As General Counsel, Ms. Lum's key duties include:
- Managing the Office of the General Counsel which is responsible for providing legal advice and representation to Caltech, including the Jet Propulsion Laboratory ("JPL"), either in-house or through outside counsel, or a combination of the two including oversight of all legal proceedings to which the Institute may become a party;
- Providing advice and counsel to Institute Officers, senior management and the Board of Trustees with respect to matters concerning the Institute;
- Serving as legal advisor to the senior management of the Campus and JPL in connection with, and participating in, the negotiation and administration of the JPL prime contract with NASA including developing and sustaining a positive and mutually beneficial working relationship with NASA counterparts;
- Acting as resident, day-to-day liaison between administrative functions at JPL and Caltech, particularly in the areas of business, finance, and contracting, and providing a Caltech overview of JPL activity in these areas;
- Supporting the Institute's various academic and administrative functions by reviewing proposed policies and processes to assure they comply fully with applicable laws and regulations and offering recommendations for change and/or clarification that support the initiative's intent;
- Providing advice on patents, licensing, technology utilization, and other intellectual property matters;
- Interacting with key donors, and their representatives, as needed;
- Serving as a standing attendee at meetings of the following Board Committees: Executive, Audit and Compliance, Business and Finance, Nominating, Technology Transfer and JPL;
- Directly administering the Conflict of Interest Policy for Trustees and Officers and serves as key staff support for the Audit and Compliance Transaction Review Subcommittee;
- Acting as co-counsel to the California Association for Research in Astronomy, (responsible for operating the W.M. Keck Observatory), and the TMT Corporation (responsible for the design, construction and operation of the Thirty Meter Telescope), both of which are collaborations with the University of California and other entities.
Prior to joining Caltech's Office of the General Counsel, Ms. Lum served as a United States Magistrate Judge in the Central District of California handling both civil and criminal matters. She was previously an Assistant United States Attorney in the United States Attorney's Office in Los Angeles, California, where she prosecuted complex white collar fraud cases with an emphasis on financial institution fraud. She served as Chief of the Major Frauds Section and supervised the investigation and prosecution of complex white collar crime investigations and trials, including cases involving financial institutional fraud, securities fraud, computer crimes, Internet fraud, intellectual-property crimes, and insurance fraud. While she was at the United States Attorney's Office, Ms. Lum received the U.S. Department of Justice Director's Award for Superior Performance. Prior to being a federal prosecutor, Ms. Lum worked in private practice in Los Angeles where she focused on general business litigation and served as a law clerk to United States District Judge Dickran Tevrizian.
U.S. Department of Justice Director's Award for Superior Performance