiplied by the utilization factor.

41.6 Average PU × Utilization Factor = 20.7 Average Power Units × 2.0146 Utilization Factor

Average Power Units
Utilization Factor

In order to account for changes in a carrier's fleet size during the previous 24 months an average power unit value is used in the calculation to determine a carrier's Unsafe Driving BASIC and Crash Indicator measures.

20.7 Average Power Units = 21 Current Power Units + 21 Power Units 6 Months Ago + 20 Power Units 18 Months Ago
3

The Utilization Factor is a multiplier that adjusted the average PU values based on the utilization in terms of VMT per average PU.

Determine Carrier Segment: Straight
Straight trucks/other vehicles constituting more than 30% of the total PU
U.S. DOT# 1138045 = 57% Straight trucks/other vehicles
Determine VMT per Average Power Unit
40,292 VMT per Average Power Unit = 832,846 VMT From Registration (MCS-150) ÷ 20.7 Average Power Units

Based on Step 1 and 2 calculate the Utilization Factor

Straight Segment
Meets Criteria	VMT per Avgerage PU	Utilization Factor
	< 20,000	1
	20,000 – 60,000	2.0146 = 40,292 VMT per PU ÷ 20,000
	60,000 – 200,000	3
	> 200,000	1
	No Recent VMT Information	1

Use of SMS Data/Information

FAST Act of 2015:

Readers should not draw conclusions about a carrier's overall safety condition simply based on the data displayed in this system. Unless a motor carrier has received an UNSATISFACTORY safety rating under part 385 of title 49, Code of Federal Regulations, or has otherwise been ordered to discontinue operations by the Federal Motor Carrier Safety Administration, it is authorized to operate on the Nation's roadways.

Safety Measurement System:

The data in the Safety Measurement System (SMS) is performance data used by the Agency and Enforcement Community. A symbol, based on that data, indicates that FMCSA may prioritize a motor carrier for further monitoring.

The symbol is not intended to imply any federal safety rating of the carrier pursuant to 49 USC 31144. Readers should not draw conclusions about a carrier's overall safety condition simply based on the data displayed in this system. Unless a motor carrier in the SMS has received an UNSATISFACTORY safety rating pursuant to 49 CFR Part 385, or has otherwise been ordered to discontinue operations by the FMCSA, it is authorized to operate on the nation's roadways.

Motor carrier safety ratings are available at http://safer.fmcsa.dot.gov and motor carrier licensing and insurance status are available at http://li-public.fmcsa.dot.gov/.