Self-Regulation Assessment Rubric

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Subcomponents of the self-regulation process: attention/focus, regulation, interaction, recall, and problem-solving

NOTE: When children demonstrate various self-regulation skills (engage in the self-regulation process) is highly dependent upon a
wide variety of factors, including the child’s developmental stage, environmental circumstances, and individual differences.

Foundational Emerging Functional Strengthening Generative

Attention/Focus Attention/Focus Attention/Focus Attention/Focus Attention/Focus

● Alert during many ● Focuses attention for ● Determines what to ● Consistently gets, keeps, ● Keeps several things in their
daily activities short periods of time give/pay attention to, and shifts attention as mind at the same time
● Orients (e.g., turns, ● Seeks and tolerates a more focused but still required/needed ● Greater attentional control
looks, reaches, moves variety of sensory for short periods of ● Pays attention to task or for longer periods of time
toward) to sensory experiences time person despite internal
stimuli (e.g., auditory, ● Begins to ignore ● More active role in and external distractions
visual, tactile) distractions selecting and shifting
● Will orient away from ● Increasing use of attention (some call
stressors (e.g., avert social-referencing (i.e., this attentional
eye gaze when looks at caregivers for control)
overwhelmed) cues as to how to ● Moves/transitions/
● Notices people/things respond) - also noted shifts from one
in the environment under interaction activity as desired or
requested

Regulation Regulation Regulation Regulation Regulation

● Uses self-soothing ● Makes effort to inhibit ● Begins to resist ● Reflects on and talks ● Adapts to changes in
strategies when (stop) actions and impulses, including about strategies to calm demands and/or priorities
underaroused and behaviors; less socially undesirable self, to delay immediate ● Makes plans before taking

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 Foundational Emerging Functional Strengthening Generative

over aroused (e.g., reactionary impulses (e.g., gratification, and to action

uses adult for ● Aims to regulate aggression, regulate arousal ● Moves and acts deliberately;
comfort/closeness, emotion during new disobedience) ● Increasingly able to stay stands back to read cues;
familiar object like and changing situations ● Able to become calm; regulated when exposed empathizes
blanket or thumb) ● Responds to soothing bring self under to someone else's stress
● Prefers sameness, and comfort from control ● Matches and adjusts
stability, familiar adult ● Begins to be able to level of activity, volume
predictability, ● Delays gratification for stop themselves and of voice, complexity of
familiar, and easy brief period respond less on talk for situation and
● Reacts to sensory autopilot others
stimuli ● Stops one action ● Expresses many
before starting different emotions (e.g.,
another makes facial
● Persists during tasks expressions, statements,
with reasonable laughs, cries, lowers and
demands raises voice)

Interaction Interaction Interaction Interaction Interaction

● Responds to familiar ● Follows the lead of ● Initiates interactions ● Identifies and ● Plays games with rules;
adult’s non-verbal others and does what with familiar adults understands someone negotiates social situations
communications (e.g., they are doing and peers else's feelings with peers
affect, tone, body ● Engages in brief ● Shares and exchanges ● Comforts others who are ● Takes on the perspective of
language) reciprocal interactions social and distressed or upset others
● Responds to familiar with adults and peers communicative ● Participates in new and
adult’s “bid” for ● Experiments with cause exchanges with changing situations
interaction and effect - becomes an familiar adults and ● Plays cooperatively with
● Plays a passive initiator - active agent peers peers by sharing and
(responder) role ● Takes action to engage ● Shows affection exchanging materials,
during simple with things and people toward familiar adults assisting one another,
communicative and in the environment and peers taking on jobs, roles, or

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 Foundational Emerging Functional Strengthening Generative

social exchanges (e.g., reaches, turns, ● Engages in pretend identities that often lead
seeks to influence) play (e.g., takes on to mutual benefit for all
● Uses cues from adults roles/identities with ● Internalizes (accepts,
to know how to imaginary acts upon) societal rules
respond objects/people and (these are set and
● Follows situational and reenacts events) influenced by culture) -
gestural cues in ● Begins to better Note: Emerges along
unfamiliar activities understand the w/social-awareness and
● Turns to familiar adult function of rules (i.e., an understanding of
for help with strong expectations or reliance, which is an
emotions regulations of understanding
behavior or language, regarding
written or spoken, at interdependencies and
home, at school, and interconnectedness
in the community) between objects, people,
● Begins to take the and/or events. Also
perspective of others includes and
and demonstrate understanding of the
empathy (i.e., causal
understands and share relationship/effects
the emotions of between actions or
others) events including
physical, biological,
and/or personal/social.

