CHILD DEVELOPMENT PERSPECTIVES

Effortful Control, Executive Functions, and Education:

Bringing Self-Regulatory and Social-Emotional
Competencies to the Table
Jeffrey Liew
Texas A&M University

ABSTRACT—Self-regulatory skills are essential for school pieces in the puzzle of how best to educate the whole child
readiness and future achievement, but self-regulation is a (Diamond, 2010). Although evidence shows that self-regulatory
broad and multidimensional construct consisting of both and academic competencies go hand in hand (e.g., Blair &
behavioral and cognitive processes. Thus, researchers Razza, 2007; Duncan et al., 2007; Howse, Calkins, Anastopoulos,
often study these processes from either a behavioral and Keane, & Shelton, 2003; Payton et al., 2008; Raver, Garner,
temperament-based approach or a cognitive ⁄ neural sys- & Smith-Donald, 2007), such a dual-focus perspective is not
tems approach. The temperament-based framework often yet common in curriculum development or teaching practices
focuses on effortful control, whereas the cognitive or neuro- (Bierman, Nix, Greenberg, Blair, & Domitrovich, 2008; Dia-
science framework often focuses on executive functions. mond, 2010; Liew & McTigue, 2010). Developmental scientists
Although literatures on effortful control and executive have both the opportunity and the responsibility to inform
functions come from different research traditions, the curriculum development processes through research and dia-
field needs to view them as complementary rather than logue with stakeholders on what it takes to nurture complete
incompatible to advance the understanding of the role of learners.
self-regulation in learning and achievement across devel-
opment. This article calls for bringing both bodies of SELF-REGULATION AND SCHOOL READINESS
research to the table when making decisions about educa-
tional policies and practices. Before entering formal schooling, many children participate in
early childhood education or preschool programs that prepare
KEYWORDS—self-regulation; effortful control; executive
them to start kindergarten ready to learn. School readiness, or
functioning; school readiness; achievement
‘‘the state of child competencies at the time of school entry that
are important for later success’’ (Snow, 2006, p. 9), includes pre-
academic and social-emotional competencies (Bierman et al.,
Developmental science is as much about understanding dis- 2008; Blair, 2002; Denham, 2006; Ladd, Herald, & Kochel,
tinct domains of development as it is about ‘‘reassembling the 2006; Raver et al., 2007). School readiness may be especially
‘whole child’ from the network of allied developmental changes important for children from disadvantaged backgrounds, as they
that tend to be otherwise studied distinctly’’ (Thompson, 1993, often lag behind in school readiness skills (Winsler et al., 2008).
p. 397), and educational and developmental sciences are key In the United States, the School Readiness Act (H.R. 2123,
2005) mandates federal programs such as Head Start to prepare
children for formal schooling by facilitating child gains in the
Correspondence concerning this article should be addressed to areas of language and comprehension skills, prereading and pre-
Jeffrey Liew, College of Education and Human Development,
mathematics skills, cognitive abilities, and social and emotional
Department of Educational Psychology, Texas A&M University, Col-
lege Station, TX 77843-4225; e-mail: [email protected]. development. The competencies that fall under the area of social
and emotional development include self-regulation, which facili-
ª 2011 The Author
Child Development Perspectives ª 2011 The Society for Research in Child Development tates learning and social relations at school (Raver & Knitzer,
DOI: 10.1111/j.1750-8606.2011.00196.x 2002).

