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DHI Group, Inc.
Accounting, Auditing, Billing and Internal Financial Controls Concerns about questionable practices relating to accounting, auditing, billing or internal financial controls.
Antitrust Activity Oral or written agreements, arrangements or understandings with other business parties to fix prices; boycott specific suppliers or customers; allocate products, territories or markets; or exchange competitively sensitive information; as well as discussions regarding price, trade allowances or rebates, costs, competition, marketing plans or studies, production plans and capabilities or any other confidential information.
Certification, Licensure, Scope of Practice or Qualifications Concerns Individual performing work without documentation of current certification, licensure, or qualifications. Also, providing services outside of the scope of practice.
Compensation, Benefits, Performance Includes questions or issues about compensation, medical benefits, time off, performance appraisals, improvement action plans, terminations.
Confidentiality and Misappropriation Confidentiality refers to the protection of the Company's and our customer's non-public information and use of such information only for legitimate business purposes. Misappropriation refers to the unauthorized or improper use of a third party's intellectual property rights, including patents, trademarks, copyrights and trade secrets.
Conflict of Interest A conflict of interest is defined as a situation in which a person, such as a public official, an employee, or a professional, has a private or personal interest sufficient to appear to influence the objective exercise of his or her official duties. (Examples include: inappropriate vendor relations, bribery, misuse of confidential information, inappropriate customer relations)
Disclosure of Confidential Information Unauthorized and unlawful disclosure of corporately owned intellectual property or trade secrets, as well as employee, customer or consumer information, marketing and other corporate databases, marketing plans, business proposals and strategies.
Discrimination or Harassment Uninvited and unwelcome verbal or physical conduct directed at an employee because of his or her sex, religion, ethnicity, or beliefs. (Examples include: bias in hiring, bias in assignments, wrongful termination, bias in promotions, bias in educational decisions, unfair compensation, inappropriate language).
Diverting of Product or Business Opportunity Using corporate property, information or position for personal gain; appropriating or diverting any business opportunity or idea in which the Corporation might have an interest; competing with the Corporation in any way.
Document Creation and Retention Relates to the violation of Company retention policies and the improper alteration, destruction, mutilation, concealing or falsification of a document, including in the context of any ongoing or known contemplated official proceeding or investigation.
Falsification of Contracts, Reports or Records Falsification of records consists of altering, fabricating, falsifying, or forging all or any part of a document, contract or record for the purpose of gaining an advantage, or misrepresenting the value of the document, contract or record.
Foreign Corrupt Practices Act Violations Violations of the FCPA include (i) bribery of a foreign official (including persons employed directly by a foreign government, persons employed by commercial enterprises owned or controlled by foreign governments and private persons who have responsibilities similar to those of governmental employees) and (ii) making false or misleading entries on a company's books for any purpose.
Gifts and Entertainment Refers to the inappropriate offering, solicitation or accepting of items of more than nominal value from vendors, customers or other third parties in a capacity as an employee of the Company.
Illegal or Fraudulent Conduct Any activity that is prohibited by law or a deception deliberately practiced in order to secure unfair or unlawful gain.
Independence Concerns regarding the ability of the firm or an individual partner or employee to maintain required independence from clients. Issues may include scope of service restrictions, business relationships, financial investments or relationships, personal relationships, and other matters.
Insider Trading or other Securities Violations Infringement, transgression; specifically: an infringement of the rules which securities acts define.
Misconduct or Inappropriate Behavior Intentional wrongdoing; specifically: deliberate violation of a law or standard.
Misrepresentation of Credentials/Falsification of Employment Application Misrepresentation or falsification of credentials (i.e., education or experience) used in obtaining employment. Falsifying or omitting information about a past conviction record, etc.
Misuse of Assets or Services Use of Company resources or equipment without permission for non-business reasons.
Regulatory Compliance Violation of laws, requirements, or guidelines of a governmental agency, or regulatory body.
Substance Abuse Substance abuse is defined as the misuse of both legal and illegal drugs including alcohol. (Examples include: cocaine, narcotics, marijuana, stimulants)
Theft The act of stealing; specifically: the felonious taking and removing of personal property with intent to deprive the rightful owner of it.
Violation of Policy Willful or innocent actions that are in direct violation of company policy, procedures, code of conduct, and/or implied contractual responsibilities. (Examples include: non-disclosure agreements, hiring standards, safety, Internet usage, corporate guidelines)
Violence or Threat Violence is an expression of the intention to inflict evil, injury, or damage to a person or their property. (Examples include: direct, veiled, conditional, violent)
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