Recall Recall Recall Recall Recall

● Remembers how to ● Recalls information ● Follows single and/or ● Recalls information ● Knows the consequences of
activate familiar toys immediately and with a simple directions from memory, choices and actions
● Remembers simple context ● Recalls information understands, and ● Remembers, follows, and
games or actions ● Remembers labels for on the same day (in uses/acts upon the completes multi-step

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 Foundational Emerging Functional Strengthening Generative

objects/people/events the moment), without information directions

not present; Labels contextual cues ● Follows routines and ● Remembers sequences of
emotions some of the ● Dramatizes rules at home, school, words and numbers
time remembered events and within the
● Remembers strategies ● Labels emotions community
that worked before ● Knows personal
● Follows model; actions information
are often in imitation

Problem Solving Problem Solving Problem Solving Problem Solving Problem Solving
● Takes actions to ● Stops being interested ● Uses simple strategies ● Uses more complex ● Considers alternatives
maintain stability, in only what is familiar to solve common strategies to solve a ● More accurate take on social
regularity, and & prefers; seeks problems common problem (e.g., situations and conflicts
congruence novelty and variation ● Uses words, phrases, negotiates, brainstorms, ● Knows when to
● Tries to get things out ● Uses vocalizations and sentences to get seeks input) pick/choose/use different
of reach and/or things including single words help and/or attention ● Can begin to take the strategies
that have gone out of and gestures to get help ● Begins to take active lead in decision-making ● Evaluates the outcome (e.g.,
sight and/or attention role in decision- ● Tries before asking for was the problem solved,
● Tries a number of ● Tries alternatives when making and help; stays with a task was it fair and just, was the
ways to activate toys first action doesn’t collaborative even with distractions or issue resolved)
and get attention of work and/or will adjust problem-solving increased complexity
others (e.g., bangs, behavior to meet “goal” (recognizes the
cries) ● Practices, explores, problem, thinks of
experiments possible solutions,
● Seeks out activities that plans and carries out
challenge (e.g., will solutions)
choose even ● Takes action to get
moderately hard internal needs met
activities where they (e.g., hunger, thirst,

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Foundational Emerging Functional Strengthening Generative

may fail) rest, comfort) and

external needs met
(e.g., wipe nose, wash
hands, change out of
wet socks)

References and Sources

● Bricker, D. D., Capt, B., Pretti-Frontczak, K., Johnson, J., Slentz, K., Straka, E., & Waddell, M.
(2002). The Assessment, Evaluation and Programming System for Infants and Young Children: Vol.2
AEPS Items for Birth to Three Years and Three to Six Years (2nd ed.). Baltimore, MD: Paul H.
Brookes Publishing Co.
● Bronson, M.B. 2000. Self-Regulation in Early Childhood: Nature and Nurture. New York: Guilford.
● Bukatko & Daehler, 2012 https://quizlet.com/87282533/child-psychology-chapter-12-key-terms-flash-
cards/
● Child psychology chapter 12 key terms. (n.d.). Retrieved from https://quizlet.com/87282533/child-
psychology-chapter-12-key-terms-flash-cards/
● Kopp, C. B. (1982). Antecedents of self-regulation: A developmental perspective. Developmental
Psychology, 18(2), 199-214.
● McClelland, M. M. & Tominey, S. L. (2015). Stop, Think, Act: Integrating Self-Regulation in the
Early Childhood Classroom. New York, NY: Routledge.
● Murray, D.W., Rosanbalm, K., & Christopoulos, C. (2016). Self-Regulation and Toxic Stress Report 3: A Comprehensive
Review of Self-Regulation Interventions from Birth through Young Adulthood. OPRE Report # 2016-34, Washington, DC:
Office of Planning, Research and Evaluation, Administration for Children and Families, U.S. Department of Health and
Human Services.
● Murray, Desiree W., Rosanbalm, Katie, Christopoulos, Christina, and Hamoudi, Amar (2015). Self-Regulation and Toxic
Stress: Foundations for Understanding Self-Regulation from an Applied Developmental Perspective. OPRE Report #2015-21,

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 Washington, DC: Office of Planning, Research and Evaluation, Administration for Children and Families, U.S. Department of
Health and Human Services.
● North Carolina Department of Public Instruction (2015). North Carolina Early Learning and Development Progressions: Birth
to Five. Retrieved from http://earlylearningprogressions.fpg.unc.edu/
● Prizant, B. M., Wetherby A.M., Rubin E., Laurent, A. C., & Rydell, P. J. (2006). The SCERTS MODEL: A comprehensive
educational approach for children with autism spectrum disorders. Baltimore, MD: Paul H. Brookes Publishing Co.

Definitions of Self-Regulation:

● “Conscious control of thoughts, feelings, and behaviors...the ability to stop, think, and then act” (McClelland & Tominey,
2015).
● “Self-regulation refers to the process of modulating systems of emotion, attention and behavior in response to a given
contextual situation, stimulus or demand” (Razza, Bergen-Cico, & Raymond, 2015)
● "Self-regulation is defined from an applied perspective as the act of managing cognition and emotion to enable goal-directed
actions such as organizing behavior, controlling impulses, and solving problems constructively" (Murray, Rosanbalm, &
Christopoulos, 2016).
● "Self-regulation refers to the capacity to monitor, direct, and flexibly adapt one's behaviors and activities to achieve certain
goals or meet the demands imposed by others" (Bukatko & Daehler, 2012).
● “Self-regulation refers to several complicated processes that allow children to appropriately respond to their environment”
(Child Psychology Chapter 12 Key Terms, n.d.).
● “The ability to modify one’s behavior in order to meet situational demands (Kopp, 1982)
● “Self regulation is the ability to regulate or adapt one’s behaviour, emotions and thinking according to the situation. It includes
the abilities to start or stop doing something even if one does not want to do so (Maxwell et al., 2009:2).
● “Self-regulation (also referred to in the literature as self-control or self-management; Chen and Rubin, 2011 and Denham and
Brown, 2010) is generally defined in the early childhood literature as the ability to focus attention, manage emotions, and
control behaviors (Blair and Razza, 2007 and McClelland and Cameron, 2012).”
http://www.sciencedirect.com/science/article/pii/S0193397316300065
○ Pre-K Teach & Play Podcast episode 29 explore definitional issues as well.