Volume 0, Number 0, 2011, Pages 1–7

2 Jeffrey Liew

There is consensus that self-regulation skills underlie school then focus on executive functions for a discussion on
readiness (Blair, 2002). Self-regulation is a broad construct school-based intervention.
consisting of cognitive and behavioral processes that allow
individuals to maintain optimal levels of emotional, motiva- EFFORTFUL CONTROL AND SOCIAL SKILLS
tional, and cognitive arousal for adaptation (Blair & Diamond,
2008; Molfese et al., 2010; Raffaelli, Crockett, & Shen, 2005). Before children enter grade school, social-emotional and behav-
As a result of its multidimensional nature, researchers have ioral competencies have already set the stage for preacademic
traditionally studied self-regulation from a behavioral ⁄ tempera- learning through social or play activities (Coolahan, Fantuzzo,
ment-based or a cognitive ⁄ neural systems approach. Those Mendez, & McDermott, 2000). To successfully participate in and
using temperament-based or behavioral measures of self- learn from everyday preschool and kindergarten activities such
regulation often focus on effortful control, whereas those using as call and response or shared reading, young children need to
cognitive or neurological measures often focus on executive demonstrate effortful control (i.e., attentional and inhibitory con-
functions. Effortful control is temperament-based and refers to trol). By first grade, when the learning environment becomes
voluntary control over approach (activation) or withdrawal increasingly structured, children who are unable to pay attention
(inhibition) behavioral tendencies via attentional (shifting and or control their behavior are likely to experience difficulties with
focusing) and inhibitory control mechanisms (Eisenberg, peers and teachers (Denham et al., 2003; Pianta, Steinberg, &
Spinrad, & Eggum, 2010; Lengua, Bush, Long, Kovacs, & Rollins, 1995; Rimm-Kaufman, LaParo, Downer, & Pianta,
Trancik, 2008; Rothbart & Bates, 2006). Executive functions 2005), whereas those who exhibit good effortful control skills
(sometimes called ‘‘cognitive control’’), on the other hand, are tend to exhibit social competence and low problem behaviors
the ability to engage in deliberate, goal-directed thought and and are likely to be viewed as ‘‘good citizens’’ by teachers
action via inhibitory control, attention shifting or cognitive or peers (e.g., Blair, Denham, Kochanoff, & Whipple, 2004;
flexibility, and working memory processes (Diamond, Barnett, Eisenberg et al., 1993; Fabes et al., 1999; Liew, Eisenberg, &
Thomas, & Munro, 2007; Garon, Bryson, & Smith, 2008; Reiser, 2004; Olson, Sameroff, Kerr, Lopez, & Wellman, 2005).
Zelazo, Craik, & Booth, 2004). Although evidence shows that temperamental effortful control
It should be apparent that effortful control and executive and social or behavioral competencies are linked, this is not
functions partially overlap conceptually, because attentional and simply because these constructs overlap conceptually and
inhibitory control mechanisms are central self-regulatory pro- empirically (Lengua, West, & Sandler, 1998). To demonstrate
cesses to both constructs. Empirical evidence also indicates this, Lengua et al. (1998) used confirmatory factor analyses and
positive associations between parent-reported temperamental expert ratings to eliminate overlapping items on questionnaire
effortful control and performance on executive function tasks in measures of temperament and symptoms. They found that tem-
early childhood (see Simonds, Kieras, Rueda, & Rothbart, perament and symptomatology were distinct constructs, with
2007, for a review). However, effortful control and executive effortful control measures being related to conduct problems. In
functions are not the same: There are unshared elements a different study on preschool children’s self-regulation using
between them. For example, working memory has been recog- physiological measures (suppression of respiratory sinus
nized as central to self-regulation in the literature on executive arrhythmia) and behavioral measures (observed attentional and
functions but less so in the literature on effortful control. Fur- inhibitory control), results indicated that behavioral regulation
thermore, measures of effortful control and executive functions might have been one mediating mechanism by which physiolog-
provide independent contributions to early literacy or mathemat- ical (temperament-based) regulation contributed to parents’ rat-
ics skills (Blair & Razza, 2007). Although the literature on ings of preschoolers’ adaptive skills or social competencies
effortful control and executive functions comes from different (Liew, Johnson, Smith, & Thoemmes, in press).
research traditions, we need to view them as complementary
rather than incompatible if we are to understand the role of self- EFFORTFUL CONTROL AND ACADEMIC
regulation in learning and achievement across development. ACHIEVEMENT
Temperamental effortful control appears early in life, shows
modest continuity across the lifespan, and is shaped by heredi- Building on an impressive body of research documenting the role
tary and environmental factors (Goldsmith et al., 1987; Kagan of temperamental effortful control in children’s short- and long-
& Snidman, 2004; Lemery, Goldsmith, Klinnert, & Mrazek, term social and behavioral competencies (Eisenberg et al., 2005;
1999; Nigg, 2006), whereas executive functions are higher order see Eisenberg, Hofer, & Vaughan, 2007, for a review), research-
and later developing cognitive abilities that are relatively ers have become increasingly interested in its role in academic
responsive to intervention or training (Brocki & Bohlin, 2004; adjustment. Recent and growing empirical evidence points to a
Diamond et al., 2007; Garon et al., 2008; Zelazo et al., 2004). linkage between effortful control and academic achievement in
Thus, the following sections will first focus on effortful control young school-aged children, including those from low-income
for a discussion of school readiness and early achievement and and ethnic minority backgrounds. For example, in a study of

Child Development Perspectives, Volume 0, Number 0, 2011, Pages 1–7

 Self-Regulation and Education 3

preschoolers enrolled in Head Start programs, Blair and Razza EFFORTFUL CONTROL AND TEACHER–STUDENT
(2007) found that both teacher-reported effortful control (tapping RELATIONSHIP: PROTECTIVE AND COMPENSATORY
attentional and inhibitory control but also low approach reactiv- FACTORS
ity and low anger) and observed inhibitory control (assessed with
a peg-tapping ⁄ executive functions task) made independent con- If children’s effortful control contributes to their achievement
tributions to math skills in kindergarten, whereas observed through social competencies, including positive relationships
inhibitory control also contributed to emergent literacy skills. In with teachers, it should not be surprising that positive and sup-
another study on preschoolers from diverse socioeconomic back- portive teacher–student relationships have consistently been
grounds, McClelland et al. (2007) found that behavioral mea- associated with positive school outcomes (Goodenow, 1993;
sures of self-regulation (primarily tapping inhibitory control but Hamre & Pianta, 2005; Ladd, Birch, & Buhs, 1999; Palermo,
also attention and working memory) were significantly associated Hanish, Martin, Fabes, & Reiser, 2007; Reddy, Rhodes, &
with early mathematics and literacy skills. Mulhall, 2003). Although further research is needed to specify
During grade school, effortful control continues to contribute the student and teacher behaviors responsible for establishing
to school adjustment and achievement. In a longitudinal study and maintaining positive relationships, teachers are likely to play
of first through third graders who were predominantly from low- important roles in supporting children, especially those who lack
income and ethnic minority families and were assessed by their self-regulatory skills, to be self-directed or autonomous learners
school district as entering first grade with below-average liter- (Vygotsky, 1978). As Dodge (2004) noted, ‘‘The environment
acy skills, effortful control at first grade, assessed with behav- and one’s biologically based dispositional tendencies may dance
ioral tasks that tap primarily inhibitory control, predicted with each other across development to lead, in some cases, to
literacy achievement at third grade (Liew, McTigue, Barrois, & compensate for each other’s vulnerabilities, and, in other cases,
Hughes, 2008). In third to fifth grades, effortful control to potentiate each other’s effects’’ (p. 424). In support of this
(assessed with adolescent and parent ratings of adolescents’ view, evidence suggests that the link between positive teacher–
attention shifting, activation control, and inhibitory control from student relationships and academic outcomes may be especially
the subscales of the Early Adolescent Temperament Question- pronounced for students with self-regulatory difficulties (Hughes,
naire; Capaldi & Rothbart, 1992) predicted grade point aver- Cavell, & Jackson, 1999; Liew, Chen, & Hughes, 2010; Pianta,
ages (GPAs) better than did GPAs from the previous semester Nimetz, & Bennett, 1997).
and teacher–student relationship quality (Valiente, Teacher–student relationships characterized by warmth and