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Facts/reminders from research summarized by Gabrielle Gunin retrived from
http://steinhardt.nyu.edu/appsych/opus/issues/2015/fall/gunin
● “Preschoolers who are effective self-regulators also show advances in emergent math, vocabulary, and literacy abilities,
relative to their peers with weaker self-regulatory capabilities.”
● “Although self-regulation tends to follow a developmental timetable, the skills are sensitive to environmental influences, such
as poverty, parenting practices, ethnic background, and school-based interventions.”
● “Given different standards and expectations for behavior, children from different cultures regulate their behavior in different
ways.”
● “Based on the research conducted to date, the most prominent influences appear to be poverty status, parenting practices,
ethnic background, and in-school interventions. While some of these influences are relatively stable (i.e., poverty status and
culture), others are much more malleable and subject to change (i.e., parenting practices and in-school interventions).”

NOTE: Many consider self-regulation as an “umbrella term that encompasses many constructs that may be used to describe similar
skills and processes.” This rubric is divided into the subcomponents of attention/focus, regulation, interaction, recall, and problem-
solving. Others have noted subcomponents such as willpower, executive functioning, self-control, self-management, etc. For example,
see Murray, Desiree W., Rosanbalm, Katie, Christopoulos, Christina, and Hamoudi, Amar (2015) at
https://www.acf.hhs.gov/sites/default/files/opre/report_1_foundations_paper_final_012715_submitted_508.pdf

Assortment of skills often associated with the umbrella term of self-regulation:

● Focused attention (getting, keeping, and shifting attention)
● Cognitive flexibility
● Mental shifting
● Goal-setting
● Considering alternatives
● Making plans before taking action
● Self-monitoring
● Problem-solving
● Perspective taking

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 ● Decision-making (moving and acting deliberately)
● Managing strong and unpleasant feelings
● Adapting to emotional situations
● Awareness and understanding of feelings
● Self-calming/soothing strategies
● Tolerance of internal distress
● Empathy and compassion for self and others
● Effortful coping
● Following rules
● Delaying gratification
● Ignoring distractions
● Persistence
● Impulse control
● Conflict resolution
● Recalling information
● Handling socially relevant tasks
● Working memory

KEY QUOTES:

“Emotions, learning and memory are closely linked. Children need sound wellbeing, motivation and self esteem to engage in
experience and become competent through attention and practice. Attention drives both learning and memory (Rushton et al.,
2003:18). Emotions influence a person’s capacity to attend, to be involved and to take action, all of which are essential for learning
(OECD, 2007:64). Children’s motivation and endeavour are underpinned by having a sense of security which develops in nurturing
relationships, (NSCDC, 2007a).” http://www.scseec.edu.au/site/DefaultSite/filesystem/documents/Reports%20and%20publications/
Publications/Early%20childhood%20education/Engaging%20Families%20in%20the%20ECD%20Story-Neuroscience%20and
%20ECD.pdf

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The research of Shanker (in McCain et al., 2007) shows that learning self-regulation is a primary task of newborns and is only possible
in nurturing relationships. By providing appropriate and changing stimulation in response to a baby’s states, moods, and interests,
parents help the baby manage their level of arousal and build the networks for self regulation (Sroufe et al., 2005).
http://www.scseec.edu.au/site/DefaultSite/filesystem/documents/Reports%20and%20publications/Publications/Early%20childhood
%20education/Engaging%20Families%20in%20the%20ECD%20Story-Neuroscience%20and%20ECD.pdf

Self regulation is a process of executive function. Executive function processes have consistently been ranked by first years of school
teachers as the most critical aspect of ‘school readiness’ (Bodrova in Zaslow & Martinez-Beck, 2005; Shonkoff & Phillips, 2000) and
have been directly linked to academic achievement (Bull et al., 2008) and social and emotional development (Hughes, 1998; Howard-
Jones, 2008). It has been found that more than half of children entering school do so without sufficient levels of social-emotional and
cognitive self regulation (Bodrova in Zaslow & Martinez-Beck, 2005).
http://www.scseec.edu.au/site/DefaultSite/filesystem/documents/Reports%20and%20publications/Publications/Early%20childhood
%20education/Engaging%20Families%20in%20the%20ECD%20Story-Neuroscience%20and%20ECD.pdf

“It is by being regulated that these robustly growing systems are wired to support self-regulation.”
http://www.edu.gov.on.ca/childcare/shanker.pdf

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