Lemery-Chalfant, Swanson, & Reiser, 2008). Researchers have support have consistently been found to be linked to increased
found similar results in countries other than the United States. academic motivation, positive self-concept, and better academic
For example, in a longitudinal study of children in mainland achievement (Birch & Ladd, 1997; Howes, 2000; Hughes,
China, Zhou, Main, and Wang (2010) found that effortful con- Gleason, & Zhang, 2005; Hughes & Kwok, 2006; Palermo et al.,
trol at first or second grade (assessed with parents’ and teach- 2007; Pianta et al., 1995; Ryan, Stiller, & Lynch, 1994). For
ers’ ratings of children’s inhibitory control and attention example, kindergarteners who were paired with supportive teach-
focusing subscales from the Child Behavior Questionnaire; ers performed significantly better on standardized measures of
Goldsmith & Rothbart, 1991; Rothbart, Ahadi, Hershey, & reading and mathematics skills than those who were paired with
Fisher, 2001) predicted GPAs at fifth or sixth grade. Impor- less supportive teachers (Graziano, Reavis, Keane, & Calkins,
tantly, Zhou et al.’s results indicated that the prediction of 2007). There is also preliminary evidence to suggest that positive
GPAs from effortful control was mediated by social compe- teacher–student relationships may protect children from negative
tence. Consistent with the view that preschoolers’ effortful con- family relationships (O’Connor & McCartney, 2007). In addition,
trol contributed to school readiness through behavioral Rimm-Kaufman et al. (2002) found that 15-month-olds who were
regulation and adaptive or social competencies (Liew et al., in classified as socially bold were more academically engaged as
press), Zhou et al. speculated that children with high effortful kindergarteners when paired with sensitive teachers than with
control developed higher social competence, which in turn less sensitive teachers. Consistent with the notion that child
helped them to secure greater social-emotional and instruc- temperament interacts with the learning environment to affect
tional resources for academic achievement. Similarly, Valiente learning or achievement (Rothbart & Jones, 1998; Rudasill &
et al. (2011) found that 6-year-olds’ effortful control predicted Rimm-Kaufman, 2009), Liew et al. (2010) found that child
their social functioning (social competence and low externaliz- effortful control (assessed with a behavioral measure of atten-
ing problems) at 8 years old, which then predicted their tional and inhibitory control) and positive teacher–student rela-
academic achievement (teacher- and child-reported grades) at tionships interacted with one another to contribute to future
10 years old. Thus, children with good effortful control skills academic achievement on standardized tests of reading and
were likely to be good citizens who developed and maintained mathematics. Liew et al.’s results indicated that children with
positive school relationships that could then provide them with low effortful control performed just as well academically as
a support network for learning and future achievement. children with high effortful control when paired with a positive

Child Development Perspectives, Volume 0, Number 0, 2011, Pages 1–7

4 Jeffrey Liew

and supportive teacher, and that children with high effortful help memory and attention. A randomized trial study (Barnett
control performed similarly well regardless of the teacher. Such et al., 2008) assigned 3- and 4-year-old children to classrooms
a finding is somewhat consistent with research showing that using either the Tools of the Mind curriculum (106 children from
effortful control protects children from adverse outcomes associ- 7 classes) or the district curriculum (168 children from 11
ated with negative or neglectful parenting (Lengua, 2008; Morris classes). Results indicated that children in the Tools of the Mind
et al., 2002). Thus, whereas effortful control may serve as a pro- classrooms had fewer behavior problems and moderately more
tective factor for children without the presence of a positive and advanced language development than those in the control class-
supportive teacher, supportive teachers may serve to compensate rooms, suggesting that the Tools of the Mind curriculum was
for children with self-regulatory difficulties by fostering students’ effective in improving children’s classroom experiences, social
autonomy that would subsequently benefit their future academic development, and, to a modest degree, cognitive development
achievement (Liew et al., 2010). (Barnett et al., 2008; see also Diamond et al., 2007).
At a time when educational practices increasingly emphasize
FROM SCIENCE TO PRACTICE: EXECUTIVE high-stakes, standardized testing to assess accountability and
FUNCTIONS AND SELF-REGULATION IN SCHOOL achievement, some may question whether we could afford to
CURRICULUM spend the money, time, and effort on self-regulation and social-
emotional competencies, without realizing that these are core
This brief review highlighted the importance of self-regulatory skills needed for learning and achievement (Diamond, 2010). To
capacities such as attentional and inhibitory control in school translate research into practice, a dual focus integrated interven-
readiness and subsequent school-related outcomes including tion model has proved to be effective (Bierman et al., 2008), and
positive social and behavioral adjustment, learning or achieve- resources are available to help schools identify, select, and imple-
ment, and improved standardized test scores (e.g., Blair, 2002; ment evidence-based programs aimed at fostering self-regulatory
Blair & Razza, 2007; Liew et al., 2008; Liew et al., 2010; and social-emotional skills (e.g., Collaborative for Academic,
McClelland et al., 2007; Payton et al., 2008; Valiente et al., Social, and Emotional Learning, 2003). Examples of such evi-
2008). Acknowledging that attention focusing and inhibitory con- dence-based programs are the Head Start REDI program
trol are shared elements between effortful control and executive (Bierman et al., 2008), the PATHS (Promoting Alternative Think-
functions, our review on children’s school readiness and early ing Strategies) curriculum (Greenberg, Kusche, Cook, &
achievement focused on effortful control. For discussion of inter- Quamma, 1995; Kam, Greenberg, & Kusche, 2004), and the Tools
vention programs, we will shift our attention to executive func- of the Mind curriculum (Bodrova & Leong, 2007; Diamond et al.,
tions. Recall that executive functions involve working memory 2007).
and higher order processes such as hierarchical representation
or planning (Zelazo, 2004; Zelazo & Frye, 1998), which are not CONCLUSION
shared with effortful control. Executive function is relatively
plastic and responsive to training beginning as early as 4 or Developmental needs of the whole child, including academic
5 years of age (Diamond et al., 2007). Before 3 years of age, achievement and social-emotional learning, must be considered
children fail to follow abstract rules calling for inhibition of com- and aligned throughout the educational process, ranging from
peting response tendencies (Zelazo, Reznick, & Pinon, 1995). curriculum development to teacher professional development
In a systematic review of six studies that included measures of and teaching practices. Back in 2007, the Association for Super-
children’s attention and social-emotional behaviors during the vision and Curriculum Development launched its Whole Child
period of school entry (5 or 6 years of age), Duncan et al. (2007) Initiative to ensure that all children are healthy, safe, engaged in
found that attention-related skills predicted academic achieve- learning, supported by caring adults, and academically chal-
ment more so than social-emotional behaviors such as internaliz- lenged. Although some schools offer curriculum or interventions
ing, externalizing, or social skills. A growing number of studies aimed at social-emotional and self-regulatory skills, programs
support the view that direct training in cognitive tasks involving are ineffective unless they are delivered with fidelity (Bierman
working memory, inhibitory control, and attention set shifting et al., 2008). To achieve intervention integrity, teachers must
may improve children’s more generalized self-regulatory skills receive the necessary training and institutional support to
over their emotion, behavior, and attentional focus (Barnett et al., synchronize and integrate such interventions into their existing
2008; Bierman et al., 2008; Diamond et al., 2007; Dowsett & academic curriculum to seamlessly interweave social-emotional
Livesey, 2000; Thorell, Lindqvist, Nutley, Bohlin, & Klingberg, and academic learning. Reflecting Aristotle’s long-ago
2009). For example, the Tools of the Mind curriculum (Bodrova observation that ‘‘educating the mind without educating the heart
& Leong, 2007) was designed to target children’s self-regulation is no education at all,’’ self-regulatory and social-emotional com-
and emergent literacy skills on the basis of Vygotsky’s (1978) petencies must be brought to the table so as to nurture children
principles of interactive and constructivist learning including the to become educated and personally responsible citizens—hall-
use of self-regulatory private speech, dramatic play, and aids to marks of true success in education.

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 Self-Regulation and Education 5

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